Complaints management

In some circumstances a Registrar may be required to make some additional enquiries to clarify the issues involved before a decision to investigate a complaint is made.

Where an initial assessment of the complaint indicates that an investigation is necessary the Registrar will write to the community housing provider outlining the allegations made by the complainant together with the performance outcomes or sections of the National Law where non-compliance is indicated. In making a request for information or to inspect a record or premises, a registrar will document why the information is needed to make an assessment of compliance.

A Registrar may require a provider, under its conditions of registration set out in section 15 (2) of the National Law, to:

• produce information, a copy of a document or a record about exercising its functions, including arrangements with others regarding exercising its functions, and/or
• ensure that a suitably qualified officer of the provider attends a meeting with the Registrar in order to answer questions about the affairs of the provider, and/or
• allow an inspection, at any reasonable time, of the provider’s premises or records.

A Registrar is not authorised to enter residential premises occupied by an individual without the consent of that person.  A community housing provider is not authorised to provide information to a Registrar that identifies an individual who is an occupier of residential premises without the consent of that person.

Anonymous complaints

While it is preferable that the complainant identifies themselves the Registrar will accept anonymous complaints and may decide to make enquiries or carry out an investigation of the issues as long as sufficient information is provided.

Complaints involving multiple representations

Sometimes similar complaints may be made by related parties and Registrars may try to arrange to communicate with a single representative of the group.

Unreasonable conduct by a complainant

Registrars are committed to being accessible and responsive to all people who lodge feedback or complaints. However, if complainants behave unreasonably, are abusive, aggressive or threatening Registrar’s staff will stop any discussion with them and refer matter to their supervisor for management. Registrars will take action to manage this conduct, which could mean that communication with complainants will be limited in form (for example, to written communication only), frequency or suspended for a period of time.

Possible complaint outcome

Registrars will consider the evidence obtained during the investigation and will make a decision to close the investigation or pursue further regulatory engagement with one of the following outcomes. Complainants will be informed of the outcome.

No further action

This may be because:

• the provider is compliant
• there was insufficient evidence to prove non-compliance
• the provider has responded to the complaint effectively and the regulator’s assessment is that any issue of non-compliance has or is being dealt with; or
• the concerns did not relate to the provider’s compliance with the National Law. 

Complainants will be advised of how to apply for a review of the decision if they are not satisfied with the handling of their complaint.

Conduct targeted compliance assessment

This will occur if there is an indication of non-compliance that warrants immediate regulatory engagement with the provider. The complainant and the provider will be informed of the outcome of the investigation.

If following the compliance assessment the Registrar determines that the provider is not in compliance with the National Law the Registrar will then consider the most appropriate action to take. This can range from making a recommendation to the provider; to exercising one of the enforcement powers of the Registrar set out in Part 4 of the National Law.

Review all or some of the matters raised at the time of the next planned compliance assessment

Where there is possible non-compliance by the provider that is not significant enough to require immediate regulatory engagement the Registrar may review the matters at the next planned compliance assessment of the provider.

Investigate

Where the assessment of the complaint reveals potential non-compliance or a pattern of potential non-compliance with the Regulatory Code or National Law a formal investigation may be initiated.

Refer matter or evidence substantiating components of the complaint to relevant regulatory or enforcement agency

The referral of a matter or evidence may occur in conjunction with other complaint outcomes. The information may be referred for action by another regulatory or enforcement agency where this is appropriate.

Legislation and compliance

• National Law
• Community Housing Providers (Adoption of National Law) Act 2012 (NSW)