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6. Managing Incidents and Claims
Business Practice Manual : Manage Incidents and Claims : Version 4.2 June 2011 Page 6-0
6.1 Purpose and Scope
Purpose This chapter outlines the process for reporting certain property
related incidents as defined below, as well as managing claims
made against the Office of Housing (OOH), which may arise in the
course of service delivery.
Included are definitions of the types of incidents and claims which
are to be captured using the Housing Integrated Information
Program (HiiP), as well as details regarding procedural
considerations, access to screens and information, and the use of
enabling technologies to store and manage documents and
correspondence.
Scope The first section of policy and procedures in this chapter relates to
property related incidents. It is intended to operate within the
broader Department of Human Services (DHS) Incident Reporting
Instructions 2008, and the Disease, Injury, Near Miss, Accident
(DINMA) procedure.
The second section relates to claims made against the OOH where
the claimant believes they have suffered injury, loss or damage
due to an act or omission (a failure to act) by the OOH, where it is
alleged that the OOH had a duty of care towards the claimant.
Cases of minor claims below $5,000 are generally managed by the
Region responsible, whilst claims at or over this amount are
referred to Legal Services to manage. A claim may be made by an
OOH client or another party, such as a neighbouring occupant.
The information in this document applies to the OOH and DHS
funded housing providers in the community housing sector.
How to use this The procedures should be read in association with the policy. This
chapter document should also be used in conjunction with other OOH and
DHS policy and procedure documents and guidelines which are
currently in use, and other relevant Acts of Parliament, to ensure
the intent of the policy is achieved when administering the
procedures. These include:
DHS Incident Reporting Instructions 2008;
Disease Injury Near Miss Accident Reporting Procedures;
H&CB Incident Reporting Guidelines 2009;
Information Privacy Act 2000;
Residential Tenancies Act 1997.
Business Practice Manual : Manage Incidents and Claims : Version 4.2 June 2011 Page 6-1
Definitions
6.2 Definitions
Term Definition
Client Any person who utilises a service provided by the OOH, for example
tenants, applicants on the waiting list, Bond Loan Scheme
applicants.
Community Service A community based organisation which receives funding from, or
Organisation (CSO) has a service agreement or lease with the Director of Housing.
Deed of Mutual A legal document signed by parties to a transaction or dispute,
Release which releases the parties from liability to each other under a claim,
suit or action by the opposing party.
External Agencies Any Federal, State or local government department, organisation,
company or charity outside of the Department of Human Services.
External Party Any person or group (which is not a client) which has a relationship
with the Office of Housing (e.g. via a transaction, a request
(excluding a request for a service), or an event such as an incident
or claim).
Residential The Residential Tenancies Act 1997 (Victoria), which sets out
Tenancies Act (RTA) legislation in relation to residential tenancies within Victoria,
1997 including rooming houses and caravan parks. This Act sets out the
obligations of both tenants and landlords under these agreements.
Household Member Any person included on an OOH rebate for an OOH property.
Household members can include tenants, dependants, spouse of
tenants, residents, spouse of residents and dependants of
residents.
Records Information created, received, and maintained as evidence and
information by an organisation or person, in pursuance of legal
obligations or in the transaction of business. This is usually the
responsibility of a designated person or persons within an agency.
Resident A member of a household who is not party to the tenancy
agreement and lives with a tenant in an OOH rented property for
three or more nights per week. The resident must be included in
the household rental rebate application and their income and assets
included in the rental rebate assessment.
Superintendent A person appointed by the Principal of a Contract to perform any
function delegated to him under the Contract and any other
function delegated to him by the Principal. The Manager, Contract
Management Services has this responsibility for Schedule of Rates
and Service Contracts.
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Definitions
Term Definition
Tenant A person who has signed a tenancy agreement with the Director of
Housing and who therefore has all the tenancy rights and
responsibilities as specified in the tenancy agreement.
Tenant in A person who has signed a tenancy agreement with a community
community agency and who therefore has all the tenancy rights and
managed housing responsibilities as specified in the tenancy agreement.
Visitor A person who is permitted by the tenant or other household
member to enter the rented premises and/or common area.
Permission may be actually given, or implied from the
circumstances (e.g. the visitor is not asked to leave or refused
entry).
For rebate purposes, a visitor is a person who has their own
accommodation but is residing in the household for less than a four
week period, or for less than three nights per week, or is in the
country on a restricted visa (such as a tourist visa). These persons
are not included as part of the household and their income is not
taken into account when calculating the rebated rent.
Business Practice Manual : Manage Incidents and Claims : Version 4.2 June 2011 Page 6-3
Key Responsibilities
6.3 Key Responsibilities
Role/Title Responsibility
Client Services Unit Provides operational support to Housing Services
(CSU) Prepares draft ministerial correspondence replies
Writes operational material (ie. Application Forms, Information
Sheets and Handbooks)
Field Services Provides technical support on a range of property issues
Officer (FSO) Conducts property condition audits of housing stock
Prepares specification and tender documents for ‘not on
schedule’ works
Inspects properties for acquisition and disposal purposes
Carries out pre and final handover inspections for newly
constructed properties
Finance and The Office of Housing business unit responsible for supporting internal
Business Services and external stakeholders through the provision of corporate
(F&BS) support and direct client services, including financial and
performance reporting, business support services and delivery of
the Director of Housing’s Home Loan Programs.
Good Practice Unit Develops detailed procedures that reflect policy intent
(GPU) Writes policy and procedure manuals/guidelines
Co-ordinates state-wide policy and procedure changes
Provides policy and procedure advice
Develops and implements pilot projects for a range of policy
initiatives
Housing Manager Exercises delegated authority in accordance with this chapter and
(HM) as outlined in the OOH Delegations document.
Public Housing Provides information, material and operational support to OOH staff
Client Services in relation to service development and delivery, planning and
budgets.
Housing Services Exercises delegated authority in accordance with this chapter and
Manager (HSM) as outlined in the OOH Delegations document.
Housing Services Applies policy and procedures as outlined in this chapter in
Officer (HSO) accordance with their delegated authority.
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Key Responsibilities
Role/Title Responsibility
Legal Services Provides legal advice, advocacy and assistance services to the
Department, including in relation to housing matters, for example
Victorian Civil Administrative Tribunal (VCAT) hearings (Residential
Tenancies List).
Media Unit Liaises with members of the media when issues of public interest
arise or are promoted / advertised.
Program and Service The Department of Human Services Officer responsible for
Adviser (PASA) strengthening ongoing working relationships with agencies and the
broader service sector through regular monitoring and leading
change management.
Property Services and The Office of Housing business unit responsible for the provision of a
Asset Management range of property related services including managing property and
(PSAM) maintenance contracts, property upgrades, major redevelopments,
acquisition and compliance audits.
Team Manager (TM) Applies policy and procedures as outlined in this chapter in
accordance with their delegated authority.
Business Practice Manual : Manage Incidents and Claims : Version 4.2 June 2011 Page 6-5
References
6.4 References
References Abbreviation Symbol
Code of Conduct for the Victorian Public Sector 1995 COC 1995
DHS Incident Reporting Instructions 2008
Disease Injury Near Miss Accident Reporting DINMA
Procedures
Housing & Community Building Incident Reporting
Guidelines 2009
Information Privacy Act 2000 IPA 2000
Residential Tenancies Act 1997 RTA 1997
Refers to another Human Services manual or
document
Refers to a legal document
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Introduction
6.5 Introduction
Under the DHS Incident Reporting Instructions, all incidents and
alleged incidents within the scope as outlined in that document must
be reported. This enables the Department to understand the detailed
causes of adverse events, to improve strategies to prevent adverse
incidents, and improve service delivery to clients and training of staff
on the basis of this analysis. Reporting of incidents also assists the
Department to comply with the requirements and expectations
associated with public accountability, its legal obligations and
insurance requirements. The system aims to encourage the full and
frank reporting of adverse events, and learning from incidents to
prevent a recurrence.
