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Complaints and appeals policy


We recognise the importance of ensuring complaints made by providers, Ministry of Health and DHBs are recorded and appropriate action taken. The following protocol has been established.


The following process is followed when a complaint is received. Providers are informed of the complaints process in their notification letter.

Note: Any complaint about the audit process, audit team members or outcome of the audit can be made directly to the Audit Manager.  A resolution will be sought and communicated within seven days of complaint. 


If complaints about the audit team or audit process occur at any time during the audit process, particularly the site visit, they should, in the first instance be brought to the attention of the Lead Auditor.

It is preferable if the Lead Auditor can resolve the complaint before it becomes a formal complaint.

  • Take all complaints seriously.

  • Discuss the complaint with the person who is complaining in private (if possible).

  • Document what the complaint is about.

  • Document what the complainant would like to happen as a result of their complaint.

  • Assess the complaint, and if the action can be achieved easily, without affecting the audit, take action (this is a judgement call).

  • If action cannot be taken, ensure that the complainant knows that action is beyond your authority, and that it will be referred to the Audit Manager.

  • Always advise complainants that there is a formal complaints process in place at TAS if they wish to make a formal complaint. Advise them of the Audit Manager’s contact details.

  • Advise the Audit Manager immediately.

Formal Written Complaint Procedure

All complaints will be taken seriously and a resolution sought. Complaints will be managed where possible verbally and resolved at the time the complaint is raised. Should a complaint be raised formally in writing, the following procedure will be followed:


Receipt of the complaint will be acknowledged to the complainant within five working days (in writing, email or by phone), giving an outline of the expected process for on-going communication and complaint resolution.

Investigation of complaint:

An investigation of the complaint will occur within 10 working days of the lodging of the complaint.

Resolution/outcome of the complaint investigation:

The outcome of the investigation will be communicated to the complainant within 10 working days at the conclusion of the initial investigation.

The complainant will be informed if additional time is required to further investigate the response and will communicate any delays and reasons for delays with the client every 30 working days as necessary.

Documentation of the complaint:

All formal written complaints will be logged in the complaint register, with the date it was received, complaint outline, the complainant, response timeframes (initial and post investigation), person responsible for following up the complaint and the resolution of the complaint.

All complaint documentation, including the complaint, its investigational and any communication relating to the complaint will be held in the complaint folder.

NB: The Director Audit & Assurance will be informed of all formal complaints received and their resolution.

Non-Resolution of Complaints

Where non-resolution occurs and involves an audit and its findings, at the time an audit report is required to be submitted in accordance with HealthCERT submission requirements, the non-resolution will be referred to MoH for any further action or closure as appropriate.

The complainant at any stage may refer the complaint to the TAS Board, Ministry of Health, JAS-ANZ and /or the Health and Disability Commission.


Complaints Protocol

Submitting a Complaint

To submit a complaint, please complete the following form: TAS Complaints Form.



TAS has an appeals process. Any submission, investigation and decision made on appeals will not compromise or cause discrimination against the person making the appeal.

Please contact Holger Jessen if you would like to lodge an appeal.


Please submit complaints to Holger Jessen, Director Audit and Assurance - via post:

Holger Jessen,

Director Audit and Assurance

PO Box 23075,Wellington 6011

via email: