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Unreasonable Complainant Conduct
Model Policy
Background
In 2006 the Australasian Parliamentary Ombudsman began a col aborative project on Managing Unreasonable
Complainant Conduct (‘UCC’). The focus of this project has been to develop clear and practical strategies to
help organisations and their staff manage their interactions with complainants whose conduct is identified as
unreasonable.
One of the key principles and messages underlying the Ombudsman project has been the idea that to
effectively manage UCC organisations need to recognise that dealing with it is a core part of complainant
handling work. As such UCC must be treated as a priority and given adequate resources, including being
supported by clear policies and procedures.
Accordingly, since the publication of the first edition of the Ombudsman
Managing Unreasonable Complainant
Conduct Practice Manual in 2009 a number of public organisations have taken steps to develop policies and
procedures to assist and support their staff in this regard. While this appears to have led to a general
improvement in how UCC is managed, Ombudsman offices across Australasia have observed significant
variations in the level of detail and contents of these policies, as wel as a general lack of formal procedures to
support them.
For example, we have found some policies do not adequately define the roles or responsibilities of frontline
officers and senior managers to take action in relation to UCC. They do not distinguish between the strategies
that frontline officers are authorised to use and those that must be considered and acted on at a senior
management level – eg those that seek to change or restrict a complainant’s ability to access their services.
Other policies do not provide/are not supported by any procedures for recording or reporting UCC incidents
and do not provide guidance on the type of criteria that should be considered when restricting a complainant’s
access to services. They also fail to identify any systems or processes for reviewing such restrictions and do not
include strategies on how staff can deal with complainants who do not comply with these types of restrictions.
As a result, as Stage 2 of the UCC project has progressed, the Parliamentary Ombudsman have identified a
number of situations where unclear and/or informal policies and procedures have led to a range of
administrative problems and inconsistencies in how UCC is managed. See for example:
Commonwealth
Ombudsman, Unreasonable customer conduct and ‘write only’ policy.i
i Commonwealth Ombudsman 2010,
Department of Human Services, Child Support Agency, Unreasonable customer conduct and ‘write
only’ policy, Report no 14/2010, Canberra.
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Purpose
The model policy has been developed to clarify the Ombudsman policy recommendations in relation to the
management of UCC. It attempts to provide a robust, standardised and consistent model policy and procedure
that organisations can use to inform and support their policy development processes. We recommend that al
organisations – whether they are in the process of developing a UCC policy and procedure or already have an
existing one(s) – take time to review this document to ensure their policies and procedures are fair and
consistent, and compliant with Ombudsman’s suggested approach.
At the same time it should be noted that this document is only a guide. Each organisation wil need to decide
how best to implement the information contained in it to suit their own circumstances and existing
organisational systems and protocols.
Important points and caveats
1. Policy and procedure to be in writing
To ensure transparency, accountability, fairness and consistency in the management of UCC, it is essential for
an organisation to have a written UCC policy and procedure(s) for its staff. A written policy and procedures wil
ensure that staff are aware of their roles and responsibilities and have clear guidance and authority to deal
with UCC on a daily basis. A written policy and procedure wil also provide a reference point for al
complainants whose conduct is managed in accordance with it, as wel as review bodies, courts or tribunals
that may subsequently be tasked with reviewing their application.
See the attached Unreasonable Complainant Conduct Model Policy.
2. Contents of a UCC policy
A robust and comprehensive UCC policy should include the fol owing basic features:
• Clear guidance about the authority vested in frontline staff and senior management to respond to and
manage UCC, including taking action to restrict a complainant’s access to services.
• An explanation of the types of circumstances where it might be appropriate to change or restrict a
complainant’s access to services and the procedures that should be fol owed when doing so.
• A range of possible service restrictions (not just ‘write only’ restrictions) that staff can use to manage UCC.
• Guidance about the types of factors that should be taken into account when deciding to change or restrict
a complainant’s access to services.
• Procedures for communicating with complainants about decisions to change or restrict their access,
including the use of template letters.
• A centralised system for recording and reporting details of complainants with service restrictions to assist
with ongoing management and review of these cases.
• A standardised process for reviewing decisions to change or restrict access – including fixed time periods
and criteria for review, and a presumption that any restriction wil be lifted unless there is a clear need for
it to continue.
In addition, national organisations and/or those with multiple offices should standardise their UCC policies to
ensure overal consistency in how UCC is dealt with in each office. This is particularly important for managing
situations where complainants attempt to forum shop from one office to the next or have legitimate reasons
for having contact with more than one office – eg Centrelink.
See Part 2.1 – model policy and procedure.
3. Avoiding misuses and overuses of UCC policies
Organisations also need to take steps to ensure that their UCC policies are applied cautiously and sparingly. The
Ombudsman’s approach and UCC policies, in general, should never be seen as a quick solution for dealing with
complainants who are angry or frustrated or who are viewed as being annoying or a nuisance. They are intended to
be applied in cases where UCC is in fact an issue – that is in cases where a complainant’s conduct raises the types of
safety, resource and equity issues identified in the
Managing Unreasonable Complainant Conduct Practice Manual
(2nd edition) and supporting documents.
For most organisations these cases are likely to be very few in number.
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Organisations should also take steps to ensure their UCC policies are applied in the least restrictive ways
possible. They should never be applied in ways that go beyond what is appropriate and necessary to manage a
complainant’s conduct and must always be proportionate to the complainant’s personal circumstances. The
aim when applying such policies should not be to punish the complainant but rather to manage the impacts of
their conduct.
For example, it would be inappropriate for an organisation to restrict a complainant’s access to ‘writing only’ if
that complainant is not proficient in English, is il iterate or vision impaired. It would be equal y inappropriate to
impose access restrictions in ways that would limit a complainant’s ability to exercise a right that has been
provided to them by statute.
To guard against misuses or overuses of UCC policies, we strongly suggest that al organisations should
implement effective systems for:
•
Recording and reporting all UCC incidents – this includes ensuring that their staff are wel trained in
appropriate and consistent record keeping practices and ensuring they have in place a centralised case
management system where UCC incidents can be easily recorded and accessed.
A good case management system – that is capable of delivering timely and accurate information about
complainants and their complaints – is essential for the proper management of UCC, particularly if a
complainant’s ability to interact with the organisation has been modified or restricted as a result of their
behaviour. It can facilitate the sharing and dissemination of information among staff and ensure
consistency in the approaches taken.
A well implemented case management system is:
- easily accessible and searchable
- capable of being easily updated with contemporaneous information
- contains information and documentation relating to al complaints and complainants
- includes a system of alerts and notifications that promptly alert staff to any access changes or
restrictions along with contextual information (in summary form) of the nature and reasons for those
restrictions
- includes a tracking system for monitoring incidents of UCC and their progress.
Also, staff need to be clearly advised about whom, within the organisation, they should report UCC incidents
to, as wel as the proper procedure(s) for doing so.
•
Tracking and monitoring all uses of their policies –
one staff member
[eg
a nominated senior manager]
should be responsible for tracking and monitoring al uses of their UCC policy to ensure that it is being
applied consistently, appropriately and effectively and that UCC cases are reviewed at appropriate
intervals.
•
Reviewing all cases where their policies are used – al uses of their UCC policies should be reviewed at
regular intervals to ensure that they continue to be necessary, appropriate and effective in the
circumstances.
See Parts 4, 7.6, 9, and 10 of the attached Model Policy.
4. Handling complaints in ways that will not trigger or exacerbate UCC
Organisations must acknowledge that sometimes they and their staff get it wrong and can, in fact, trigger or
exacerbate UCC. Mistakes can be made, complaints/cases can be mishandled, processes and procedures can
be overly complex or unresponsive to the needs of certain complainants, and delays may occur. In these
circumstances, and in any circumstance where an organisation contributes to a complainant’s unreasonable
conduct, they should immediately rectify the problem – including providing the complainant with an apology.
For further advice on making apologies, see: Apologies – A practical guide, NSW Ombudsman, March 2009).
If remediation does not work and the organisation’s relationship with the complainant breaks down, it may be
necessary to organise alternative dispute resolution approaches – such as conciliation – to resolve the issue
and rebuild the relationship with the complainant to the extent possible.