Whilst the DHS Incident Reporting Instructions encompasses all
incidents, this policy chapter focuses on incidents which have a
specific relationship with an OOH owned or managed property.
A claim may be made against the OOH where a person alleges that
they have suffered loss or damage as a result of the negligence of
the DOH or her delegates for which some form of recompense is
sought. Written details of the claim must be received in order for
the OOH to properly investigate and assess whether to accept the
claim.
A claim may also be made by the OOH against an external party
where loss or damage is incurred to a DOH owned property due to
the negligence of that party.
Note: As with the Department’s Duty of Care handbook, HSO’s
should note that this manual is not meant to represent a
comprehensive analysis of the law. Any queries in relation
to particular points of law should immediately be referred to
Legal Services.
Key objectives
H&CB staff at all levels should be aware of the importance of
identifying, recording and managing incidents and claims. The key
objectives of implementing this process include:
To ensure incidents and claims are identified, captured and
managed:
- according to H&CB and DHS policies and guidelines, and
- within acceptable timeframes.
To minimise risk to H&CB and the DHS.
To capture consistent information related to incidents and
claims.
Business Practice Manual : Manage Incidents and Claims : Version 4.2 June 2011 Page 6-7
Introduction
To understand the causes of incidents, and circumstances giving
rise to claims.
To enable the OOH and the DHS to learn from incidents and
claims, and adopt strategies for their prevention or a reduction
in their incidence and effect.
To improve service delivery through a consistent process for
identifying, recording, monitoring and evaluating incidents and
claims.
To ensure compliance with the DHS’s legal obligations and
insurance requirements.
To ensure the OOH and the DHS meet public accountability
requirements and expectations.
To maintain and protect assets owned and managed by the
OOH.
Benefits
There are significant benefits to be gained for the OOH and for staff
through the systematic recording and management of incidents
and claims. These include:
Having a central and consistent tool for capturing and accessing
the required information about an incident or claim.
Increased clarity regarding what information should be captured
to manage an incident or claim.
The ability of various users including Regional Managers,
Program Managers and Directors to view information and take
further action as required.
Improved transparency regarding the management of the
incident or claim by identifying persons involved and their role,
and by keeping a more accurate record of the process used to
manage the incident or claim.
An ability to generate reports to analyse incidents and claims
data on an office, regional or state-wide basis.
The ability to automatically notify the required persons within
the OOH and the DHS of an incident or claim once the details
are submitted in HiiP.*
Improved communication amongst relevant OOH Branches
regarding their involvement in the incident or claim.*
* Proposed for future HiiP release
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Incidents and Claims - Policy
6.6 Incidents and Claims - Policy
6.6.1 Definition of
an ‘Incident’ ‘Incident’
An incident may be described as an individual occurrence or event
which may require a range of responses by the OOH or a
Community Service Organisation (CSO) providing housing services,
including investigation, monitoring, action, referral and notification.
‘Property related’ incidents recorded in HiiP
Only incidents that are associated with or that affect an OOH or
CSO managed property or tenancy are captured and managed in
HiiP. Therefore, at the time an incident is created in HiiP, an
existing property identification number (PIN) must be linked to the
incident.
Examples of incidents which are created in HiiP Manage Incidents
and Claims include:
all fire related incidents, including minor fire damage and arson,
the death of a person which involves falling or jumping from an
OOH building,
damage caused to a property (including a privately owned
neighbouring residence) by a falling object such as a tree branch
or by flooding where structural damage occurs and / or the
occupants goods are damaged,
a death or personal injury caused (or allegedly caused) as a
result of a fault with the property such as a defective power point
or uneven path, and
a vehicle colliding with a H&CB property causing damage for
which the driver or vehicle owner may be responsible.
Repairs carried out using the insurance or vandalism category of
works may be an indication that an incident has occurred.
Note: For incidents which are not property-related, a ‘Note’ should
be entered in HiiP against a client or external party, but not
created within Incidents and Claims in HiiP. This may
include an argument between neighbouring tenants (which
is managed via the Tenancy Management Policy and
Procedures), or a police search conducted of an OOH
premises (which may lead to action being taken under the
Residential Tenancies Act 1997).
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Incidents and Claims - Policy
Allegation in relation to an incident
Often, when the OOH or a funded CSO becomes aware of an
incident, the circumstances or cause may not be clear, and further
investigation will be required.
Regardless of whether the incident is alleged to have occurred, or
alleged to have been caused in a certain way, it must be created
and managed in HiiP. The subsequent steps taken to investigate
the incident will determine whether the incident or its cause can be
substantiated and what response should be provided.
6.6.2 Relation-
ship with the DHS Property related incidents may occur which overlap with other DHS
incident reporting procedures. It is important to note that this
Incident Reporting Policy and Procedure does not replace the DHS Incident Reporting
Instructions 2008 Instructions 2008. Rather, this Chapter is intended to operate in
conjunction with the broader DHS Guidelines for reporting and
managing incidents.
Under the DHS Guidelines, an incident may include (in respect of a
tenant, client, visitor or staff member) a death, serious injury,
serious sexual or physical assault, physical harm and injury,
DHS Incident
serious threats, behaviour with potential to result in risk to a
Reporting Instructions 2008 person, near misses which could have resulted in serious injury or
death, and criminal behaviour. An incident may be reported as a
Category 1, 2 or 3 incident depending on the type of incident
involved. The DHS Incident Reporting Instructions 2008 require an
H&CB Incident
Reporting Guidelines 2009 incident report to be completed when an incident occurs “at the
(link to be inserted) service” or “during service delivery”. (Also see Housing &
Community Building Incident Reporting Guidelines 2009)
These incidents continue to be reported through the existing
procedures such as the DHS Incident Reporting Instructions 2008,
or the DINMA procedure.
Whilst the definition of the types of incidents which must be
reported and managed in HiiP is narrower than those reported
under the DHS Guidelines, there will be cases where an overlap
between the two procedures exists. That is, an incident may fit the
definition as one which must be recorded in HiiP, however, it may
also fit the criteria requiring the incident to be reported through the
DHS Guidelines.
Example: A fire which resulted in the death or serious injury of a
tenant, or where a property related incident may attract
media or legal scrutiny must be captured in hip and
reported as required under the DHS Incident Reporting
Instructions. The context of an incident must be
considered when determining the appropriate action
required.
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Incidents and Claims - Policy
The HiiP Manage Incidents and Claims space includes a field to
register the incident as a Category 1, 2 or 3 as per the DHS
Incident Reporting Instruction 2008. It also includes a field to
indicate whether a DINMA (Disease, Injury, Near Miss, Accident)
form was completed. These fields are completed in HiiP only if a
report was submitted under these procedures.
Roles and responsibilities
As per the DHS Incident Reporting Instruction 2008, incident
DHS Incident management and reporting is primarily a regional responsibility.
Reporting Instructions 2008 The Divisional Program area’s role is primarily to review incident
data in consultation with regions, to inform policy development,
practice and policy implementation.
On occasions, the effective management of an incident may require
responses from both the local service area and the Divisional
Program area. Where this is necessary, communication must occur
between the manager of the local service provider, the Regional
Program Manager, the Regional Director and the Divisional
Program Manager.
6.6.3 Death or
serious injury in Scenario A: An Incident ID is not created in HiiP
an OOH or CSO Incidents and Claims space, but the incident is
property noted in HiiP as a client or tenancy note
A death or serious injury of a tenant or resident in an OOH
property or CSO managed property in which the property itself
played no part and has no effect on the tenancy is recorded as a
note against the client space in HiiP, but is not captured as an
‘incident’ within the Incidents and Claims space in HiiP.
Additionally, if there were no suspicious circumstances, the
incident is generally not reported using the DHS Incident Reporting
Instructions.
As a further illustration, where a client assaults or threatens a staff
member at a housing office, CSO or a property managed by either
service, this will be registered against the client’s record in HiiP,
however, is not created as an incident related to the property. The
incident is reported as outlined in the DHS Incident Reporting
Instruction as a Category 1 or 2 Incident (depending on the
severity) and also through the DINMA procedure.
