Publication 1454.5 | May 2023

Authorised officer complaints management policy

Authorised and published by the Victorian Government, 1 Treasury Place, Melbourne

epa.vic.gov.au

Environment Protection Authority Victoria

GPO BOX 4395 Melbourne VIC 3001

1300 372 84

This content is for general information only. Obtain professional advice if you have any specific concern. EPA Victoria has made reasonable effort to ensure accuracy at the time of publication. Except where noted at epa.vic.gov.au/copyright, all content in this work* is licensed under the Creative Commons Attribution 4.0 Licence. To view a copy of this licence, visit creativecommons.org. EPA acknowledges Victoria’s First Nations peoples as the Traditional Owners of the land and water on which we live and work. We pay our respect to their Elders past and present..

Contents

1.	Background	5

2.	Policy purpose	5

3.	Policy scope	5

4.	What is an authorised officer complaint	6

5.	Who can make a complaint	6

6.	What can complainants complain about?	6

6.1.	What powers do authorised officers have?	6

6.2.	Examples of inappropriate conduct	7

7.	How to make a complaint	7

7.1.	Information included in the complaint form	7

7.2.	Anonymous complaints	8

7.3.	Special needs cases	8

7.4.	Where to send EPA authorised officer complaint forms	8

8.	Authorised officer complaints process	9

8.1.	Complaint assessment	9

8.2.	Complaint Review Panel	9

8.3.	Complaint case manager	9

8.4.	Complaint assessment and review	9

8.5.	Making a final complaint decision	9

8.6.	Complaint action	10

9.	What to expect from EPA	10

9.1.	Process timelines	10

9.2.	Notification of complaint outcome	10

9.3.	Are authorised officers made aware of the complaint against them?	11

9.4.	Will the authorised officer be subject to restrictions during the complaint review?	11

9.5.	Complaint withdrawal process	11

10.	Challenging EPA’s complaint decision	11

11.	Continuous improvement	12

12.	Further information	12

1. References	12

13.	Appendix A – Overview of the authorised officer complaints process	13

Background

The primary role of Environment Protection Authority Victoria (EPA) authorised officers is to ensure duty holders comply with the Environment Protection Act 2017 (EP Act). They do this by inspecting businesses and premises, providing guidance and advice about how to comply, and enforcing the law where necessary.

Authorised officers are appointed certain powers under the EP Act to do their job. EPA expects
its authorised officers to exercise their powers with a high standard of professionalism
and impartiality.

EPA does not tolerate improper conduct by our employees. If a complaint relating to improper conduct by an EPA authorised officer is received, EPA investigates the complaint to determine if it is justified and takes appropriate action in line with this policy and associated internal standard operating procedures. EPA ensures the complaint is dealt with promptly, independently, and fairly.

Policy purpose

This policy provides an overview of the authorised officer complaints process.

Specifically, this policy defines:

what an authorised officer conduct complaint is

who can make a complaint

how to submit a complaint

the complaint assessment and review process

the complaint action(s) and outcome

Policy scope

This policy covers:

the process for external parties to make a complaint about the conduct of EPA
authorised officers

the process for managing external complaints made about the conduct of EPA
authorised officers.

This policy does not cover:

external complaints about the conduct of non-authorised EPA staff

external complaints about the issuing of EPA statutory tools such as an improvement notice, prohibition notice, notice to investigate or environmental action notice

external complaints relating to commercially sensitive information under section 453 of the EP Act.

This policy also does not cover reports under the Public Interest Disclosures Act 2012. These include disclosures about:

corrupt conduct

a criminal offence

serious professional misconduct

dishonest performance of public functions

an intentional breach or reckless breach of public trust

an intentional or reckless misuse of information or material acquired in the course of the performance of public functions

a substantial mismanagement of public resources

a substantial risk to public health or safety of one or more persons

a substantial risk to the environment.

What is an authorised officer complaint

EPA defines a complaint as an external expression of dissatisfaction about inappropriate conduct of an authorised officer. Conduct is how the EPA authorised officer behaves in a particular place or situation while performing their statutory role. An authorised officer conduct complaint is referred to as ‘complaint’ in this document.

Who can make a complaint

Any member of the public or person with a duty or obligation under the EP Act (a duty holder) can make a complaint if they believe there is an issue regarding the conduct of an authorised officer. In this document, the person who has made the complaint is referred to as the complainant.

What can complainants complain about?

Complainants can make complaints regarding:

inappropriate conduct by an authorised officer (see section 6.2) while performing their powers (see section 6.1)

any other interaction with an authorised officer in the context of their statutory role.

What powers do authorised officers have?

Under the EP Act, EPA authorised officers have a broad range of powers to perform their role, including powers to:

enter any site or premises and make inquiries and assess compliance

direct or require immediate action to reduce an impact or potential impact to
the environment

issue a notice to require an environmental impact or risk to be remedied, including a requirement to clean up, stop works, install controls, or change a process or activity

take photographs, films, audio, video or other recordings

conduct tests and take samples, including drilling bores

require information such as reports, books, plans or maps relating to pollution or
waste discharge

enter private property where it is reasonably believed that there is a risk to human health and the environment.