See Part 6 of the attached Model Policy.
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Unreasonable complainant conduct –
model policy
1. INTRODUCTION
1.1 Statement of support
[Organisation name] is committed to being accessible and responsive to al complainants who approach our
office for assistance and/or with a complaint. At the same time the success of our office depends on:
• our ability to do our work and perform our functions in the most effective and efficient ways possible
• the health, safety and security of our staff, and
• our ability to al ocate our resources fairly across al the complaints we receive.
When complainants behave unreasonably in their dealings with us, their conduct can significantly affect our
success. As a result,
[organisation name] wil take proactive and decisive action to manage any complainant
conduct that negatively and unreasonably affects us and will support our staff to do the same in accordance
with this policy.
I authorise and expect al
[organisation name] staff to implement the strategies provided in this policy.
[CEO/ Director General/Director/General Manager] APPROVAL
[Signature]
2. OBJECTIVES
2.1 Policy aims
This policy has been developed to assist al staff members to better manage unreasonable complainant
conduct (‘UCC’). Its aim is to ensure that al staff:
• Feel confident and supported in taking action to manage UCC.
• Act fairly, consistently, honestly and appropriately when responding to UCC.
• Are aware of their roles and responsibilities in relation to the management of UCC and how this policy wil
be used.
• Understand the types of circumstances when it may be appropriate to manage UCC using one or more of
the fol owing mechanisms:
- The strategies provided in the
Managing Unreasonable Complainant Conduct Practice Manual (2nd edition)
(‘practice manual’) including the strategies to change or restrict a complainant’s access to our services.
- Alternative dispute resolution strategies to deal with conflicts involving complainants and members of
our organisation.
- Legal instruments such as trespass laws/legislation to prevent a complainant from coming onto our
premises and orders to protect specific staff members from any actual or apprehended personal
violence, intimidation or stalking.
• Have a clear understanding of the criteria that wil be considered before we decide to change or restrict a
complainant’s access to our services.
• Are aware of the processes that wil be fol owed to record and report UCC incidents as wel as the
procedures for consulting and notifying complainants about any proposed actions or decisions to change
or restrict their access to our services.
• Are familiar with the procedures for reviewing decisions made under this policy, including specific
timeframes for review.
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3. DEFINING UNREASONABLE COMPLAINANT CONDUCT
3.1 Unreasonable complainant conduct
Most complainants who come to our office act reasonably and responsibly in their interactions with us, even
when they are experiencing high levels of distress, frustration and anger about their complaint. However in a
very smal number of cases some complainants behave in ways that are inappropriate and unacceptable –
despite our best efforts to help them. They are aggressive and verbal y abusive towards our staff. They
threaten harm and violence, bombard our offices with unnecessary and excessive phone cal s and emails,
make inappropriate demands on our time and our resources and refuse to accept our decisions and
recommendations in relation to their complaints. When complainants behave in these ways we consider their
conduct to be ‘unreasonable’.
Unreasonable complainant conduct (‘UCC’) is any behaviour by a current or former complainant which,
because of its nature or frequency raises substantial health, safety, resource or equity issues for our
organisation, our staff, other service users and complainants or the complainant himself/herself.
UCC can be divided into five categories of conduct:
• Unreasonable persistence
• Unreasonable demands
• Unreasonable lack of cooperation
• Unreasonable arguments
• Unreasonable behaviours
3.2 Unreasonable persistence
Unreasonable persistence is continued, incessant and unrelenting conduct by a complainant that has a
disproportionate and unreasonable impact on our organisation, staff, services, time and/or resources. Some
examples of unreasonably persistent behaviour include:
• An unwil ingness or inability to accept reasonable and logical explanations including final decisions that
have been comprehensively considered and dealt with.
• Persistently demanding a review simply because it is available and without arguing or presenting a case
for one.
• Pursuing and exhausting al available review options when it is not warranted and refusing to accept
further action cannot or wil not be taken on their complaints.
• Reframing a complaint in an effort to get it taken up again.
• Bombarding our staff/organisation with phone cal s, visits, letters, emails (including cc’d correspondence)
after repeatedly being asked not to do so.
• Contacting different people within our organisation and/or external y to get a different outcome or more
sympathetic response to their complaint – internal and external forum shopping.
For more examples of unreasonable persistence see pages 39 – 43 of the practice manual.
3.3 Unreasonable demands
Unreasonable demands are any demands (express or implied) that are made by a complainant that have a
disproportionate and unreasonable impact on our organisation, staff, services, time and/or resources. Some
examples of unreasonable demands include:
• Issuing instructions and making demands about how we have/should handle their complaint, the priority
it was/should be given, or the outcome that was/should be achieved.
• Insisting on talking to a senior manager or the
[CEO / Director General/ Director / General Manager]
personal y when it is not appropriate or warranted.
• Emotional blackmail and manipulation with the intention to guilt trip, intimidate, harass, shame, seduce or
portray themselves as being victimised – when this is not the case.
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• Insisting on outcomes that are not possible or appropriate in the circumstances – eg for someone to be
sacked or prosecuted, an apology and/or compensation when no reasonable basis for expecting this.
• Demanding services that are of a nature or scale that we cannot provide when this has been explained to
them repeatedly.
For more examples of unreasonable demands see pages 50 – 54 of the practice manual.
3.4 Unreasonable lack of cooperation
Unreasonable lack of cooperation is an unwil ingness and/or inability by a complainant to cooperate with our
organisation, staff, or complaints system and processes that results in a disproportionate and unreasonable
use of our services, time and/or resources. Some examples of unreasonable lack of cooperation include:
• Sending a constant stream of comprehensive and/or disorganised information without clearly defining any
issues of complaint or explaining how they relate to the core issues being complained about – only where
the complainant is clearly capable of doing this.
• Providing little or no detail with a complaint or presenting information in ‘dribs and drabs’.
• Refusing to fol ow or accept our instructions, suggestions, or advice without a clear or justifiable reason
for doing so.
• Arguing frequently and/or with extreme intensity that a particular solution is the correct one in the face of
valid contrary arguments and explanations.
• Displaying unhelpful behaviour – such as withholding information, acting dishonestly, misquoting others,
and so forth.
For more examples of unreasonable lack of cooperation see pages 64 – 65 of the practice manual.
3.5 Unreasonable arguments
Unreasonable arguments include any arguments that are not based in reason or logic, that are
incomprehensible, false or inflammatory, trivial or delirious and that disproportionately and unreasonably
impact upon our organisation, staff, services, time, and/or resources. Arguments are unreasonable when they:
• fail to fol ow a logical sequence
• are not supported by any evidence and/or are based on conspiracy theories
• lead a complainant to reject all other valid and contrary arguments
• are trivial when compared to the amount of time, resources and attention that the complainant demands
• are false, inflammatory or defamatory.
For more examples of unreasonable arguments see pages 69 – 71 of the practice manual.
3.6 Unreasonable behaviour
Unreasonable behaviour is conduct that is unreasonable in al circumstances – regardless of how stressed, angry or
frustrated that a complainant is – because it unreasonably compromises the health, safety and security of our staff,
other service users or the complainant himself/herself. Some examples of unreasonable behaviours include:
• Acts of aggression, verbal abuse, derogatory, racist, or grossly defamatory remarks
• Harassment, intimidation or physical violence.
• Rude, confronting and threatening correspondence.
• Threats of harm to self or third parties, threats with a weapon or threats to damage property including
bomb threats.
• Stalking (in person or online).
• Emotional manipulation.
For more examples of unreasonable persistence see pages 77 – 85 of the practice manual.
All staff should note that
[organisation name] has a zero tolerance policy towards any harm, abuse or threats
directed towards them. Any conduct of this kind wil be dealt with under this policy,
[insert any other relevant
security policy/procedure] and in accordance with our duty of care and occupational health and safety
responsibilities.
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4. ROLES AND RESPONSIBILITIES
4.1 All staff
All staff are responsible for familiarising themselves with this policy as wel as the
Individual Rights and Mutual
Responsibilities of the Parties to a Complaint in Appendix A. Staff are also encouraged to explain the contents
of this document to al complainants particularly those who engage in UCC or exhibit the early warning signs
for UCC. See pages 16 - 18 of the practice manual.