Scenario B: An Incident ID is created in HiiP
Incidents and Claims space
Where the property was a factor in the person’s death or serious
injury, the incident is created in the HiiP Incidents and Claims
space. This may involve a death due to a fall from an OOH high-
rise building, or a defect in the property such as a gas leak.
Therefore, the context is relevant in determining whether: 1. an
incident ID is to be created in HiiP; 2. reported using another DHS
process, and / or 3. merely noted within another part of HiiP, such
as registering a filenote against a client record or tenancy.
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Incidents and Claims - Policy
The incident for which an ID is created in HiiP may also need to be
reported and managed using other DHS procedures including
DINMA and the DHS Incident Reporting Instruction 2008 (which
would be the case in the above examples where a death results
from a fall from an OOH high-rise building, or due to a gas leak, or
where a staff member was present when the incident occurred or
discovered the deceased person). Creating an incident ID in HiiP
does not replace these other procedures.
However, where there are suspicious circumstances, or the incident
is likely to involve the Minister or attract media, legal or public
scrutiny, it is reported via the DHS Incident Reporting Instructions.
Examples of such circumstances are given below:
A client dies or is seriously injured while in attendance at a
Housing Office or in the office of a DHS CSO.
A client dies or is seriously injured while a HSO, FSO or other
DHS staff member, contractor or DHS CSO representative is in
attendance at the residence.
A client dies or is seriously injured while being shown a
prospective property by a staff member or DHS CSO
representative.
A client dies within an OOH property or CSO managed property in
unusual circumstances or there is a suspicion that the person has
been deceased in the property for a period of time.
A client dies and the death is discovered by a H&CB employee,
contractor or DHS CSO representative.
All deaths or serious injuries involving falls or jumps from DoH
high rise buildings.
A contractor or visitor to a CSO managed property or project
construction site dies or is seriously injured as a result of failure
of the CSO to undertake urgent maintenance to rectify an
identified hazard, or to ensure relevant site safety arrangements
are in place.
6.6.4 Relation-
ship with the Whilst incidents involving employees alone are not required to be
included in HiiP, a field exists to flag a DINMA if a DHS employee is
DINMA Reporting injured or personally affected as a result of a property related
Procedure incident for which an incident ID is created in HiiP.
As described in the previous section, a property related incident
may occur which overlaps with other DHS incident reporting
procedures. An incident may also involve the health, safety or
wellbeing of an employee, thereby giving rise to a requirement to
report the incident using the DINMA procedures and possibly
requiring notification to be given to WorkSafe.
Where this occurs, the incident must be captured in HiiP Managing
Incidents and Claims, as well as reported by completing the DINMA
register at the workplace as required under the Accident
Compensation Act 1985 (the Act). A facility is available to indicate
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Incidents and Claims - Policy
in HiiP whether the incident involves a workplace safety or
wellbeing issue. The DINMA flag in HiiP should only be marked on
completion of the DINMA report.
6.6.5 Relation-
ship with An incident or claim, on its own, does not give rise to a complaint
or appeal. The latter are managed through separate processes.
Complaints, However, a complaint or appeal may be related to an incident or
Appeals and claim e.g. as a result of dissatisfaction with the manner in which
tenancy matters the incident or claim was handled.
(See the Housing Complaints Policy & Procedure Chapter and the
Housing Appeals Policy & Procedure Chapter).
Residential tenancies
Act 1997 Similarly, tenancy related incidents such as neighbourhood
disputes, illegal activity, dangerous behaviour and tenancy
breaches are managed using the OOH Tenancy Management Policy
Tenancy and Procedure and the Residential Tenancies Act 1997.
Management Manual
(See the Tenancy Breaches and Dispute Resolution Chapter –
Tenancy Management Policy & Procedure Manual)
Where two or more processes have been commenced (e.g. an
incident followed by a complaint), a note should be entered within
the incident ID in HiiP flagging that a separate process is also being
managed in relation to a client or external party.
6.6.6 Relation-
ship with a When an incident comes to the attention of the OOH, other action
may be required by a housing staff member, such as arranging for
request for a urgent works to be carried out. This may occur where a fault in the
service wiring caused electrocution or a minor fire, or a plumbing fault
caused flooding which damaged the tenant’s furniture.
In these circumstances, the normal process is followed for
arranging responsive maintenance works to be carried out,
requesting an inspection by the FSO or referral to Engineering
Services where advice is required regarding a structural or
technical issue with the building. This action should also be
recorded as a ‘Note’ under the HiiP Incident.
6.6.7 Definition of
a ‘Claim’ ‘Claim’
A claim arises where a person alleges that they have suffered loss
or damage as a result of the negligence of the DOH or his
delegates for which some form of recompense is sought (i.e. that
the OOH is responsible for the loss or damage due to a breach of
its duty of care owed to the claimant).
A claim may also be made by the OOH against a third party, such
as where a vehicle collision involves damage caused to an OOH
property. In this situation, the OOH may make a claim against the
driver, a company (if a commercial vehicle was involved) or their
insurer. Basic details of these types of claims may be captured in
HiiP, however, are not managed using HiiP for compensation
recovery purposes etc..
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Incidents and Claims - Policy
The OOH is not responsible for loss or damage allegedly suffered
due to the actions or behaviour of an OOH tenant, household
member or visitor. Where a claim is received in relation to the
above, the claimant is informed that they may bring their claim
against the person who is allegedly responsible. Unless the
claimant can identify a breach by the OOH of a duty of care owed
to the claimant, the OOH will reject the claim.
Information Privacy
Act 2000 Note: The OOH does not release details regarding an OOH
tenancy, unless disclosure is permitted under the
Information Privacy Principles.
Business Practice
Manual
A claim does not need to be property related or related to an
incident, to be created in the HiiP Manage Incidents and Claims
space.
Maintenance claims against a tenant (MCATs) are not managed in HiiP
Debt Management Manage Incidents and Claims space. They are raised in the HiiP
Manual Repairs space and pursued in the Debt Management component of the
HiiP Tenancy space.
Note: When receiving or discussing an enquiry regarding a claim,
Housing Office staff should emphasise that the OOH does
not accept liability or indemnify for any damage or
financial loss incurred by the claimant. HSO’s are advised
to inform the claimant that the OOH is required to
investigate the matter before any recommendation of
liability or payment is reached.
The Department’s liability for loss or damage is based on a claim in
law that the Department, (or one of its delegates for which it is
responsible, such as the Director of Housing) is negligent.
The Department’s handbook Duty of Care provides a summary of
DHS Duty of Care the law of negligence and duty of care and should be read in
Manual conjunction with this manual.
Negligence in the legal sense consists of all of the following three
elements and a link between all of them:
duty of care;
breach of duty of care; and
injury, harm, or financial loss occurring as a consequence of the
duty of care owed and a breach of the duty of care. These
elements are considered below.
The OOH owes a duty of care to all persons who may reasonably be
affected by its activities. The duty of care owed by a landlord to
the tenant is generally non-delegable. This means that where the
OOH becomes liable to perform the duty it is immaterial whether
the OOH performs it or employs a contractor to perform it. The
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Incidents and Claims - Policy
OOH can manage this liability by for instance, including a term in
the contract between the OOH and the contractor for the contractor
to indemnify the OOH for any loss caused.
The following groups of people are examples of persons within the
community to whom the OOH may owe a duty of care with respect
to property. The list is not exhaustive. It demonstrates the far
reaching effect and implications of the duty of care owed by the
OOH in the context of minor property damage claims:
Clients: ranging from public housing tenants, occupants of
women’s refuges, users of programs operating at neighbourhood
houses owned by the OOH.
Families, visitors, carers of clients and individuals delivering
services to clients: None of these persons necessarily occupy an
OOH property. For example, the district nurse or meals on wheels
service attending elderly public housing tenants or maintenance
and cleaning contractors who are on the premises pursuant to OOH
instructions.
