Complaint Management Policy

This policy outlines how the Library handles compliments, complaints and other feedback.

1. Purpose

1.1. The National Library of Australia’s (the Library) Service Charter sets out the principles that guide how services are delivered to the public. Feedback is a keyway the Library understands changing needs and evaluates whether its service principles are being met.

1.2. This policy establishes a consistent framework for managing and responding to complaints received by the National Library of Australia, and in accordance with the Library's Service Charter and the Commonwealth Ombudsman's Better Practice Complaint Handling Guide, the Library’s Integrity Framework and Visitor Code of Conduct.

2. Scope

2.1. The Library is committed to ensuring that any person or organisation using any of its services, including Trove, or affected by its operations, can lodge a complaint and have their concerns addressed in accordance with the principles of access and equity, fairness, accountability, and transparency.

2.2. This policy applies to all Library staff and to all complaints received by the Library, regardless of the channel through which the complaint is received.

2.3. Compliments, suggestions, and general feedback are outside the scope of this policy. However, they will be managed appropriately and in accordance with the Library's Service Charter and Privacy Policy.

2.4. The following matters are outside the scope of this policy and will be managed under the relevant legislative, regulatory, or policy framework:

staff grievances and employment-related matters;
public interest disclosures and allegations of wrongdoing made under the Public Interest Disclosure Act 2013;
allegations of misconduct, suspected breaches of the APS Code of Conduct, fraud, corruption, or other integrity-related matters; and
any other matter for which a separate statutory review, appeal, or complaint mechanism exists.

2.5. Complaints that primarily relate to privacy matters, workplace health and safety concerns, public interest disclosures, fraud, corruption, misconduct, APS Code of Conduct matters, or other specialised complaint processes are referred and managed in accordance with the relevant legislative, regulatory or policy framework. Where appropriate, complainants will be advised of the relevant pathway and referral arrangements.

3. Definitions

Term	Definition
Complaint	An implied or express statement of dissatisfaction with the Library where a response is sought, reasonable to expect or legally required. A complaint may relate to dissatisfaction with the Library’s staff, volunteers, partners or contracted service providers or Library activities or products (exhibitions, events, publications, tours, programs, shop, café or facilities, health & safety, actions, decisions, inaction or delay, policy or processes.
Complainant	Any individual or organisation that makes a complaint, including representatives authorised to act on someone’s behalf.
Inquiry	A request for information or explanation about the Library’s services, policies, or decisions that does not express dissatisfaction.
Feedback	Comments or suggestions, whether positive, negative, or neutral, about a person’s interaction with the Library or in response to Library activities or products where a comment is not sought, or not reasonable to expect.
Serial complainant	A person or organisation who makes repeated, or unreasonably persistent complaints about the same or similar issues after those matters have been reasonably addressed or reviewed. This term does not imply the concerns lack merit. It recognises patterns that may require structured management to ensure fairness and efficient use of resources.
Vexatious complaint	A complaint made primarily to cause inconvenience, harassment, or detriment, rather than to resolve a genuine concern. Characteristics may include: knowingly false, misleading, or fabricated allegations malicious intent, harassment, or unreasonable demands conduct that is frivolous, abusive, or an abuse of the complaints process. A vexatious determination must only be made after careful assessment and with regard to procedural fairness.

4. Policy statement and principles

4.1. The Library values feedback and recognises that effective complaint handling reassures stakeholders that we resolve issues, improve services, and remain accountable and transparent in our decisions.

4.2. Alongside this Policy, the Library’s Service Charter provides general information about service delivery standards and how the Library will deal with feedback, including complaints, along with the various submission channels.

4.3. The Library manages complaints respectfully, impartially and in good faith, consistent with the principles of natural justice and procedural fairness.

4.4. The Library will periodically analyse complaint data for insights that identify opportunities and drive continuous improvement.

4.5. The Library’s complaint handling approach is principles based, reflecting the Ombudsman’s Better Practice Guidance on Complaint Handling.