Staff are also encouraged and authorised to use the strategies and scripts provided in Part 5 of the practice
manual to manage UCC, in particular:
• Strategies and script ideas for managing unreasonable persistence: pages 39 – 48.
• Strategies and script ideas for managing unreasonable demands: pages 50 – 63.
• Strategies and script ideas for managing unreasonable lack of cooperation: pages 64 – 68.
• Strategies and script ideas for managing unreasonable arguments: 69 – 76.
• Strategies and script ideas for managing unreasonable behaviours: pages 77 – 88.
However, it must be emphasised that any strategies that effectively change or restrict a complainant’s access
to our services must be considered at the
[nominated senior management level] or higher as provided in this
policy.
Staff are also responsible for recording and reporting al UCC incidents they experience or witness (as
appropriate) to the
[nominated senior manager] within 24 hours of the incident occurring, using the Sample
UCC incident form in Appendix B. A file note of the incident should also be copied into
[insert name of case
management database].
4.2 The [nominated senior manager]
The
[nominated senior manager], in consultation with relevant staff, has the responsibility and authority to
change or restrict a complainant’s access to our services in the circumstances identified in this policy. When
doing so they wil take into account the criteria in Part 7.2 below (adapted into a checklist in Appendix C) and
wil aim to impose any service changes/restrictions in the least restrictive ways possible. Their aim, when
taking such actions wil not be to punish the complainant, but rather to manage the impacts of their conduct.
When applying this policy the
[nominated senior manager] wil also aim to keep at least one open line of
communication with a complainant. However, we do recognise that in extreme situations all forms of contact
may need to be restricted for some time to ensure the health and safety and security of our staff and/or third
parties.
The
[nominated senior manager] is also responsible for recording, monitoring and reviewing al cases where
this policy is applied to ensure consistency, transparency and accountability for the application of this policy.
They wil also manage and keep a file record of al cases where this policy is applied.
4.3 Senior managers
All senior managers are responsible for supporting staff to apply the strategies in this policy, as wel as those in
the practice manual. Senior managers are also responsible for ensuring compliance with the procedures
identified in this policy and ensuring that al staff members are trained to deal with UCC – including on
induction.
Fol owing a UCC and/or stressful interaction with a complainant senior managers are responsible for providing
affected staff members with the opportunity to debrief and vent their concerns either formal y or informal y.
Senior managers wil also ensure that staff are provided with proper support and assistance including medical
and/or police assistance and support through programs such as Employee Assistance Program (EAPS), if
necessary.
Depending on the circumstances senior managers may also be responsible for arranging other forms of
support for staff which are detailed in Part 12 of this policy.
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5. RESPONDING TO AND MANAGING UCC
5.1 Changing or restricting a complainant’s access to our services
UCC incidents wil general y be managed by limiting or adapting the ways that we interact with and/or deliver
services to complainants by restricting:
•
Who they have contact with – eg limiting a complainant to a sole contact person/staff member in our
organisation.
•
What they can raise with us – eg restricting the subject matter of communications that we wil consider
and respond to.
•
When they can have contact – eg limiting a complainant’s contact with our organisation to a particular
time, day, or length of time, or curbing the frequency of their contact with us.
•
Where they can make contact – eg limiting the locations where we wil conduct face-to-face interviews to
secured facilities or areas of the office.
•
How they can make contact – eg limiting or modifying the forms of contact that the complainant can have
with us. This can include modifying or limiting face-to-face interviews, telephone and written
communications, prohibiting access to our premises, contact through a representative only, taking no
further action or terminating our services altogether.
When using the restrictions provided in this section we recognise that discretion wil need to be used to adapt
them to suit a complainant’s personal circumstances, level of competency, literacy skil s, etc. In this regard, we
also recognise that more than one strategy may need to be used in individual cases to ensure their
appropriateness and efficacy.
5.2 Who – limiting the complainant to a sole contact point
Where a complainant tries to forum shop internal y within our organisation, changes their issues of complaint
repeatedly, reframes their complaint, or raises an excessive number of complaints it may be appropriate to
restrict their access to a single staff member (a sole contact point) who wil exclusively manage their
complaint(s) and interactions with our office. This may ensure they are dealt with consistently and may
minimise the chances for misunderstandings, contradictions and manipulation.
To avoid staff ‘burn out’ the sole contact officer’s supervisor wil provide them with regular support and
guidance – as needed. Also, the
[nominated senior manager] wil review the arrangement every six months to
ensure that the officer is managing/coping with the arrangement.
Complainants who are restricted to a sole contact person wil however be given the contact details of one
additional staff member who they can contact if their primary contact is unavailable – eg they go on leave or
are otherwise unavailable for an extended period of time.
5.3 What – restricting the subject matter of communications that we will consider
Where complainants repeatedly send written communications, letters, emails, or online forms that raise trivial
or insignificant issues, contain inappropriate or abusive content or relate to a complaint/issue that has already
been comprehensively considered and/or reviewed (at least once) by our office, we may restrict the
issues/subject matter the complainant can raise with us/we wil respond to. For example, we may:
• Refuse to respond to correspondence that raises an issue that has already been dealt with
comprehensively, that raises a trivial issue, or is not supported by clear/any evidence. The complainant
wil be advised that future correspondence of this kind wil be read and filed without acknowledgement
unless we decide that we need to pursue it further in which case, we may do so on our ‘own motion’.
• Restrict the complainant to one complaint/issue per month. Any attempts to circumvent this restriction,
for example by raising multiple complaints/issues in the one complaint letter may result in modifications
or further restrictions being placed on their access.
• Return correspondence to the complainant and require them to remove any inappropriate content before
we wil agree to consider its contents. A copy of the inappropriate correspondence wil also be made and
kept for our records to identify repeat/further UCC incidents.
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5.4 When – limiting when and how a complainant can contact us
If a complainant’s telephone, written or face-to-face contact with our organisation places an unreasonable
demand on our time or resources because it is overly lengthy (eg disorganised and voluminous
correspondence) or affects the health safety and security of our staff because it involves behaviour that is
persistently rude, threatening, abusive or aggressive, we may limit when and/or how the complainant can
interact with us. This may include:
• Limiting their telephone cal s or face-to-face interviews to a particular time of the day or days of the week.
• Limiting the length or duration of telephone cal s, written correspondence or face-to-face interviews. For
example:
- Telephone cal s may be limited to
[10] minutes at a time and wil be politely terminated at the end of
that time period.
- Lengthy written communications may be restricted to a maximum of
[15] typed or written
pages,
single sided, font size 12 or it wil be sent back to the complainant to be organised and summarised –
This option is only appropriate in cases where the complainant is capable of summarising the
information and refuses to do so.
- Limiting face-to-face interviews to a maximum of
[45] minutes.
• Limiting the frequency of their telephone cal s, written correspondence or face-to-face interviews.
Depending on the natures of the service(s) provided we may limit:
- Telephone cal s to
[1] every two weeks/ month.
- Written communications to
[1] every two weeks/month.
- Face-to-face interviews to
[1] every two weeks/month.
For irrelevant, overly lengthy, disorganised or frequent written correspondence we may also:
• Require the complainant to clearly identify how the information or supporting materials they have sent to
us relate to the central issues that we have identified in their complaint.
• Restrict the frequency with which complainants can send emails or other written communications to our office.
• Restrict a complainant to sending emails to a particular email account (eg the organisation’s main email
account) or block their email access altogether and require that any further correspondence be sent
through Australia Post only.
Writing only restrictions
When a complainant is restricted to ‘writing only’ they may be restricted to written communications through:
• Australia Post only
• Email only to a specific staff email or our general office email account
• Fax only to a specific fax number
• Some other relevant form of written contact, where applicable.
If a complainant’s contact is restricted to ‘writing only’, the
[nominated senior manager] wil clearly identify
the specific means that the complainant can use to contact our office (eg Australia Post only). Also if it is not
suitable for a complainant to enter our premises to hand deliver their written communication, this must be
communicated to them as wel .
Any communisations that are received by our office in a manner that contravenes a ‘write only’ restriction will
either be returned to the complainant or read and filed without acknowledgement.