The exercise of these powers must be in accordance with the law.

Further information on the powers of authorised officers can be found in EPA’s Guide to inspection and inquiry powers and Remedial notices policy.

Examples of inappropriate conduct

Examples of inappropriate conduct by authorised officers can include the following:

interaction or communication was offensive

authorised officer was rude or abrupt

an abuse of power, such as an authorised officer has been biased, behaved improperly, or misused their authority

aggressive behaviour

public behaviour that reflects badly on EPA, such as reckless driving of an EPA vehicle

failure to supply sufficient information to enable understanding of what’s needed
for compliance.

How to make a complaint

A complaint against an authorised officer is a serious issue. All authorised officer complaints must be submitted in writing using the authorised officer complaint form.

This form is available through these channels:

EPA website	www.epa.vic.gov.au
Customer Service Team	1300 EPA VIC (1300 372 842) to have a hard copy sent or soft copy emailed.

Information included in the complaint form

All the information provided in a complaint must be true, accurate and complete.

Complainants must keep the following in mind when making a complaint to EPA:

provide complete and factually correct information

do not include false or misleading information

do not lodge frivolous, vexatious, or malicious complaints

write complaints in a polite and respectful manner.

The complaint form also allows complainants to inform EPA of what action(s) they believe should be taken to resolve the problem. This may include an explanation, further information, or written apology. Any resolution action(s) suggested must be written constructively and be reasonable, realistic, and proportionate to the alleged complaint.

Anonymous complaints

EPA handles all information provided in connection with the complaint in accordance with the Privacy and Data Protection Act 2014 and it will only be used for the associated complaint review.

EPA is aware some people prefer to be anonymous. Anonymous complaints are difficult to assess as the complainants cannot be contacted to provide more information about the allegations. As a result, anonymous complaint assessments are limited to the content of the complaint form. Consequently, any consideration of the issues raised, or review conclusions cannot be reported back to the complainant.

Consistent with this policy, anonymous complaints undergo a preliminary assessment to determine if there is sufficient information to enable a comprehensive assessment of the allegation(s). Where there is insufficient information to progress, such complaints are recorded but no further action is taken.

To submit an anonymous complaint, please use the authorised officer complaint form leaving out personal details.

Special needs cases

EPA acknowledges that not all complainants have the capacity to complete a written complaint.

Such complainants may include people that have sensory or visual impairment or English as a second language. In situations where special needs exist, the complainant can:

have the form completed by someone else on their behalf, or

contact EPA’s Customer Service Team on 1300 EPA VIC (1300 372 842) for assistance.

Where to send EPA authorised officer complaint forms

Completed complaint forms can be submitted using one of the following confidential options:

Online	www.epa.vic.gov.au
Email	authorisedofficercomplaints@epa.vic.gov.au
Post	CONFIDENTIAL Manager – Regulatory Capability and Improvement EPA Victoria GPO Box 4395 Melbourne, Victoria 3001

Authorised officer complaints process

Complaint assessment

If a complaint is received that does not satisfy the requirements of inappropriate conduct by an authorised officer, the Complaints & Reviews Coordinator will make an assessment on whether the complaint can be resolved through an alternate pathway. If suitable, the Complaints & Reviews Coordinator will liaise with the Regional Manager who will make direct contact with the complainant to resolve the matter. If the complaint is unable to be resolved through this pathway, the complainant can make an enquiry to the Victorian Ombudsman.

Complaint Review Panel

The Complaint Review Panel (CRP) is a three-member senior internal panel. The CRP reviews all external conduct complaints against authorised officers and reaches majority agreement on complaint action and outcome. Members of the CRP are not directly involved in day-to-day authorised officer activities and are selected to provide an independent and consistent review of all authorised officer complaints.

Complaint case manager

The Complaints & Reviews Coordinator assigns each complaint a case manager who:

performs the complaint assessment by gathering independent and factual information

presents the assessment report to the CRP

does not make recommendations regarding complaint action and outcome.

Complaint assessment and review

The case manager performs a preliminary assessment to determine if the case requires a
full investigation.

The case manager liaises with the complainant, authorised officer and associated witnesses to obtain the facts. Throughout the review the main sources of information include:

the completed authorised officer complaint form

documentary evidence (records)

information from site inspections (for example inspection reports)

oral evidence (recollections, observations).

The case manager maintains a confidential assessment record, including all discussions, telephone calls and interviews.

Finally, the case manager prepares an assessment report to present to the CRP.

Making a final complaint decision

The CRP makes a final decision on the complaint based on the weight of evidence and on the balance of probability. In the absence of a consensus between the three members, a majority vote is required. The final complaint decision will be one of the following:

complaint not justified (authorised officer did not demonstrate inappropriate conduct)

compliant justified (authorised officer not at fault - failing in system or process)

complaint justified (authorised officer at fault - demonstrated inappropriate conduct)

Complaint action

Where the CRP decide the complaint is justified, that is, the authorised officer demonstrated improper conduct, an appropriate action is required to address the complaint.