Neighbours occupying non-OOH property and passers-by:
who potentially may suffer damage as a consequence of the OOH
breaching a duty of care.
Critical to the concept of duty of care is the legal standard to
determine what is reasonable. In brief, it is the foresight and
caution of the ordinary or average person. In other words,
what would a reasonable person have done to prevent the problem
occurring under the same or similar circumstances?
The reasonable person will be assumed to be a person with the
same skills and training required to do the relevant job.
The “reasonable person” test recognises the difference in the levels
of responsibility and skills which are involved in different jobs. It is
a flexible test.
Breach of duty of care
OoH breaches its duty of care when it does something or omits to
do something which a reasonable person would not have done to
the person to whom it owes the duty of care.
Injury, Harm or Financial loss
The loss must have occurred as a consequence of a duty of care
being owed to the person who has incurred the loss. There must
have been a breach of that duty.
Note: As with the Department’s Duty of Care handbook, HSO’s
should note that this manual is not meant to represent a
comprehensive analysis of the law. Any queries in relation
to particular points of law should immediately be referred to
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Incidents and Claims - Policy
Legal Services.
Case Studies
One of the most effective ways of understanding the nature and
consequences of the OOH’s duty of care is to consider some
hypothetical examples where property damage has occurred and
the OOH’s liability has been established in public housing.
Case Study 1
On the 1 July 2008, a resident of a public housing estate at 25
Commission Road, Centerville, contacted the local housing office
and complained; “I was watching my T.V. when it blew up!” The
tenant further complained of other electrical equipment suffering
a similar fate, but cannot explain how or why the damage
occurred. One thing of which the tenant was certain was that
OoH should meet the cost associated with replacing the damaged
equipment. The tenant claims the replacement bill for the
television, VCR, and microwave will be about $2,500.
Circumstances
What were the precise circumstances in which the electrical
equipment was damaged?
If damage was due to a power surge, what was the cause?
Which power authority is responsible for the distribution of
power in this area?
Was the tenant the only person to suffer damage?
Were there any other witnesses to the incident?
Does the tenant have contents insurance cover?
If the tenant has contents insurance, and the damage was
caused by a power surge, does the tenant’s policy extend to
cover fusion damage? If so then the claim should be referred to
their own Insurer.
Cause
Request the FSO to provide a report on cause.
If the FSO is unable to provide a report on cause, then engage
an expert to provide a report on cause.
Damage
What is the nature and extent of damage to the electrical
equipment?
Obtain a description of the damaged electrical equipment. Ask
the tenant to provide the make and model numbers. If they
can’t do that, ask them to provide a detailed description of the
items.
How old is the electrical equipment? If the tenant can not
advise exactly when it was purchased, then confirm the
approximate age.
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Incidents and Claims - Policy
What are the costs of repairs and/or replacement? Ask the
tenant to provide a replacement quotation for the same or
equivalent make and model.
Loss/Mitigation
Could or should the tenant have done anything to either prevent
or minimise the damage?
Other enquiries
Had the tenant had previously suffered similar damage as a
result of a power surge and complained to the Housing Office?
You will need to check the tenant’s maintenance file and
tenancy file to verify the previous complaint.
If in fact the tenant had previously complained and the
complaint was recorded, but nothing was done, then OOH may
have a liability towards the tenant for failing to have
maintained the premises in good repair.
If there is no record of the tenant’s complaint, then liability may
not arise unless the tenant can prove that they made the
complaint and OOH failed to act on it.
If Mrs Smith did complain, what could OOH have done?
OOH could have installed a power surge detection device, or,
depending on cause, referred the complaint to the power
distribution company.
Was the equipment supposedly damaged by the power surge is
either obsolete or in such poor condition that its value was
negligible.
If the electrical equipment was obsolete or in poor condition,
and its value therefore negligible, then theoretically the tenant
will have no claim. However, if the tenant was continuing to
derive benefit from the equipment, then a token offer may be
warranted if liability can be established.
The power surge was caused by the negligence of the power
distribution company.
If this is the case OOH would be justified in denying liability and
advising the tenant to refer the claim to the local power
distribution company.
Other tenants have suffered similar damage as a result of the
power surge incident, but they have yet to lodge complaints?
Only respond if and when claims are received.
How to deal with the claim?
If a power surge was responsible for damaging the electrical
equipment, ascertain whether any blame can be attributed to
OOH. In other words, has OOH done anything or failed to do
anything that may have caused or contributed to the occurrence
of the power surge?
If no, then a denial of liability may be justified. If the power
surge was caused by something OOH did or failed to do, then
OOH may be liable (e.g. failing to maintain the power
connection to the property).
If damage to the equipment was not caused by a power surge,
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Incidents and Claims - Policy
the cause of damage to the electrical equipment must be
determined. Request the tenant to obtain a technician’s report
commenting on cause. If necessary, independently verify the
findings of the technician.
Forward all details of the claim to the loss adjuster and instruct
them to assess the claim.
Outcome
Depending on the factual circumstances, the OOH may:
Deny liability and send a letter to the tenant denying liability;
or
Accept the claim with no admission of liability and offer to make
an ex gratia payment to the tenant provided they sign a release
form. Once the tenant has signed a release, arrange for
payment of the claim to be processed.
Case Study 2
At 1:00 am on 4 November 2008, the tenant at 1/5 Powlett Street,
Ascot Vale, contacted the after hours number and requested a
plumber immediately attend as there was sewerage backflowing
out of their kitchen sink.
About two hours later, a plumber arrived on site to clear the
blocked pipe. Unfortunately, some sewerage backflow flooded out
of the sink onto the kitchen floor and into adjacent kitchen
cupboards.
The following day, the tenant attended the Housing Office and
advised that they were unable to use any of their crockery, cutlery
or kitchen appliances, as they were damaged by the sewerage
backflow. The tenant claimed a total replacement bill for the
damaged items of about $5,000 and expected the OOH to
reimburse them for this cost.
Circumstances
Obtain a report from the plumber who attended advising what
caused the sewerage backflow/blocked pipe.
If necessary, obtain a FSO’s report commenting on cause.
Damage
Does the tenant have contents insurance cover? If so, then the
claim should be referred to their own insurer. If not –
Obtain a description of the damaged items. Ask the tenant to
provide a detailed description of the make and model numbers
of electrical appliances that may be damaged. Also obtain the
approximate age of each item being claimed.
Ask the tenant to provide written quotes on replacing the
damaged items.
Loss/Mitigation
Could the tenant have done anything to either prevent or
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minimize the damage from occurring?
Did the tenant attempt to remove any of the items out of the
kitchen cupboards as soon as they noticed the sewerage
backflow?
Other enquiries
Has the tenant previously suffered similar damage as a result of
a blocked pipe or sewerage backflow and/or have they
complained of similar type of problems occurring before?
Check the maintenance file and tenancy file for the property.
How to deal with the claim?
If the sewerage backflow was due to a blocked pipe which was
caused by other tenants in the same block of flats flushing items
down the toilet and/or kitchen sink, e.g. sanitary items, then the
OOH may be in a position to deny liability as it has not done
anything or failed to do anything that may have caused or
contributed to the incident.
If the maintenance file and/or tenancy file for the property
shows that there have been numerous sewerage backflows at
this property on previous occasions, then the OOH may have
liability towards the tenant for failing to have acted to prevent
this occurrence.
If the OOH has a liability, the claim will need to be assessed.
Forward all details of the claim to the loss adjuster and instruct
them to assess the claim.
Additional facts
According to the plumber’s report, the cause of the blocked pipe or
sewerage overflow was due to items being flushed down toilets by
other tenants. This is the first time it has happened at this address.
Enquires with the tenant have also determined that they did
nothing to help prevent or minimise the damage. In the two hours
that it took the plumber to arrive to clear the blockage, the tenant
could have started removing items from their kitchen cupboards, in
order to prevent them from becoming damaged. The tenant did
not do so and has therefore failed to take any action to prevent or
minimise the loss from occurring.