5.5 Where – limiting face-to-face interviews to secure areas
If a complainant is violent or overtly aggressive, unreasonably disruptive, threatening or demanding or makes
frequent unannounced visits to our premises, we may consider restricting our face-to-face contact with them.
These restrictions may include:
• Restricting access to particular secured premises or areas of the office – such as the reception area or
secured room/facility.
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• Restricting their ability to attend our premises to specified times of the day and/or days of the week only –
for example, when additional security is available or to times/days that are less busy.
• Al owing them to attend our office on an ‘appointment only’ basis and only with specified staff. Note –
during these meetings staff should always seek support and assistance of a col eague for added safety and
security.
• Banning the complainant from attending our premises altogether and al owing some other form of
contact – eg ‘writing only’ or ‘telephone only’ contact.
Contact through a representative only
In cases where we cannot completely restrict our contact with a complainant and their conduct is particularly
difficult to manage, we may also restrict their contact to contact through a support person or representative
only. The support person may be nominated by the complainant but must be approved by the
[nominated
senior manager].
When assessing a representative/support persons suitability, the
[nominated senior manager] should consider
factors like: the nominated representative/support person’s competency and literacy skills,
demeanour/behaviour and relationship with the complainant. If the
[nominated senior manager] determines
that the representative/support person may exacerbate the situation with the complainant the complainant
wil be asked to nominate another person or we may assist them in this regard.
5.6 Completely terminating a complainant’s access to our services
In rare cases, and as a last resort when al other strategies have been considered and/or attempted, the
[nominated senior manager and the CEO/Director General/Director/General Manager] may decide that it is
necessary for our organisation to completely restrict a complainant’s contact/access to our services.
A decision to have no further contact with a complainant wil only be made if it appears that the complainant
is unlikely to modify their conduct and/or their conduct poses a significant risk for our staff or other parties
because it involves one or more of the fol owing types of conduct:
• Acts of aggression, verbal and/or physical abuse, threats of harm, harassment, intimidation, stalking,
assault.
• Damage to property while on our premises.
• Threats with a weapon or common office items that can be used to harm another person or themselves.
• Physical y preventing a staff member from moving around freely either within their office or during an off-
site visit – eg entrapping them in their home.
• Conduct that is otherwise unlawful.
In these cases the complainant wil be sent a letter notifying them that their access has been restricted as
outlined in Part 7.4 below.
A complainant’s access to our services and our premises may also be restricted (directly or indirectly) using the
legal mechanisms such as trespass laws/legislation or legal orders to protect members of our staff from
personal violence, intimidation or stalking by a complainant. For more information, about the types of
circumstances where legal mechanisms may be used to deal with UCC, please see:
•
Unauthorised entry onto agency premises – applying the provisions of the Inclosed Lands Protection Act
1901 (NSW)
•
Orders to address violence, threats, intimidation and / or stalking by complainants.
6. ALTERNATIVE DISPUTE RESOLUTION
6.1 Using alternative dispute resolution strategies to manage conflicts with
complainants
If the
[nominated senior manager] and the
[CEO/ Director General/Director/General Manager] determine that
we cannot terminate our services to a complainant in a particular case or that we/our staff bear some
responsibility for causing or exacerbating their conduct, they may consider using alternative dispute resolution
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strategies (‘ADR’) such as mediation and conciliation to resolve the conflict with the complainant and attempt
to rebuild our relationship with them. If ADR is considered to be an appropriate option in a particular case, the
ADR will be conducted by an independent third party to ensure transparency and impartiality.
However, we recognise that in UCC situations, ADR may not be an appropriate or effective strategy particularly
if the complainant is uncooperative or resistant to compromise. Therefore, each case will be assessed on its
own facts to determine the appropriateness of this approach.
[Insert reference to relevant polic(ies) concerning the use of ADR, mediation, and/or conciliation, if applicable.]
7. PROCEDURE TO BE FOLLOWED WHEN CHANGING OR RESTRICTING A
COMPLAINANT’S ACCESS TO OUR SERVICES
7.1 Consulting with relevant staff
When the
[nominated senior manager] receives a UCC incident form from a staff member they wil contact the
staff member to discuss the incident. They will discuss:
• The circumstances that gave rise to the UCC/incident.
• The impact of the complainant’s conduct on our organisation, relevant staff, our time, resources, etc.
• The complainant’s responsiveness to the staff member’s warnings/requests to stop the behaviour.
• The actions the staff member has taken to manage the complainant’s conduct, if any.
• The suggestions made by relevant staff on ways that the situation could be managed.
7.2 Criteria to be considered
Fol owing a consultation with relevant staff the
[nominated senior manager] wil search the
[insert name of
case management system] for information about the complainant’s prior conduct and history with our
organisation. They will also wil consider the following criteria:
• Whether the conduct in question involved overt anger, aggression, violence or assault (which is
unacceptable in al circumstances).
• Whether the complainant’s case has merit.
• The likelihood that the complainant wil modify their unreasonable conduct if they are given a formal
warning about their conduct.
• Whether changing or restricting access to our services wil be effective in managing the complainant’s
behaviour.
• Whether changing or restricting access to our services wil affect the complainant’s ability to meet their
obligations, such as reporting obligations.
• Whether changing or restricting access to our services wil have an undue impact on the complainant’s
welfare, livelihood or dependents etc.
• Whether the complainant’s personal circumstances have contributed to the behaviour? For example, the
complainant is a vulnerable person who is under significant stress as a result of one or more of the
fol owing:
- homelessness
- physical disability
- il iteracy or other language or communication barrier
- mental or other il ness
- personal crises
- substance or alcohol abuse.
• Whether the complainant’s response/ conduct in the circumstances was moderately disproportionate,
grossly disproportionate or not at all disproportionate.
• Whether there any statutory provisions that would limit the types of limitations that can be put on the
complainant’s contact/access to our services.
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Once the
[nominated senior manager] has considered these factors they will decide on the appropriate course
of action. They may suggest formal or informal options for dealing with the complainant’s conduct which may
include one or more of the strategies provided in the practice manual and this policy.
See Appendix C – Sample checklist for
[nominated senior manager] to consider when deciding to modify or
restrict a complainant's access.
7.3 Providing a warning letter
Unless a complainant’s conduct poses a substantial risk to the health and safety of staff or other third parties,
the
[nominated senior manager] wil provide them with a written warning about their conduct in the first
instance.
The warning letter wil :
• Specify the date, time and location of the UCC incident.
• Explain why the complainant’s conduct/ UCC incident is problematic.
• List the types of access changes and/or restrictions that may be imposed if the behaviour continues.
(Note: not every possible restriction should be listed only those that are most relevant).
• Provide clear and ful reasons for the warning being given
• Include an attachment of the organisation's ground rules and / or briefly state the standard of behaviour
that is expected of the complainant. See Appendix A.
• Provide the name and contact details of the staff member who they can contact about the letter.
• Be signed by the
[nominated senior manager or preferably the CEO/Director General/Director/General
Manager].
See Appendix D – Sample warning letter.
7.4 Providing a notification letter
If a complainant’s conduct continues after they have been given a written warning or in extreme cases of overt
aggression, violence, assault or other unlawful/unacceptable conduct the
[nominated senior manager] has the
discretion to send a notification letter immediately restricting the complainant’s access to our services
(without prior written warning).
This notification letter wil :
• Specify the date, time and location of the UCC incident(s).
• Explain why the complainant’s conduct/UCC incident(s) is problematic.
• Identify the change and/or restriction that wil be imposed and what it means for the complainant.
• Provide clear and ful reasons for this restriction.
• Specify the duration of the change or restriction imposed, which wil not exceed 12 months.
• Indicate a time period for review.
• Provide the name and contact details of the senior officer who they can contact about the letter and/or
request a review of the decision.
• Be signed by the
[nominated senior manager or preferably the CEO/Director/General Manager]. • See Appendix E – Sample letter notifying complainants of a decision to change or restrict their access to
our services.
7.5 Notifying relevant staff about access changes/restrictions
The
[nominated senior manager] wil notify relevant staff about any decisions to change or restrict a
complainant’s access to our services, in particular reception and security staff in cases where a complainant is
prohibited from entering our premises.