Depending on the nature of the complaint, the CRP may recommend one or more of the
following actions:

an explanation

an apology

mediation

a change in policy, procedure, practice, or training

disciplinary action, including suspension or cancellation of authorised officer status, termination of employment etc.

What to expect from EPA

EPA manages complaints regarding authorised officers as promptly as possible. Management of such complaints is conducted in line with this policy and associated internal standard
operating procedures.

Process timelines

EPA sends written acknowledgement to the complainant within 5 business days of receipt of
the complaint.

EPA attempts to resolve all authorised officer complaints within 20 business days of initial receipt with the following exception:

allegations of abuse of power by an authorised officer (45 business days).

Depending on the nature and complexity of the complaint, it may not be possible to resolve the complaint within the allocated time. Some complaints are reasonably straightforward and can be resolved promptly without the need for a full review. Some complaints are more serious and require an in-depth investigation.

If EPA believes the review may exceed the time limit, EPA will inform the complainant in writing, with a revised completion due date.

Where the complaint is the subject of, or involved in court or tribunal proceedings, review of the complaint will be put on hold until the litigation is complete.

Notification of complaint outcome

When the outcome of the authorised officer complaint is finalised, the complainant will receive a letter with a summary including:

complaint final decision (outcome)

complaint action (if relevant).

Are authorised officers made aware of the complaint against them?

The authorised officer is notified of all external conduct complaints made in relation to them upon receipt of the complaint.

The authorised officer:

is notified that a complaint has been made against them

is interviewed as part of the assessment/review

is updated during the process

has the opportunity to respond in the event of an adverse finding

is informed of the complaint final decision and action (if relevant)

has internal/external support available throughout the process.

Will the authorised officer be subject to restrictions during the complaint review?

Generally, no internal restrictions, such as suspension of authorised officer status, will be placed on the authorised officer during the review. If required, restrictions will only be applied at the completion of the complaint review.

Complaint withdrawal process

If the complainant wishes to withdraw a complaint, they must send a written request to withdraw to the Manager of Regulatory Capability and Improvement, as detailed in section 7.4. Alternatively, the complainant can send an email to: authorisedofficercomplaints@epa.vic.gov.au.

Challenging EPA’s complaint decision

Where a complainant is not satisfied with EPA’s final decision, the complainant can contact Victorian Ombudsman.

Victorian Ombudsman

Level 9, North Tower 459 Collins Street

Melbourne, Victoria 3000

Phone: 03 9613 6222

Fax: 03 9614 0246

Email: ombudvic@ombudsman.vic.gov.au

Website: www.ombudsman.vic.gov.au

If the complaint relates to discrimination, the complainant can contact the Victorian Equal Opportunity and Human Rights Commission.

Victorian Equal Opportunity and Human Rights Commission

Level 3, 204 Lygon Street

Carlton, Victoria 3053

Phone: 1300 292 153

Email: complaints@veohrc.vic.gov.au

Website: www.humanrightscommission.vic.gov.au/

Continuous improvement

EPA is committed to continuous improvement. Improvements identified as part of the authorised officer complaints process, such as amendments to procedures or additional training, are implemented where appropriate.

The authorised officer complaints management process enables reporting on routine,
defined key performance indicators. This may identify negative trends or reoccurring
systematic complaints.

Further information

For further details on this policy, contact EPA Victoria on 1300 372 842 (1300 EPA VIC).

References

Resource type	Title	Description	Publication
Guide	Inspection and inquiry powers guide	Explains how EPA authorised officers will use powers of inspection and inquiry to apply the EP Act.	EPA publication 1815
Policy	Remedial powers policy	Explains how EPA and its authorised officers (AOs) will use the remedial powers provided in the EP Act.	EPA publication 1813

Appendix A – Overview of the authorised officer complaints process

Authorised Officer (AO) and Manager informed of complaint EPA receives written complaint from the complainant EPA sends complainant written confirmation within 5 business days to acknowledge complaint

CEO and AO’s Director to note CRP decision and recommendations AO option for comment if adverse finding Case closed Improvements captured CEO and AO’s Director informed of complaint Complaint case manager assigned by Complaints Review Panel (CRP) NO Complainant and AO advised of complaint outcome in writing CRP makes final complaint decision CRP decides on complaint outcome including remedy Case Manager performs complaint review and presents report to CRP YES Complainant and AO advised of outcome in writing Case Manager performs preliminary assessment of complaint and presents report to CRP Is complaint
able to be
resolved without
full review?

Accessibility

Contact us if you need this information in an accessible format such as large print or audio.
Please telephone 1300 372 842 or email contact@epa.vic.gov.au

Interpreter assistance

If you need interpreter assistance or want this document translated, please call 131 450 and advise your preferred language. If you are deaf, or have a hearing or speech impairment, contact us through the National Relay Service.

epa.vic.gov.au Environment Protection Authority Victoria GPO BOX 4395 Melbourne VIC 3001 1300 372 842 Authorised and published by the Victorian Government, 1 Treasury Place, Melbourne