Principle	What complainants can expect
Accessible	The Library provides clear and inclusive ways to lodge complaints and will assist people who require support to participate in the process.
Responsive	The Library acknowledges complaints promptly, communicates clearly, and keeps complainants informed throughout the process.
Fair	The Library treats all parties respectfully, considers each complaint objectively, and makes decisions based on the available evidence.
Transparent & accountable	The Library explains how complaints are handled, provides reasons for decisions, and uses complaint information to support accountability and improvement.
Confidential	The Library protects personal information and handles complaints in accordance with privacy requirements and the agency’s Privacy Policy.
Proportionate & efficient	The Library resolves complaints at the appropriate level and applies a response that reflects the complexity and seriousness of the issue.
Continuous improvement	The Library uses complaints to identify opportunities to improve its services, processes, policies, and staff capability.

5. Complaint mechanisms

5.1. The Library provides multiple, accessible channels for individuals and organisations to raise complaints about its services, decisions, or processes. Complaint mechanisms are designed to be simple, responsive, and supportive, ensuring that all complainants can have their concerns heard and addressed fairly.

5.2. Complaints may be submitted through multiple channels, including:

in person to a Library employee
the User Feedback form (available in the Library’s Reading Rooms and at the Information desks) deposited onsite in the User Feedback box
by email to the designated NLA Complaints email inbox listed on the Library’s website
online via the Library's Feedback form
digital enquiry platforms used by business areas
post or hand delivery
through a representative authorised by the complainant

5.3. People with accessibility requirements are encouraged to advise the Library of their needs so that an interpreter, teletypewriter or other facilities can be provided by the Library when handling the complaint.

5.4. Social media channels are moderated in accordance with the Library’s Social Media and Online Community Guidelines. Substantive complaints will not be responded to through these channels. Individuals who wish to make a formal complaint will be directed to this Policy

6. Complaint handling framework

6.1. The Library has adopted a tiered framework for handling and escalating complaints.

A three-tiered pyramid diagram illustrating a customer complaint escalation process, with Tier 1 (blue) for simple complaints, Tier 2 (green) for moderately complex or unresolved complaints, and Tier 3 (dark green) for complex or sensitive complaints requiring escalation.

Tier 1 – Frontline resolution: Straightforward matters that can be resolved quickly at the working level, usually by the responsible Section. Accountable officer: Assistant Director or Director.
Tier 2 – Internal investigation: Complex or serious matters requiring detailed examination, or unresolved at Tier 1. Accountable officer: Assistant Director-General of the relevant Branch.
Tier 3 – Internal review: Complex or sensitive complaints requiring careful management, or unresolved at Tiers 1 and 2. Accountable officer: Director-General.
Vexatious complaints: Managed by the relevant Assistant Director-General with escalation to the Director-General where appropriate, ensuring procedural fairness.

7. Recording and reporting

7.1. Complaints are handled in accordance with the ‘no wrong door’ principle and should be resolved by referring the person to the correct complaint pathway.

7.2. The Library treats all complaints confidentially. Personal information is protected under both the Privacy Act 1988 (Cth), which includes the Australian Privacy Principles (APPs), and the Library’s Privacy Policy.

7.3. The Library’s complaint recording system creates an accurate, complete and reliable consolidated record of all complaints received by the Library, regardless of the channel, to support effective complaint handling and for executive reporting.

7.4. Complaint records must contain sufficient information to:

support the assessment, investigation and resolution of complaints
enable consistent tracking of complaint progress and outcomes
identify actual, potential and systemic issues
facilitate organisational reporting and analysis
meet recordkeeping, privacy and legislative requirements.

7.5. Consolidated complaint data is periodically analysed to identify trends, recurring issues, emerging risks and opportunities to improve services, processes, and administrative practices. This may inform the Library’s risk management, planning, governance and continuous improvement activities.

7.6. The Library will establish and monitor complaint handling performance measures to assess the effectiveness, timeliness and quality of complaint management and support continuous improvement.

7.7. The Library may periodically seek feedback from complainants on their experience of the complaint handling process to support service improvement and assess the effectiveness, accessibility and fairness of its complaint management arrangements.

8. How a complaint will be handled

8.1. The Library aims to resolve complaints received as quickly as possible.

8.2. Complaints are dealt with in a manner that is proportionate and appropriate to the nature of the complaint.

8.3. Each complaint is assessed to determine its nature, seriousness and the most suitable handling pathway. Considerations include impact, complexity, public interest, potential systemic issues, and whether escalation is required.