Outcome
In this instance it would be recommended that the claim should be
denied for two reasons.
OOH is not liable because it has not done anything or failed to
do anything that caused or contributed to the loss occurring.
The tenant has failed to mitigate their loss by taking the items
out of the kitchen cupboards in order to prevent them from
becoming damaged. In other words the tenant failed to take
reasonable steps to prevent the damage from occurring.
Send a letter of denial to the tenant.
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Case Study 3
On Tuesday 26 October 2008, at approximately 1:45 pm several
tenants from a high-rise property contacted the Maintenance Call
Centre and complained that water was entering their premises,
saturating carpet and other contents. It is believed that a fire hose
located on the 16th Floor was vandalised. The Metropolitan Fire
Brigade (MFB) were called to the scene and were able to repair the
damaged fire hose. The MFB also carried out a salvage operation to
clean up the large volume of water.
As a result of the incident, water damage had been sustained to
tenants’ property in several flats. The tenants were looking to the
OoH to compensate them for the cost to replace carpet and other
water damaged items.
Circumstances
What were the precise circumstances in which the fire hose was
damaged?
Determine who is the owner of the fire hose and who is
responsible for maintaining it?
Has the tenant replaced the carpet in the property which was
provided by OoH?
Cause
Confirm the cause of damage to the fire hose by obtaining a
copy of the MFB report on the incident.
If the MFB will not provide a copy of its report, request the FSO
to provide a report on cause.
How to deal with the claim?
Once the circumstances of the incident have been investigated
and cause is confirmed, determine whether OoH has any
liability.
According to the FSO Report and the MFB report, it would
appear that unknown persons have vandalised the hose. It has
also been confirmed that the MFB is the owner of the fire hose
and is responsible for its maintenance.
Outcome
In these circumstances, OoH is not liable for the damage caused
to the tenant’s items as there is no negligence on the part of
OoH. If the tenant has replaced the carpet supplied by OoH, OoH
is not required to replace the tenant’s carpet as the carpet is an
improvement made by the tenant. In other words, OoH has not
done anything or failed to do anything that could have caused or
contributed to the incident.
In this case, a letter should be sent to the tenant denying
liability for damage to the carpet and the tenant’s items
However, if OoH laid the carpet and it has not been replaced by
the tenant, OoH is required to replace the carpet as this carpet
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was in the premises when the tenancy commenced. If OoH fails
to replace the carpet, it will breach its duty to maintain the
premises in good repair as required by s.68 of the Residential
Tenancies Act 1997.
Send a letter to the tenant denying liability in relation to the
tenant items and advise the tenant that OoH will arrange for the
carpet to be replaced.
Case Study 4
A tenant within an OOH estate parked their vehicle in the on site
carpark provided for tenants and visitors. Although it was a little
windy, the tenant thought nothing more of the weather conditions
and left their car. Some hours later, the tenant returned to their
car and discovered that while it had been left unattended, a large
gum tree branch had fallen onto it.
The gum tree was about 22 metres away, but in the abnormally
high winds, the branch had carried across the carpark.
The tenant’s car sustained denting to its bonnet as well as a
cracked windscreen.
The tenant has Third Party Fire and Theft Insurance cover on their
vehicle and cannot afford the repairs to their vehicle. The tenant
believes they have no option but to hold OOH responsible for the
damage to their car.
Cause
Did OOH plant the tree?
Is OOH responsible for maintenance of the tree?
(If the tenant had a Comprehensive Motor Vehicle Policy, they
should be advised to refer the claim to their insurer.)
Obtain a description of the motor vehicle. Ask the tenant to
provide the make and model number as well as the registration
number and year of manufacture of the vehicle.
Damage
What is the nature and extent of damage to the tenant’s motor
vehicle?
What are the costs of repairs?
Loss/Mitigation
Could the tenant have done anything to prevent the damage to
the vehicle?
Other tenants on Langley Estate have previously suffered similar
damage as a result of branches falling from estate trees?
Other enquiries
Had complaints been made to the Housing Office about the
branches falling?
Check the maintenance file for the estate and ascertain if there
are records of the previous complaints. This can be expedited by
asking the tenants for copies of their letters (this will depend on
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the size of the claim).
The tenant’s vehicle was in such poor condition that its value
was negligible. If the OOH is liable to the tenant for the damage
to their vehicle, then the tenant is entitled to have their
vehicle put back to its condition, prior to the branch damage.
How to deal with the claim?
Tree Ownership and Maintenance:
If OOH planted the tree, OOH owns it and it is therefore its
responsibility to ensure adequate maintenance is carried out on
the trees of the estate.
If OOH did not plant the trees, but the trees have been on the
estate for a significant period of time, it can be assumed OOH
owns the trees.
If OOH has an adequate maintenance program on the trees and
they have shown no prior signs of disease or weakness, liability
would appear low.
On the other hand, if maintenance of OOH’s trees is
questionable and the trees showed signs of weakness or
disease, OOH’s liability may be high.
Previous Complaints:
If OOH owns the trees and has had previous complaints from
tenants and has failed to act on these complaints, OOH will be
liable.
If OOH can prove that on all occasions where a complaint from a
tenant was received, it acted quickly and professionally to
prevent any damage occurring, then OOH may not be liable.
The tenant should provide quotes for the work to their vehicle.
These may need to be verified by an independent vehicle
assessor if the repairs are of considerable cost.
Forward all details of the claim to the loss adjusters and instruct
them to assess the claim.
Outcome
Send a letter of denial to the tenant (if you can prove OOH is
not liable); or
Accept the claim with no admission of liability and offer to make
an ex-gratia payment. Once the tenant has signed a release,
arrange for the payment of the claim to be processed.
Case Study 5
On the evening of Saturday, 4 July 2008, at approximately
7:20pm, the MFB were called to a fire at Flat 12/220 Coleman
Street, Collingwood. At the same time Security contacted the
stand-by HSO who attended the property. The fire was
extinguished by the MFB. The tenants on the second floor were
evacuated. The stand-by HSO arranged for the contractors, ABC,
to attend to change the locks to Flat 12 and secure the windows
with metal sheeting.
On 5 July 2008, Flat 12 at 220 Coleman Street, Collingwood was
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burgled and a number of items were stolen. The security
surveillance video depicted two people entering the lift with the
alleged stolen goods.
The tenants of Flat 12, sought compensation for replacement of all
fire-damaged items in addition to compensation for replacement of
the stolen goods. The total replacement bill for the damaged items
was about $20,000 and for the stolen items was about $5,000.
As there are two separate incidents, it is necessary to
examine each incident separately in order to determine
liability.
Incident 1
Circumstances
What were the precise circumstances in which the fire occurred?
Cause
What was the cause of the fire?
Request the Emergency Unit to obtain the MFB report. This
report should provide you with details on cause, including where
the fire started, what time it started and what the cause of the
fire was.
The MFB report indicates that the fire broke out in the kitchen.
The report suggests there may have been a gas leak and
confirms that there was a V-burn pattern emanating from
behind the stove in the area of the gas piping. The tenants
have advised that there was a smell of gas in the flat prior to
the fire. It is also noted in the report that the smoke alarm had
been covered over with what appeared to be glad wrap and that
the tenants had just completed cooking their evening meal
before the fire started.
Other enquiries
Check the tenancy file to see whether the tenants had
complained about the gas stove.
Check maintenance file to see when the stove was last repaired
and if any work has been done on the gas pipes in the
immediate vicinity of the fire.
Incident 2
Circumstances and cause
What were the precise circumstances in which the fire occurred.
Contact ABC contractors and confirm what time they attended to
secure Flat 12 and confirm that this work was actually carried
out. Obtain a report from ABC contractors confirming the work
they carried out.
Obtain a written report from the stand-by HSO confirming the
arrangement made between the HSO and the contractor.
Make enquires with the security guards. Confirm with them in
writing whether they had patrolled the second floor, how often
and when was the last time they had patrolled it prior to the
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burglary.