The
[nominated senior manager] wil also update the
[insert name of case management system and/or other
centralised register/list] with a record outlining the nature of the restrictions imposed and their duration.
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7.6 Continued monitoring/oversight responsibilities
Once a complainant has been issued with a warning letter or notification letter the
[nominated senior
manager] wil review the complainant’s record/restriction every
[3 months], on request by a staff member, or
fol owing any further incidents of UCC that involve the particular complainant to ensure that they are
complying with the restrictions/the arrangement is working.
If the
[nominated senior manager] determines that the restrictions have been ineffective in managing the
complainant’s conduct or are otherwise inappropriate they may decide to either modify the restrictions,
impose further restrictions or terminate the complainant’s access to our services altogether.
8. APPEALING A DECISION TO CHANGE OR RESTRICT ACCESS TO OUR
SERVICES
8.1 Right of appeal
Complainants are entitled to one appeal of a decision to change/restrict their access to our services. This
review wil be undertaken by a senior staff member who was not involved in the original decision to change or
restrict the complainant’s access. This staff member wil consider the complainant’s arguments along with al
relevant records regarding the complainant’s past conduct. They wil advise the complainant of the outcome of
their appeal by letter which must be signed off by the
[CEO/Director General/Director/General Manager].The
staff member wil then refer any materials/records relating to the appeal to the
[nominated senior manager]
to be kept in the appropriate file.
If a complainant continues to be dissatisfied after the appeal process, they may seek an external review from
an oversight agency such as the Ombudsman. The Ombudsman may accept the review (in accordance with its
administrative jurisdiction) to ensure that we have acted fairly, reasonably and consistently and have observed
the principles of good administrative practice including, procedural fairness.
9. NON-COMPLIANCE WITH A CHANGE OR RESTRICTION ON ACCESS TO
OUR SERVICES
9.1 Recording and reporting incidents of non-compliance
Al staff members are responsible for recording and reporting incidents of non-compliance by complainants.
This should be recorded in a file note in
[insert case management system] and a copy forwarded to the
[nominated senior manager] who wil decide whether any action needs to be taken to modify or further
restrict the complainant’s access to our services.
10. PERIODIC REVIEWS OF ALL CASES WHERE THIS POLICY IS APPLIED
10.1 Period for review
Al UCC cases where this policy is applied wil be reviewed every 3 months or 6 months (depending on the
nature of the service provided) and not more than 12 months after the service change or restriction was
initial y imposed or continued/upheld.
10.2 Notifying the complainant of an upcoming review
The
[nominated senior manager] wil invite al complainants to participate in the review process unless they
determine that this invitation wil provoke a negative response from the complainant (ie further UCC). The
invitation wil be given and the review wil be conducted in accordance with the complainant’s access restrictions
(eg if contact has been restricted to writing only then the invitation to participate wil be done in writing).
See Appendix F – Sample letter notifying a complainant of an upcoming review.
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10.3 Criteria to be considered during a review
When conducting a review the
[nominated senior manager] wil consider:
• Whether the complainant has had any contact with the organisation during the restriction period.
• The complainant’s conduct during the restriction period.
• Any information/arguments put forward by the complainant for review.
• Any other information that may be relevant in the circumstances.
The
[nominated senior manager] may also consult any staff members who have had contact with the
complainant during the restriction period.
Note – Sometimes a complainant may not have a reason to contact our office during their restriction period.
As a result, a review decision that is based primarily on the fact that the complainant has not contacted our
organisation during their restriction period (apparent compliance with our restriction) may not be an accurate
representation of their level of compliance/reformed behaviour. This should be taken into consideration, in
relevant situations.
See Appendix G – Sample checklist for reviewing an access change/restriction.
10.4 Notifying a complainant of the outcome of a review
The
[nominated senior manager] wil notify the complainant of the outcome of their review using the
appropriate/relevant method of communication as wel as a written letter explaining the outcome, as
applicable. The review letter wil :
• Briefly explain the review process.
• Identify the factors that have been taken into account during the review.
• Explain the decision/outcome of the review and the reasons for it.
If the outcome of the review is to maintain or modify the restriction the review letter wil
also:
• Indicate the nature of the new or continued restriction.
• State the duration of the new restriction period.
• Provide the name and contact details of the
[nominated senior manager or relevant officer] who the
complainant can contact to discuss the letter.
• Be signed by the
[nominated senior manager or preferably the CEO/Director/General Manager]. See Appendix H – Sample letter advising the complainant of the outcome of a review.
10.5 Recording the outcome of a review and notifying relevant staff
Like al other decisions made under this policy, the
[nominated senior manager] is responsible for keeping a
record of the outcome of the review, updating
[insert case management system or other centralised register/list] and notifying al relevant staff of the outcome of the review including if the restriction has been withdrawn.
See Parts 4.2 and 7.5 above.
11 MANAGING STAFF STRESS
11.1 Staff reactions to stressful situations
Dealing with complainants who are demanding, abusive, aggressive or violent can be extremely stressful and
at times distressing or even frightening for al our staff – both experienced and inexperienced. It is perfectly
normal to get upset or experience stress when dealing with difficult situations.
As an organisation, we have a responsibility to support staff members who experience stress as a result of
situations arising at work and we wil do our best to provide staff with debriefing and counsel ing
opportunities, when needed. However, to do this we also need help of al
[name of organisation] staff to
identify stressful incidents and situations. As a result, al staff have a responsibility to notify relevant
supervisors/senior managers of UCC incidents and any stressful incidents that they believe require
management involvement.
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11.2 Debriefing
Debriefing means talking things through fol owing a difficult or stressful incident. It is an important way of ‘off-
loading’ or dealing with stress. Many staff members natural y do this with col eagues after a difficult telephone
cal , but debriefing can also be done with a supervisor or senior manager or as a team fol owing a significant
incident. We encourage al staff to engage in an appropriate level of debriefing, when necessary.
Staff may also access an external professional service on a needs basis. All staff can access the Employee
Assistance Program – a free, confidential counsel ing service. To make an appointment call: 1300 366 789. For
traumatic incident or crisis counsel ing, cal 1800 451 138. Brochures about this service are available
[refer to
relevant officers and locations where brochures are kept for employees to access].
12 OTHER REMEDIES
12.1 Compensation for injury
Any staff member who suffers injury as a result of aggressive behaviour from complainants is entitled to make
a workers’ compensation claim.
[Personnel] will assist wherever possible in processing claims. If you are the
victim of an assault, they may also be able to apply to the Victim’s Compensation Tribunal for compensation.
12.2 Compensation for damage to clothing or personal affects
Where damage is suffered to clothing or personal effects as a result of aggression by a complainant,
compensation may be sought.
[Insert reference to policy on Compensation to staff for loss or damage to private property].
12.3 Legal assistance
If a staff member is physical y attacked, or is a victim of employment generated harassment and the police do
not lay charges, the
[CEO] wil consider providing reasonable legal assistance if the staff members wishes to
take civil action.
12.4 Threats outside the office or outside working hours
Where threats are directed at a particular staff member and it appears those threats may be carried out
outside normal working hours or outside the office, the staff member wil receive the support of the office.
Requests for such assistance should be made to the
[nominated senior manager].
12.5 Escorts home
When a staff member fears for their safety fol owing a threat from a complainant, another staff member may
accompany them home or the office can meet the cost of the staff member going home in a taxi. Ask the
[nominated senior manager] for more information.
12.6 Telephone threats on home numbers
If a staff member or their family have been harassed by telephone at their home and they believe it is
connected with their employment they may apply to have the office meet the cost of having their telephone
number changed and/or made silent. The staff member should also contact their telephone carrier, as they
may provide an interception/monitoring service.
If assistance is approved, the office wil meet the cost incurred for a period up to 12 months. Once approval is
given, the staff member is responsible for making the necessary arrangements and wil be reimbursed after
producing a paid account.
Applications for reimbursement must be approved by the
[nominated senior manager and/or the CEO].
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12.7 Other security measures
If other security measures are necessary, the office wil give consideration to providing al reasonable support
to ensure the safety and welfare of the staff member.
