Policy Statement

All verbal and written complaints received by Main Roads relating to procurement activities must be handled in accordance with this policy.

Policy Application

Receive Complaint

Complaints may be received in writing (i.e. letter, e-mail, facsimile) or verbally.

Verbal Complaints Process

The officer receiving a verbal complaint (usually the contact officer nominated in the tender documents) should listen to the complainant's concerns and ascertain whether the issues are relevant for inclusion in the Grievance Resolution Process. i.e. if a genuine grievance exists or whether the complainant's concerns are simply a misunderstanding or a search for information.

If the complaint is a misunderstanding, the officer receiving the complaint should clarify the matter and where appropriate make a file note of the discussion.

As a general rule:

• if the issue is not likely to be resolved on the spot in discussion or;
• if it is possible that the issue may re-occur or escalate following perceived resolution or;
• if the complaint relates to procurement policy or procedures.

Then the complaint should be included in the Grievance Resolution Process.

In these cases, a Verbal Complaint Form should be completed and placed on the relevant file (i.e. contract file) summarising the discussions and any advice offered to the complainant. A copy of this form should be forwarded to the Manager Supply and Transport who will arrange for the copy to be placed on the records "Grievance" file 15/417 and the Grievance Register completed.

If from discussions, the complainant is still not satisfied, they should be advised to put their concerns in writing to the Manager Supply and Transport.

Written Complaints Process

When a written complaint is received anywhere in Main Roads, it should be immediately referred to the Manager Supply and Transport.

The Manager Supply and Transport will:

• determine if the complaint is related to any complaint already received;
• determine if the complaint is high public interest or commercial risk;
• if necessary advise the Commissioner and/or appropriate Executive Director;
• assign the complaint to an Investigating Officer (usually the contact officer nominated in the tender document) usually within two working days; and
• arrange for a copy of relevant documentation including the complainant's letter outlining the grievance to be placed on the "Grievance" file and for the Grievance Register to be completed.

The assigned Investigating Officer will:

• have thorough knowledge of the contract/process the subject of the complaint and Main Roads procurement policies and procedures; and
• be the reference point for the duration of the grievance handling process.

If it appears that the complaint will not be resolved within ten (10) working days the Investigating Officer will acknowledge receipt of the grievance and advise the complainant in writing an estimated time frame for a response.

Handling Complaints

All complaints shall be dealt with promptly and within an appropriate time according to the complexity of the issues.  Where necessary the complaints will be treated confidentially to ensure the commercial interests of tenderers and/or integrity of Main Roads employees involved in the process are not compromised.

Complaints, which eventuate during the tender or tender assessment period will where possible be finalised prior to award of the contract.  Where this is not possible for reasons including time constraints or probity issues, only in extreme circumstances will the complaint be allowed to hold up or interfere with the assessment of tenders and the subsequent award of a contract.

In instances where a complainant is found to have frivolously or recklessly complained, the Executive Director Finance and Services may approve action to recover any costs incurred by Main Roads as a result of such claims.

Investigating Complaints

The Investigating Officer will request, organise and assess information regarding the grievance in question. If information is required from another branch or section of Main Roads, it should be clearly stated that a grievance is being investigated and the time frame within which a reply is required so the information is released immediately.

The Investigating Officer may also need to meet with the complainant and/or other personnel involved in the process to determine all the necessary information in order to make a recommendation and respond to the complainant. Brief notes of such meetings should be taken and filed.

Where necessary the Investigating Officer will work closely with the Probity Officer to ensure no breaches of probity occur.

Reviewing Findings And Response

The Investigating Officer will investigate the complaint and forward a written report (including the findings and any subsequent recommendations) together with a draft letter to the complainant advising the findings of the investigation, to the Manager Supply and Transport for consideration.

Subject to the outcome of the investigation, the response to the complainant should state that the correct procedures were followed or alternatively outline any recommended measures Main Roads will take following the investigation. For legal reasons there should be no admission of fault, just references to improvements.

The Manager Supply and Transport will:

• review and forward response to the complainant; and
• arrange for a copy of the report and response to complainant to be placed on the "Grievance" file and the Grievance Register to be completed.

Unresolved Grievances Process

Should the complainant still have concerns and not be sufficiently satisfied by the Main Roads' response, the Manager Supply and Transport will advise the complainant of their right to refer the matter to the:

• Main Roads Tender Committee.
• If after referral to the Tenders Committee the matter is still unresolved, to the State Supply Commission to independently investigate the grievance.
• If still dissatisfied, the complainant may refer the matter to the Ombudsman.

Advice to this effect shall be noted on the Contract file in each case.

If after referral to the Tenders Committee the matter is still unresolved the Manager Supply and Transport will inform the State Supply Commission of the grievance, the investigation carried out, the outcome and on request, provide all relevant papers to the State Supply Commission.

Grievance Records

It is important that all correspondence and documentation relating to the investigation and findings be retained and placed on the relevant file to ensure there is a clear record of the grievance handling process.

Documentation is important and should be robust enough to explain/describe circumstances should the matter be the subject of Freedom of Information, Office of the Auditor General, Public Sector Standards Commission, Anti Corruption Commission or any other accountability mechanism of Government.

Reporting Complaints 

The Manager Supply and Transport will:

• routinely provide a summary report to Corporate Executive and the Main Roads Tenders Committee.
• where necessary, advise the Commissioner, Executive Director Finance and Services, and relevant Executive Director of any complaints received.