Contact the Police and confirm the method of entry used by the
thieves, ie. are there signs of forcible entry?
How to deal with the claim?
Do the tenants have their own contents insurance cover? If so,
then the claim should be referred to their insurer.
Obtain a description of the damaged items. Ask the tenants to
provide a detailed description of the make and model numbers
of items that have been fire damaged and of the items which
had been stolen. Also obtain the approximate age of each item
being claimed and how much they paid for them.
Determine what the cost of replacement is by asking the tenants
to provide quotations for the cost of replacing the damaged and
stolen items.
Were stolen items damaged in the fire, either by smoke or
water? If they were damaged in the fire, then their value may be
negligible.
Additional Facts
After making the above enquires, you have confirmed that in
relation to Incident 1, there were no prior complaints or
maintenance requests from the tenants in relation to the alleged
gas leak from the stove at Flat 12, 220 Coleman Street,
Collingwood. You have also confirmed from the maintenance
records that ABC contractors serviced the gas stove approximately
2 months prior to the incident and the gas stove was found to be in
perfect working order.
Your investigations into the circumstances of the burglary have
confirmed that ABC contractors did change the locks on the flat
and secured it with metal sheeting on the night of the incident. At
the same time you have confirmed with the security guards that
they patrolled the second floor on 3 occasions immediately prior to
the burglary.
Outcome
INCIDENT 1
Based on the facts you have obtained from your enquiries you
have determined that OOH has not done anything or failed to do
anything which may have caused or contributed to the incident.
It could be argued that the tenants may have forgotten to turn
the stove off or may not have turned the stove off properly. At
the same time it could also be argued that if the smoke detector
had not been covered with glad wrap, the fire would have been
detected a lot sooner and may have been extinguished without
causing substantial damage.
INCIDENT 2
You have determined that ABC did change the locks on the flat
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and made it secure shortly after the incident. According to your
information, unknown persons kicked the door in to gain entry
into the apartment and stole a number of items. You have also
confirmed that your security guards did patrol the floor on 3
separate occasions immediately prior to the burglary. According
to this information, you may have grounds on which to deny
liability as it may be argued that it was not the actions or lack of
actions of the OOH or its contractors which caused the burglary.
Send a letter to the tenants advising that liability for each incident
is denied.
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6.7 Incidents and Claims - Procedures
6.7.1 Capturing an
incident in HiiP Who captures an incident in HiiP?
An incident may come to the attention of the OOH in a number
of ways. It may be received as a telephone or counter enquiry or
report. The incident may be reported by a member of the
emergency services by provision of a written report via fax or e-
mail. It may be witnessed by or reported to an OOH staff
member while conducting a home visit.
The incident is captured in HiiP by the most senior witness to the
incident, or the person to whom the incident is reported.
This person is also responsible for reporting the incident to their
TM or supervisor where the incident must be reported to senior
managers or directors at the regional and program level.
6.7.2 Notification
of incidents within Notification of incidents created in HiiP
DHS
Until HiiP is fully deployed, staff will need to continue to send
notifications of incidents to relevant managers and executive
staff using the manual system currently in place for notification
(ie. by facsimile). The persons notified of the incident will
depend on the type and category of incident captured.
For Category 1 incidents, notification must also occur
immediately (eg. via telephone) to ensure that the relevant
person receives the communication regarding the incident. This
is in addition to completing and sending the Incident Report by
fax.
The regional Director will verify the Category 1 incident and
determine whether it has the potential to involve the Minister or
produce a high level of public or legal scrutiny. Where this
potential exists, the Regional Director immediately notifies the
Program Executive Director.
The following table is a summary of the notification procedures
for incidents under the DHS Incident Reporting Instruction 2008.
Table 1: Notification procedure for incidents under the DHS Incident Reporting Instruction
2008:
Incident type DHS Program Community Service
Organisation
Category 1 Supervisor and line manager Supervisor and line manager are
incident * are immediately notified in immediately notified in order to
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order to respond to the respond to the incident, record the
incident, record the response response and prevent a recurrence
and prevent a recurrence (Supervisor, Program Manager,
(Team Mgr, HSM, HM notified in PASA in person or via telephone,
person or via telephone, with with follow up by e-mail
follow up by e-mail notification). The Program Manager
notification). The HM or PASA determines whether to
determines whether to notify notify the Regional Director and
the Regional Director and Program ED.
Program ED.
Incident report is sent to
Incident report is sent by nominated regional officer no later
Regional Director to relevant than next working day, and a copy
Program Director and Executive to Regional Director within 1 hour
Director, ED Operations, thereafter. A copy of the report is
Director Legal Services no later sent to the relevant Program
than next working day. The Manager and the PASA at this time.
Incident report is recorded on The Incident report is recorded on
the database within 1 week. the database within 1 week.
Category 2 Supervisor and line manager Supervisor and line manager are
incident * are immediately notified (using immediately notified (using same
same methods as Category 1) methods as Category 1) in order to
in order to respond to the respond to the incident, record the
incident, record the response response and prevent a recurrence.
and prevent a recurrence. Community Service Org (CSO)/
Incident report is sent to Funded agency submits incident
Program Manager within 2 report to PASA within 2 working
working days. The incident days. PASA submits report to
report is recorded on the relevant Program Manager within 1
database within 2 weeks. working day. The Incident report is
recorded on the database within 2
weeks.
Category 3 Supervisor and line manager CSO / Funded agency completes an
incident are immediately notified (using incident report and files this on its
same methods as Category 1). locally maintained register or
The Incident is recorded on the database within 1 week
database within 1 week (recommended).
(recommended).
Serious Work Safe to be notified Work Safe to be notified
incident immediately (Consult Work immediately (Consult Work health
within a health Unit). Unit).
workplace
under control
of employer
*
* without potential to involve Minister or produce a high level of public or legal scrutiny. Where a
Category 1 incident has the potential to involve the Minister or produce a high level of public or
legal scrutiny, the Regional Director must immediately contact the Program Executive Director.
NOTE: Refer to the DINMA Reporting Procedures and the DHS Incident Reporting Instructions
2008 for the reporting procedure where an incident involves DHS clients or staff at the service or
during service delivery, or the health, safety or wellbeing of an employee.
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6.7.3 Fire incidents
Creating a ‘fire’ incident in HiiP
H&CB may become aware of a fire incident by various means:
Notification from the Metropolitan Fire Brigade (MFB) or
the Country Fire Authority (CFA)
Notification by other emergency services such as the
Police or State Emergency Services (SES)
Reported by a tenant or other person
The After Hours service calls the staff member on call
Via the media (e.g. newspaper article)
Regional staff must capture the details of the fire incident in HiiP
immediately. All available information is entered in HiiP
including scanning any documents, reports and photographs.
The time the fire was reported should be captured as a note.
Until HiiP is fully deployed, staff will need to continue to send
notifications of ‘fire’ incidents to the Emergency Unit, PSAM by
e-mailing the Incident ID number created in HiiP to
EmergencyBranch.Housing@dhs.vic.gov.au. Relevant managers
and executive staff are notified by the local Housing Office by
faxing a HiiP screen print of the saved incident. The persons
notified of the incident remain as per current practice and will
depend on the type and category of incident.
For Category 1 incidents, notification must also occur
immediately via telephone to ensure that the relevant person
receives the communication regarding the incident. This is in
addition to completing and sending the DHS Incident Report via
facsimile.
Where some of the fire details are missing or unknown, the
incident record must still be created in HiiP. Upon receipt of the
Fire Incident notification by e-mail, Emergency Unit staff will
follow up the incident to obtain further details from the relevant
authority if necessary. In some cases the Emergency Unit may
obtain additional information through the Freedom of
Information (FOI) process from the MFB or CFA.
Any incident involving a fire is to be captured in HiiP using the
‘fire’ code, regardless of the size of the fire or whether any
emergency services attended (e.g. a small fire extinguished by a
tenant must still be captured in HiiP regardless of whether any
maintenance work to rectify the damage is required).