13. TRAINING AND AWARENESS
[Name of organisation] is committed to ensuring that all staff are aware of and know how to use this policy.
All staff who deal with complainants in the course of their work wil also receive appropriate training and
information on using this policy and on managing UCC on a regular basis in particular, on induction.
14. OMBUDSMAN MAY REQUEST COPIES OF OUR RECORDS
[Organisation name] wil keep records of al cases where this policy is applied, including a record of the total
number of cases where it is used every year. This data may be requested by the Ombudsman to conduct an
overal audit and review in accordance with its administrative functions and/or to inform its work on UCC.
15. POLICY REVIEW
Al staff are responsible for forwarding any suggestions they have in relation to this policy to the
[nominated
senior manager], who along with relevant senior managers wil review it biennial y (every 2 years).
16. SUPPORTING DOCUMENTS AND POLICIES
16.1 Statement of compliance
This policy is compliant with and supported by the fol owing documents:
•
[Organisation name] Occupational Health and Safety Policy
•
[Organisation name] Complaint Handling Policy and Procedures
•
[Organisation name]Alternative Dispute Resolution Policy and Procedure
• Managing unreasonable complainant conduct practice manual (2nd edition)
• Unauthorised entry onto agency premises – applying the provisions of the Inclosed Lands Protection Act
1901 (NSW)
[and/or equivalent organisation policy]
• Orders to address violence, threats, intimidation and / or stalking by complainants
[and/or equivalent
organisation policy]
•
[insert any other relevant documentation/policy that may be relevant]
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link to page 20
Appendix A
Individual Rights and Mutual Responsibilities of the Parties to a Complaint
[Note – The information in appendix may need to be altered to suit your organisation’s individual
circumstances, including changing certain terminology. Also, the term ‘rights’ is used to demonstrate a
guarantee of the standard of service and behaviour that all parties should meet if a complaints process is to be
effective. It is not used to depict a legally enforceable entitlement – although some are.]
In order for
[name of organisation] to ensure that al complaints are dealt with fairly, efficiently and effectively
and that occupational health and safety standards and duty of care obligations are adhered to, the fol owing
rights and responsibilities must be observed and respected by al of the parties to the complaint process.
Individual rights1
Complainants have the right:
• to make a complaint and to express their opinions in ways that are reasonable, lawful and appropriate2
• to a reasonable explanation of the organisation’s complaints procedure, including details of the
confidentiality, secrecy and/or privacy rights or obligations that may apply
• to a fair and impartial assessment and, where appropriate, investigation of their complaint based on the
merits of the case3
• to a fair hearing4
• to a timely response
• to be informed in at least general terms about the actions taken and outcome of their complaint5
• to be given reasons that explain decisions affecting them
• to at least one right of review of the decision on the complaint6
• to be treated with courtesy and respect
• to communicate valid concerns and views without fear of reprisal or other unreasonable response.7
Staff have the right:
• to determine whether, and if so how, a complaint wil be dealt with
• to finalise matters on the basis of outcomes they consider to be satisfactory in the circumstances8
• to expect honesty, cooperation and reasonable assistance from complainants
• to expect honesty, cooperation and reasonable assistance from organisations and people within
jurisdiction who are the subject of a complaint
• to be treated with courtesy and respect
• to a safe and healthy working environment9
• to modify, curtail or decline service (if appropriate) in response to unacceptable behaviour by a
complainant.10
Subjects of a complaint have the right:
• to a fair and impartial assessment and, where appropriate, investigation of the allegations made against
them
• to be treated with courtesy and respect by staff of the
[name of organisation] • to be informed (at an appropriate time) about the substance of the al egations made against them that
are being investigated11
• to be informed about the substance of any proposed adverse comment or decision
• to be given a reasonable opportunity to put their case during the course of any investigation and before
any final decision is made12
• to be told the outcome of any investigation into al egations about their conduct, including the reasons for
any decision or recommendation that may be detrimental to them
• to be protected from harassment by disgruntled complainants acting unreasonably.
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Mutual responsibilities
Complainants are responsible for:
• treating staff of the
[name of organisation] with courtesy and respect
• clearly identifying to the best of their ability the issues of complaint, or asking for help from the staff of
the
[name of organisation] to assist them in doing so
• providing to the best of their ability the
[name of organisation] with al the relevant information available
to them at the time of making the complaint
• being honest in al communications with the
[name of organisation]
• informing the
[name of organisation] of any other action they have taken in relation to their complaint13
• cooperating with the staff who are assigned to assess/ investigate/resolve/determine or otherwise deal
with their complaint.
If complainants do not meet their responsibilities,
[name of organisation] may consider placing limitations or
conditions on their ability to communicate with staff or access certain services.
[Name of organisation] has a zero tolerance policy in relation to any harm, abuse or threats directed towards
its staff. Any conduct of this kind may result in a refusal to take any further action on a complaint or to have
further dealings with the complainant.14 Any such conduct of a criminal nature wil be reported to police and in
certain cases legal action may also be considered.
Staff are responsible for:
• providing reasonable assistance to complainants who need help to make a complaint and, where
appropriate, during the complaint process
• dealing with al complaints, complainants and people or organisations the subject of complaint
professional y, fairly and impartial y
• giving complainants or their advocates a reasonable opportunity to explain their complaint, subject to the
circumstances of the case and the conduct of the complainant
• giving people or organisations the subject of complaint a reasonable opportunity to put their case during
the course of any investigation and before any final decision is made15
• informing people or organisations the subject of investigation, at an appropriate time, about the
substance of the allegations made against them16 and the substance of any proposed adverse comment or
decision that they may need to answer or address17
• keeping complainants informed of the actions taken and the outcome of their complaints18
• giving complainants reasons that are clear and appropriate to their circumstances and adequately
explaining the basis of any decisions that affect them
• treating complainants and any people the subject of complaint with courtesy and respect at al times and
in al circumstances
• taking all reasonable and practical steps to ensure that complainants19 are not subjected to any
detrimental action in reprisal for making their complaint20
• giving adequate warning of the consequences of unacceptable behaviour.
If the
[name of organisation] or its staff fail to comply with these responsibilities, complainants may complain
to the
[name and contact details of relevant person, position or body].
Subjects of a complaint are responsible for:
• cooperating with the staff of the
[name of organisation] who are assigned to handle the complaint,
particularly where they are exercising a lawful power in relation to a person or body within their
jurisdiction21
• providing al relevant information in their possession to the
[name of organisation] or its authorised staff
when required to do so by a properly authorised direction or notice
• being honest in al communications with
[name of organisation] and its staff
• treating the staff of the
[name of organisation] with courtesy and respect at al times and in al
circumstances
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• refraining from taking any detrimental action against the complainant22 in reprisal for them making the
complaint.23
If subjects of a complaint fail to comply with these responsibilities, action may be taken under relevant laws
and/or codes of conduct.
[Name of organisation] is responsible for:
• having an appropriate and effective complaint handling system in place for receiving, assessing, handling,
recording and reviewing complaints
• decisions about how al complaints wil be dealt with
• ensuring that al complaints are dealt with professional y, fairly and impartial y24
• ensuring that staff treat al parties to a complaint with courtesy and respect
• ensuring that the assessment and any inquiry into the investigation of a complaint is based on sound
reasoning and logical y probative information and evidence
• finalising complaints on the basis of outcomes that the organisation, or its responsible staff, consider to be
satisfactory in the circumstances25
• implementing reasonable and appropriate policies/procedures/practices to ensure that complainants26
are not subjected to any detrimental action in reprisal for making a complaint27, including maintaining
separate complaint files and other operational files relating to the issues raised by individuals who make
complaints
• giving adequate consideration to any confidentiality, secrecy and/or privacy obligations or responsibilities
that may arise in the handling of complaints and the conduct of investigations.
If the [name of organisation] fails to comply with these responsibilities, complainants may complain to the
[name and contact details of the relevant person, position or body].
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ENDNOTES
1 The word ‘rights’ is not used here in the sense of legally enforceable rights (although some are), but in the sense of guarantees of certain
standards of service and behaviour that a complaint handling system should be designed to provide to each of the parties to a complaint.