8.4. For straightforward complaints (Tier 1):

Acknowledgement: within five (5) business days of receipt. May outline next steps, indicative timeframes, and a contact point (if appropriate).
Response: within ten (10) business days of receipt
NB. For complaints that are straightforward and can be resolved quickly, the usual complaint handling steps may be combined to facilitate a faster response.

8.5. For complaints that are complex and serious in nature (Tier 2 and Tier 3):

Acknowledgement: within five (5) business days of receipt. May outline next steps, indicative timeframes, and a contact point (if appropriate)
Response: within 30 business days of receipt
Advice will be provided if this timeframe cannot be met.

8.6. If a complainant is not satisfied with the outcome of their complaint or the process used to address it, they may request a review. This can be done in writing, within 28 days of receiving the Library’s response, specifying what they are seeking to review and why they disagree with the response/decision.

8.7. The original decision and resultant concern will be reviewed at Assistant Director General level, and a written response outlining the outcome provided to the complainant.

8.8. If the complainant is still dissatisfied with the Library’s response, they can raise the matter with the Commonwealth Ombudsman.

9. Complaints about procurement processes

9.1. Procurement complaints are managed in accordance with the Library’s Procurement and Contract Management Policy. Suppliers and stakeholders may raise concerns at any stage of the procurement lifecycle.

9.2. Further information on procurement complaints and dispute pathways is outlined in the Commonwealth Procurement Rules.

10. Complaints concerning child safety

10.1. The Library is committed to providing a safe, supportive, and child-friendly environment. Our Child Safety and Wellbeing Policy is designed to ensure compliance with the Commonwealth Child Safe Framework. This requires complaints made by children to be taken seriously, and any decisions taken with the best interests of children and young people as the priority.

10.2. The Library delivers specific scenario-based training for staff in positions that may interact with children, including handling complaints made by children. Only staff who have undertaken the Library’s scenario-based training can assess complaints made by children.

10.3. Complaints can be submitted via the Library’s’ online feedback form available through the Library’s website, or by filling out a form available at the front desk and in the Library’s Reading Room. If a child or young person does not feel comfortable or able to make a complaint to the Library, they can contact the ACT Children and Young People Commissioner, who is empowered under the Human Rights Commission Act 2005 to work with government agencies to address children’s concerns.

11. Complaints concerning recruitment processes

11.1. All concerns relating to Recruitment processes are managed in accordance with the Library’s recruitment policies and procedures. Individuals may raise concerns about any stage of the recruitment process by contacting Human Resources at recruit@nla.gov.au.

12. Conflict of interest

12.1. Any actual, potential, or perceived conflict of interest in complaint handling is identified and managed at the earliest opportunity, consistent with the APS Code of Conduct and the Library’s Integrity Framework and Conflict of Interest Procedures.

13. Key roles and responsibilities

Role	Responsibilities
Complainant	Provides information relevant to the complaint and engages respectfully with the process.
Complaints Coordinator	Maintains the Library’s complaint management framework and approved tracking process. Acknowledges receipt where required, ensures allocation to the appropriate work area, monitors status and quality, supports complex cases, and produces consolidated reports.
Director-General	Promotes a culture that values effective complaint handling and continuous improvement. Acts as the highest internal escalation point for complex or sensitive complaints.
Assistant Director-General	Leads Tier 2 & 3 handling of complaints and oversees complex matters in their Branch. Determines whether issues are systemic, manage vexatious or unreasonable conduct decisions with procedural fairness, and escalates to the Director-General as required.
Director or Assistant Director	Leads Tier 1 handling in their Sections. Ensures quality and timeliness of responses, maintains accurate records of complaints, and implements local improvements arising from complaints where appropriate.
Response lead	Gathers information, consults affected areas, drafts in plain language, applies approved templates, and clears the response at the appropriate level before issue. Where required, provides the final approved response for Tier 2 & 3 communications.
All staff	Know and comply with current Library complaint handling procedures and advice.

14. Review

14.1. This policy will be reviewed every two years from the date of approval, or when required by changes to relevant legislation, regulation or government policy and/or framework.