Referrals to Property Services & Asset
Management Branch (PSAM)
Where a fire incident results in substantial damage to an OOH
owned or managed property, a referral may be required to PSAM
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to carry out further assessment.
Responsive This may include a referral by the FSO to the Asset Development
Maintenance Chapter, and Innovation Group (ADIG) or Engineering Services to
Maintenance Manual
determine whether a property should be added to a current
maintenance program or to assess structural works which may
be required. See Section 3.2.18 of the Responsive Maintenance
Chapter in the Maintenance Policy and Procedure Manual.
6.7.4 Transitional
arrangements for During implementation of the HiiP Manage Incidents and Claims
space, the following arrangements will apply:
Fire incidents
Existing fire incidents are to be managed and closed off by
the Emergency Unit using the current procedure.
All new fire incidents which occur after the release of the
HiiP Incidents and Claims space are to be recorded and
managed in HiiP. Fire incidents will be closed off by the
Emergency Unit.
6.7.5 Capturing a
claim in HiiP When is a claim captured in HiiP?
Written details of a claim must be received before it is captured
in HiiP.
If a person contacts the OOH to discuss their intention to lodge a
claim, or informing the OOH of damage or loss they have
allegedly suffered for which they will be holding the OOH
responsible, an enquiry must be registered in HiiP recording
details of the conversation. The person is informed that written
details must be received in order to investigate the claim.
Appendix 2.8.1
Acknowledgement letter for
receipt of an enquiry A letter is sent to the claimant once an enquiry regarding a claim
is captured in HiiP. The letter is scanned and attached to the
claim ID in HiiP before it is sent to the claimant.
Note: Housing Office staff are to note that the OOH will not
accept liability or indemnify for any damage or financial
loss incurred by the claimant. HSO’s are advised to
inform the claimant that the OOH is required to
investigate the matter before any recommendation of
liability or payment is reached.
Who captures a claim in HiiP?
The recipient of the claim is to create the claim record in HiiP upon
receipt of the relevant correspondence or documents. Written
details of a claim must be received before it is registered in HiiP as
a claim. Where a claim relates to a particular OOH owned or
managed property, the claim is referred to the relevant officer,
team or unit responsible for managing the property. For example, if
the claim relates to a leased property, it is referred to the Lease
Management Unit. If the property is managed by a particular
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Tenancy and Property Team (TPT), the claim is referred to the
Team Manager for allocation to an appropriate Housing Services
Officer to manage. Referral of the claim is made by sending an e-
mail with a HiiP screen print of the Claim Details page and the HiiP
Claim ID number. Claims in relation to COMAC properties should be
referred to the regional Program & Service Advisor (PASA).
6.7.6 Investigate
the claim Request information and documentation
The OOH requests written information from the claimant or their
authorised representative in order to investigate and assess the
claim. This information enables the OOH to:
properly understand the nature of the claim;
determine whether there is any liability on its part; and
assess whether it should settle the claim and on what
terms.
Contact the tenant in writing as soon as practicable to:
Obtain evidence from the tenant to determine their version of
events; and
Obtain evidence from the tenant which establishes that OoH
caused the loss.
The details and documentation requested should include the
following:
Mandatory information:
the claimant’s details (name, address, contact details);
details of the circumstances giving rise to the claim e.g.
when, why and how it happened;
written details or evidence of the alleged loss (e.g.
quotations for replacement/ repairs);
reasons why the claimant believes the OoH is responsible,
and in what way the OOH breached a duty it owed to the
claimant;
what response the claimant is seeking (e.g. monetary
compensation for damage to, or loss of, an item; an
apology etc.), and
if compensation is sought, the monetary the amount.
Other details may include:
the claimant’s legal or authorised representative (if any)
and their contact details;
the Insurer’s details (if any);
Emergency services reports (if attended);
details of the claimant’s solicitor (if represented);
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details of any witnesses able to verify the facts;
photos of damaged goods or property, preferably with date
imprint;
receipts or quotations;
proof of purchase of goods;
contractor/ expert reports regarding the cause and extent of
damage.
Acknowledging receipt of the claim
Once the claim is created in HiiP, a letter must be sent to the
claimant or their authorised representative:
acknowledging receipt of the claim and general timeline for
a response;
requesting any further documentation required to assess
the claim;
informing them that the claim will be investigated;
informing them that information they supply may be
provided to other organisations involved in investigating or
providing advice in relation to the claim, such as insurance
loss adjusters or legal services;
informing them that information they supply may be used
in the process of research or the compilation or analysis of
statistics;
providing the name of a contact person for enquiries in
Appendix 2.8.1 relation to the claim.
Acknowledgement letter for
receipt of an enquiry The letter is scanned and attached to the claim ID in HiiP before
it is sent to the claimant.
6.7.7 Managing
minor claims Very minor claims may arise where the claim can be assessed
and settled at the local service level (e.g. a tenant who is
claiming $10 from contractor for use of power, or broken lamp).
In these cases there may be no documentation available to
substantiate the claim, and a letter from the claimant explaining
the circumstances is generally sufficient.
Managing minor claims made in relation to a
maintenance contractor
Occasionally, the OOH receives a claim from a tenant regarding
allegations of damage or loss caused by a maintenance
contractor who entered the premises to carry out works at the
request of the tenant.
Where this occurs, the minor property claim is captured in HiiP
and is investigated by the local Housing Office to determine
whether the claim has merit. This includes consulting the
contractor to give them an opportunity to consider the
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allegations and provide their response. Where the claim is
accepted by the contractor, the contractor is requested to
confirm this in writing (eg. details of their acceptance of the
claim and the monetary payment to be made, apology to be
given, rectification to be undertaken). The claimant is sent a
letter advising them of the outcome of the investigation and
proposed offer of settlement, including the Deed of Mutual
Release for the claimant to complete and return. Once the
signed Form of Release is received, arrangements are made for
the contractor to proceed with the payment or other agreed
action.
All correspondence including the Deed of Mutual Release is
scanned and attached to the claim in HiiP
Where the OOH determines that the contractor is responsible,
however the contractor disagrees, a dispute arises under the
contract which is then referred to the Superintendent, who will
investigate and follow up the incident/ claim with the Head
Contractor concerned. The referral is made by sending an email
to the Superintendent noting the HiiP Claim ID number.
6.7.8 Claims under
$1,000 If the claim is for an amount under $1,000 in value, the HSO
investigates the claim by reviewing the information and
documentation provided and seeking further information if
required. An interview may be arranged to discuss the
circumstances and clarify any details. This may be particularly
useful where an interpreter is required by the claimant. Take
detailed file-notes of all written or verbal conversations with the
tenant. These notes must be captured in HiiP.
The HSO may seek supporting evidence from the FSO, where the
loss or damage alleged is related to the property, such as where
the tenant’s goods were damaged due to flooding caused by a
faulty water pipe. Instruct the FSO to provide a detailed
breakdown of the cause of the incident. FSO’s should engage an
expert to provide advice where the cause is outside the FSO’s
expertise. These requests can be made via HiiP under the
tenant’s property identification number. The FSO should prepare
a written explanation of the problem and its cause, photographic
evidence that is signed and dated by the FSO as well as any
other attachments which may include OOH contractor
attendance reports, quality audit reports (if necessary), police
and fire attendance reports (if available) as well as any expert
advice that is arranged by the FSO.
Once the investigation is carried out, the HSO prepares a
detailed briefing note to the HSM noting the background to the
claim, the findings of the investigation and recommending
whether or not the claim should be approved and the reasons.
Any key issues in relation to the tenant’s claim should be
identified. All information and documentation relevant to the
claim must be attached to the briefing note. This includes any
evidence from ISIP, HiiP or the tenant’s file which relates to the
incident. Evidence should include all file-notes of conversations
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with the tenant that are recorded electronically and on the
tenants files, history of maintenance orders raised against the
property and the property condition report.