2 Differences of opinion are normal: people perceive things differently, feel things differently and want different things. People have a
right to their own opinions, provided those opinions are expressed in acceptable terms and in appropriate forums.
3 While degrees of independence wil vary between complaint handlers, al should assess complaints fairly and as impartial y as possible,
based on a documented process and the merits of the case.
4 The ‘right to be heard’ refers to the opportunity to put a case to the complaint handler/decision-maker. This right can be modified,
curtailed or lost due to unacceptable behaviour, and is subject to the complaint handler’s right to determine how a complaint wil be dealt
with.
5 Provided this will not prejudice on-going or reasonably anticipated investigations or disciplinary/criminal proceedings.
6 Such a right of review can be provided internally to the organisation, for example by a person not connected to the original decision.
7 Provided the concerns are communicated in the ways set out in relevant legislation, policies and/or procedures established for the
making of such complaints/al egations/disclosures/etc.
8 Some complaints cannot be resolved to the complainant’s satisfaction, whether due to unreasonable expectations or the particular facts
and circumstances of the complaint [see also Endnote 25].
9 See for example WH&S laws and the common law duty of care on employers.
10 Unacceptable behaviour includes verbal and physical abuse, intimidation, threats, etc.
11 Other than where there is an overriding public interest in curtailing the right, for example where to do so could reasonable create a
serious risk to personal safety, to significant public funds, or to the integrity of an investigation into a serious issue. Any such notifications
or opportunities should be given as required by law or may be timed so as not to prejudice that or any related investigation.
12 Depending on the circumstances of the case and the seriousness of the possible outcomes for the person concerned, a reasonable
opportunity to put their case, or to show cause, might involve a face to face discussion, a written submission, a hearing before the
investigator or decision maker, or any combination of the above.
13 For example whether they have made a similar complaint to another relevant person or body or have relevant legal proceedings at foot.
14 Other than in circumstances where the organisation is obliged to have an ongoing relationship with the complainant.
15 See Endnote 11.
16 Other than where an al egation is so lacking in merit that it can be dismissed at the outset.
17 See Endnote 11.
18 See Endnote 5.
19 ‘Complainants’ include whistleblowers/people who make internal disclosures.
20 ‘Complaints’ includes disclosures made by whistleblowers/people who make internal disclosures.
21 This does not include any obligation to incriminate themselves in relation to criminal or disciplinary proceedings, unless otherwise
provided by statute.
22 See Endnote 19.
23 See Endnote 20.
24 See Endnote 3.
25 Once made, complaints are effectively ‘owned’ by the complaint handler who is entitled to decide (subject to any statutory provisions
that may apply) whether, and if so how, each complaint will be dealt with, who will be the case officer/investigator/decision-maker/etc,
the resources and priority given to actioning the matter, the powers that will be exercised, the methodology used, the outcome of the
matter, etc. Outcomes arising out of a complaint may be considered by the complaint handler to be satisfactory whether or not the
complainants, any subjects of complaint or the organisation concerned agrees with or is satisfied with that outcome.
26 See Endnote 19.
27 See Endnote 20.
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Appendix B
Sample UCC incident form
This form should only be completed if you encounter unreasonable complainant conduct
and consider that
steps may need to be taken to change or restrict a complainant’s access to services provide by our
organisation.
You must complete this form and send it electronical y or by hand to
[the nominated senior manager] within
24 hours of a UCC incident
. They wil decide on the necessary and appropriate course of action for responding
to and managing the complainant’s conduct.
Date: _________________________________
Case officer’s name:__________________________
Name of complainant: ___________________
Complainant’s case file number:_________________
Details of the complainant’s conduct/incident including whether emergency services were contacted:
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
Why do you consider this conduct to be unreasonable?
For example – has it occurred before/repeatedly, caused significant disruptions to our organisation, has or
could raise significant health and safety issues for our staff or other persons.
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
What action, if any, have you taken to deal with/manage the complainant’s conduct?
For example – warning the complainant ‘verbal y’ about their conduct, other/previous attempts to manage the
behaviour etc.
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
What do you think should be done to effectively manage the complainant’s conduct?
Note – the final decision on the appropriate course of action wil be made by the
[nominated senior manager].
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
Is there any other information that might be relevant to this case? If necessary, attach any supporting
documentation.
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
__________________________________________________________________________________________
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Appendix C
Sample checklist for the [nominated senior manager] to consider when
deciding to modify or restrict a complainant’s access
I have received a signed and completed incident form from the case officer(s) involved (attach copy).
I have spoken with relevant case officer(s) to obtain further information, as needed.
I have reviewed the complainant’s record and al the relevant information in it.
I have referred to and considered Part 7.2 Criteria to be considered which includes an assessment of the
fol owing:
The merits of the complainants case
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
The complainant’s circumstances
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
Jurisdictional issues
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
Proportionality
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
Organisational or case officer responsibility
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
Responsiveness, including previous conduct
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
Case officer’s personal boundaries
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
Conduct that is unreasonable in al circumstances (assault, threats of harm etc.)
_______________________________________________________________________________
_______________________________________________________________________________
_______________________________________________________________________________
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Along with the case officer concerned and
[any other nominated senior officers], I have considered al
reasonable options for managing the complainant’s conduct, including those that do not involve
restricting their access to our services.
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
The complainant has been warned about their conduct in writing, and the letter has been signed by the
(CEO) if applicable.
The complainant has been advised in writing of our decision to restrict their access to our organisation,
and the letter has been signed by the
(CEO) if applicable.
I have made a record of my assessment and decision about the complainant’s conduct and al relevant
staff members have been notified of my decision.
An electronic alert has been created in
[case management system] that notifies any staff dealing with
this complainant of the nature of the conduct that caused us to be concerned, the nature of the
restriction that has been placed on their access, its duration, how they are to deal with the complainant
(including who they should direct any communications from the complainant to).
Date: _______________________
Signature: _______________________________
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Appendix D
Sample warning letter
[To be signed by the CEO or nominated senior manager]
Our reference:
[reference]
Contact:
[case officer]
Telephone:
[number]
[Date]
[Name of complainant]
[Address of complainant]
Dear
[name of complainant]
Your contact with [name of organisation]
You recently had
[state the form of contact – e.g. telephone, written or face-to-face] with staff at my office on
[date].
[During/In that telephone call/appointment/letter,] I understand that you
[explain the nature of the
conduct that has caused the organisation to be concerned].
We consider this type of behaviour to be inappropriate and it must stop. If you continue to behave in this way
or in any other way that my staff consider to be unreasonable, we wil impose restrictions on your contact with
our office. This may involve restricting your contact to
[apply the relevant option(s)]:
• ‘Writing only’ – this means that we wil only accept communications from you in writing, delivered by
Australia Post
[if online or other written communications are preferred then explain].
• ‘Telephone contact only’ – this means that you wil only be able to contact us by telephone on a specified
time and day of the week.
• ‘Face-to-face contact only’ – this means that your contact wil be limited to scheduled face-to-face
meetings with a specified member of our staff.
Or any other restriction that we consider to be appropriate in the circumstances.
I have attached a copy of a document called
[Individual rights and mutual responsibilities of the parties to a
complaint] for your reference
. We expect everyone who complains to this office to act in the ways described in
this document.
If you have any questions about this letter, contact
[provide name and phone number of the nominated senior
manager].
Yours sincerely,
[Nominated senior manager/CEO/Director General/Director/General Manager]
Guideline to accompany the unreasonable complainant conduct model policy - February 2013
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Appendix E
Sample letter notifying a complainant of a decision to change or restrict their
access to our services
[To be signed by the CEO or nominated senior manager]
Our reference:
[reference]
Contact:
[case officer]
Telephone:`
[number]
[Date]
[Name of complainant]
[Address of complainant]
Dear
[name of complainant]
Decision to restrict your contact with [name of organisation]
It has come to my attention that you
[describe the nature of the unreasonable conduct and its impact – e.g. if the
complainant has been sending emails to several members of my staff on a daily basis…]
I understand that my staff have previously told you that we consider this conduct to be unreasonable and
unwarranted.
I also wrote to you on
[date] and asked you to stop this behaviour. In that letter I advised you that if your behaviour
continued, we would restrict your contact with my organisation. At the time I also attached a copy of our
[Individual
rights and mutual responsibilities of the parties to a complaint] which outlines your responsibilities as a complainant.
Because your behaviour has continued, I now consider it necessary to impose certain restrictions on your future
contact with my organisation. I therefore give you notice that from
[date], and with the exception(s) detailed below,
my organisation wil only accept communication from you
[identify permissible form of contact, if any].
What this means
This means that you are only to contact our organisation using
[describe the restriction in further details]. Any
communications that do not comply with this restriction wil be
[describe what wil happen – e.g. phone calls
wil be terminated immediately or emails/written communications wil be read and filed without
acknowledgment, emails wil be blocked or deleted, no interviews wil be granted, etc].
[Note: the complainant should be clearly informed how they can contact the organisation and how the
organisation wil contact them].
Your existing complaint (if applicable)
This organisation currently has one file open in your name. This relates to
[state the subject of complaint and
describe complaint]. This file is being handled by
[name of officer and position title]. While you are able to
contact
[name of officer] [state nature of contact – e.g. by email] about this specific matter, al other contact
with my organisation, including any future complaints, must be
[state restriction – e.g. in writing through
Australia Post] [provide contact details – e.g. address of organisation where post can be sent].
Review of this decision
My decision to restrict your contact with this organisation is effective immediately and wil last for
[ 3
months/6 months/12 months]. At that time we wil review your restriction and decide if it should be
maintained, amended or withdrawn.
I take these steps with the greatest reluctance, but
[state reason for restriction – e.g. the equity and safety of
other complainants and my staff], leaves me no alternative.
If you have any questions about this letter, you can contact
[provide name and phone number of the
nominated senior manager].
Yours sincerely,
Guideline to accompany the unreasonable complainant conduct model policy - February 2013
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[Nominated senior manager/CEO/Director General/Director/General Manager]
Appendix F
Sample letter notifying a complainant of an upcoming review
[To be signed by the CEO or nominated senior manager]
Our reference:
[reference]
Contact:
[case officer]
Telephone:
[number]
[Date]
[Name of complainant]
[Address of complainant]
Dear
[name of complainant]
Upcoming review of the decision to restrict your contact with [name of organisation]
It has now been
[3 months/6 months/12 months] since restrictions were
[imposed/upheld] on your contact
with our office. As advised in our letter dated
[date], we are now reviewing our decision to ascertain whether
the restrictions should be maintained, amended or withdrawn.
We consider it important to give you an opportunity to participate in the review process, so we are therefore
inviting you to
[apply the relevant option(s)]:
• make submissions in writing through Australia Post
[include contact person’s name and address]
• schedule a face-to-face interview with
[include name of staff member and provide instructions on how
they should go about scheduling the appointment – e.g. calling though the reception line on xxx-xxx-
xxxx]
• schedule a telephone interview with
[include name of staff member and provide instructions on how
they should go about scheduling the appointment – e.g. cal ing though the reception line on xxx-xxx-
xxxx]
In your letter, you should include information that would be relevant to our review. This includes information
about
[.....]/During the interview which wil not last more than 30 minutes, we will discuss whether:
• you have complied with the current contact restrictions
• the current contact restrictions should be removed
• the current contact restrictions should be amended to better suit your personal circumstances
• the current contact restrictions should be maintained
• any other information that is relevant to our decision.
We must receive your letter by
[time and date]/you should confirm your interview with
[name of case officer]
by
[time and date]. If we do not receive it/hear from you by this date, we wil assume that you do not wish to
participate in this review and wil undertake the review based on the information that we have available to us.
Once the review is completed, we wil contact you again by letter notifying you of our decision.
If you have any questions about this letter, you can contact
[provide name and phone number of the
nominated senior manager].
Yours sincerely,
[Nominated senior manager/CEO/Director General/Director/General Manager]
Guideline to accompany the unreasonable complainant conduct model policy - February 2013
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Appendix G
Sample checklist for reviewing a decision regarding an access change/restriction
The complainant has been sent a letter notifying them of the review.
The complainant wil /wil not participate in the review.
the complainant has/has not scheduled a face-to-face interview
the complainant has/has not made written submissions
the complainant has/has not scheduled a telephone interview
I have reviewed al the information in the
[case management system] from the last 12 months
[or
relevant period of the restriction] about the complainant’s:
contact with the office (explain form of contact)
___________________________________________________________________________________
___________________________________________________________________________________
conduct during that contact (explain if conduct reasonable or unreasonable)
___________________________________________________________________________________
___________________________________________________________________________________
I have spoken with the case officers who have had contact with the complainant during the last 12
months about the complainant’s conduct during that period.
I have considered the arguments/statements made by the complainant, including the impact of the
restrictions on them (explain complainant’s position, including if their circumstances have changed
etc.)
Note: if the complainant is arguing that their circumstances have changed, they should be
required to submit evidence to support this claim.
___________________________________________________________________________________
___________________________________________________________________________________
I have considered whether there are other more reasonable/suitable options for managing the
complainant’s conduct, including those that do not involve restricting their access to our services (list
al that apply).
___________________________________________________________________________________
___________________________________________________________________________________
I consider that the restriction should be (explain):
maintained
–e.g. because the conduct has continued or is likely to continue, is disproportionate etc.
removed –
e.g. because the complainant has complied with the restrictions etc.
amended
– e.g. because the complainant’s circumstances have changed and the current
restriction is no longer appropriate.
___________________________________________________________________________________
___________________________________________________________________________________
I have discussed my decision with [
other nominated senior officers]
The complainant has been advised in writing of my decision to maintain/remove/ amend the
restriction and this letter has been signed by the
(CEO).
The
[case management system] has been updated to reflect my decision.
Date: _______________________
Signature:______________________
Guideline to accompany the unreasonable complainant conduct model policy - February 2013
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Appendix H
Sample letter advising the complainant of the outcome of a review
[To be signed by the CEO or nominated senior manager]
Our reference:
[reference]
Contact:
[case officer]
Telephone:
[number]
[Date]
[Name of complainant]
[Address of complainant]
Dear
[name of complainant]
Review of your contact with [name of organisation]
I am writing about a review that was undertaken by my organisation on
[date] concerning your contact with
this office. I understand that you
[participated/did not participate] in that review.
Process of review
During the review you were given an opportunity to
[explain in general terms how the review what undertaken].
Considerations
After your
[interview/reading your submissions], we considered the concerns and suggestions raised in your
[
interview/letter, etc.], particularly your concerns about
[include information that would be relevant – e.g. the
complainant said there circumstances had changed]. We also reviewed our records of your conduct and
contact with our office over the last 12 months. Our records showed that
[provide summary of relevant
information – e.g. Our records show that you have continued to send emails to our office, sometimes up to four
times a day, throughout the period of your restriction].
[apply if relevant]: These communications were in direct violation of your restriction which limited your
contact with our office to
[state nature restriction] [explain what the purpose of the restriction was, if
appropriate, and the impact of their conduct].
[apply if relevant]: Our records show that you have complied with the restrictions that were imposed on your
contact with our organisation.
Decision
[apply if relevant]: Due to
[explain reasoning for the decision – e.g. the number of emails that you have sent to
our organisation in the last 12 months and ....] I consider it necessary to maintain the restrictions on your
contact with our office for a further 12 months, effective immediately.
[apply if relevant]: Due to
[explain reasoning for the decision I consider it necessary to amend the restrictions
on your access to better suit your personal circumstances
[explain, including providing clear instructions on
how the complainant is to contact us and how we wil contact them]. The new restrictions wil be effective
immediately and wil last for 12 months. If your circumstances change again during this period, you may
[explain how the complainant can notify of the change].
[apply if relevant]: Due to
[explain reasoning for the decision] I consider it appropriate to remove the
restrictions that have been placed on your access with our organisation, effective immediately. You may
contact our organisation using any of our normal servicing options.
If you have any questions about this letter, you can contact
[provide name and phone number of the
nominated senior manager].
Yours sincerely
[Nominated senior manager/CEO/Director General/Director/General Manager]
Guideline to accompany the unreasonable complainant conduct model policy - February 2013
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Document Outline