The HSM decides whether to approve or reject the claim based
on this information, and whether a loss adjuster (currently
Freemans) is required for a settlement calculation (this will be in
cases where the value of the claim is difficult to quantify.)
If the claim is approved and easy to quantify, the HSM will
organise disbursement to the claimant through their finance
team, and ask the claimant to sign a release form.
If the claim is approved and difficult to quantify, the HSM
will send the supporting evidence together with a covering
instruction letter to Freemans seeking a settlement
calculation. This must be sent via mail or email.
Freemans will provide a recommendation via email or mail as
per the instruction letter, and the HSM will organise
disbursement to the claimant based on the recommendation.
If the circumstances and cause of the loss or damage is not
clear, the HSM can also elect to seek a full investigation and
assessment as per the directions for claims between $2,000 and
$5,000.
Appendix 2.8.2
Instruction letter to loss Sending instruction letters to the loss adjuster
adjuster
The instruction letter should provide a summary of the claim,
any relevant background, a summary of the supporting
documentation, and instructions regarding what service is
required i.e. investigate, assess and provide a report OR provide
a settlement calculation.
6.7.9 Claims
between $1,000 and The procedure is the same as for claims under $1,000, however,
the HSM must refer all claims to the loss adjuster for a
$2,000 settlement calculation.
If the circumstances and cause of the damage is not clear, the
HSM can elect to seek a full investigation and assessment as per
the directions for claims between $2,000 and $5,000.
6.7.10 Claims
between $2,000 and The procedure is the same as for claims under $1,000, however,
the HSM must refer all claims to the loss adjuster for a
$5,000 settlement calculation.
The HSM sends the supporting evidence together with a covering
instruction letter to the loss adjuster seeking an investigation
and assessment.
The loss adjusters conduct their own investigation and
assessment, and produce an initial report within 21 days of
receiving instruction, detailing their recommendation.
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If the matter is of an urgent nature, the HSM must detail this
in the instruction letter and Freemans will liaise with the
HSM to negotiate a tighter time frame.
If the Loss Adjuster is having difficulty contacting the
claimant, this will be communicated to the HSM for further
action.
Subsequent reports more than 21 days from receiving
instruction may be necessary if the investigation is being held
up beyond the Loss Adjuster’s control.
The HSM asks the claimant to sign a release form, and requests
the regional Finance team to issue payment based on the
recommendation provided by Freemans.
6.7.11 Claims
over $5,000 The HSO investigates the claim by reviewing the information
and documentation provided and seeking further information if
required.
The HSO may seek supporting evidence from the FSO, where the
loss or damage alleged is related to the property, such as where
the tenant’s goods were damaged due to flooding caused by a
faulty water pipe.
Once the investigation is carried out, the HSO prepares a
briefing note to the HSM noting the findings of the investigation
and seeking referral to Legal Services.
The HSM approves the referral to Legal Services and provides all
documentation together with a briefing note to the Director,
Legal Services Branch for action.
Legal Services contact the HSM indicating who will be managing
the case, and engage the loss adjuster to conduct an
investigation and assessment, and to provide their
recommendation.
The HSM sends a letter to the claimant stating that the case has
been referred to Legal Services branch, providing contact details
of the officer handling the case.
The loss adjusters provide Legal Services with a report detailing
their recommendation.
Legal Services organise disbursements, and inform the region of
the outcome.
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6.7.12 Claims
involving litigation Referral to Legal Services
If the claim involves litigation, the claim is referred to Legal
Services by the end of the next working day. The HSO prepares
a briefing note to the HSM recommending the referral, which is
approved by the HSM. Legal Services are to be notified of the
referral immediately by telephone.
The correspondence and documentation received from the
claimant, as well as the briefing note is scanned into HiiP, with
the originals sent to Legal Services via the internal mail service.
The above procedure also applies to class actions (ie. litigation
involving several claimants who have the same interests), or
where the claimant is represented by a solicitor, barrister or
other legal advocate.
Further updates after referral to Legal Services
Housing staff will have the ability to capture further details
about a claim after referral to Legal Services. That is, further
information can be entered or documents attached using the
Document Management System (DMS). Any further details are
to be registered within 24 hours of receipt. Additional
documentation is scanned into HiiP as it comes to hand.
An email must be sent immediately to the Claims Officer at
Legal Services to notify them that further details of the claim
have been entered in HiiP. The HiiP claim ID must also be noted
in the email.
Where claimant seeks compensation in VCAT
A tenant may seek compensation in VCAT for loss which they
allege the OOH is responsible for as a result of a breach of the
RTA 1997 or of the tenancy agreement. For example, a tenant
may seek compensation for power or water usage due to a fault
with the property which they allege occurred due to the OOH’s
failure to carry out repairs. Another example may be where a
tenant who vacated or was evicted from an OOH premises claims
compensation for goods which they allege were wrongfully
removed from the premises and disposed of.
The responsible HSO investigates the allegations and prepares
material to respond to the tenant’s VCAT application including
the tenancy file, details of repairs carried out to the premises,
Property Condition Reports, Tenancy Condition Reports, reports
by Consumer Affairs Victoria, contractor or FSO inspection
reports, photographs, quotations and any other relevant
documents or evidence. The FSO and/ or Engineering Services,
PSAM are requested to inspect the premises and investigate any
issues related to maintenance of the premises or its structure.
If the tenant is represented at the VCAT hearing by a solicitor or
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legal advocate, determine whether an adjournment should be
Tenancy Management requested. Where an adjournment is granted, contact Legal
Manual Services Branch for advice regarding the further conduct of the
proceeding.
For further information regarding preparing for a VCAT hearing,
refer to Chapter 2 of the Tenancy Management Policy and
Procedure Manual.
6.7.13 Where VCAT orders compensation to the
claimant
Where VCAT orders the OOH to pay compensation to the
claimant, discuss the outcome with the HSM. Depending on the
circumstances, the HSM may decide to refer the matter to Legal
Services Branch to decide whether application should be made
for a review of the determination, or whether the decision should
be appealed.
If the HSM decides that the compensation should be paid,
arrange payment to the claimant using a general claim form.
NOTE: Any compensation to a tenant ordered by the Tribunal is
paid out of the following account.
Entity (2 ) Cost centre (4) Activity (5) Fund (3) Account (5) Prod (2) Identifier (5)
20 **** 91177 025 86514 01 X****
**** Housing Office Cost Centre 4 digit number
A general claim form is used to access funds from this account.
Insert the above numbers in the relevant section of the general
claim form. The four digit local housing office cost centre is entered
in the spaces defined by asterisks. Request the HSM or Team
Manager’s signature for approval of the claim.
6.7.14
Transitional For existing claims (received prior to the release of HiiP Manage
Incidents and Claims):
arrangements for
existing Claims If the claim is greater than $5,000 or involves litigation,
the claim is created in the HiiP Claims space and
managed until it is resolved and closed off in HiiP.
If the claim is $5,000 or less, the claim is managed and
closed off using the existing system in place.
All new claims received after the release of HiiP Incidents and
Claims Manage Incidents and Claims are created and managed
in HiiP.
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6.7.15 Finalising
claims and making Accepted claims
payment to a
When a claim is accepted by the OOH and payment to a claimant
claimant is approved, a letter is sent to the claimant offering to settle the
claim for the determined monetary amount.
Appendix 2.8.3 Cover
letter offering to settle
claim A Deed of Release completed with the relevant details of the
proposed settlement is enclosed for the claimant to sign and
Appendix 2.8.4 Deed of return, to acknowledge their acceptance of the settlement offer
Mutual Release and to release the OOH and DHS from all liability with respect to
the claim. The Deed is not signed by the DOH before sending to
the claimant.
Once the signed Deed of Release is received, a General Claim
Form is completed to arrange payment to the claimant.
Note: Check that the contents of the Deed of Mutual Release
received from the claimant have not been altered in any
way.
Rejected claims
When a claim is rejected by the OOH, the reasons for rejecting
the claim must be documented in a memorandum signed by the
HSM and placed on the file. A letter is sent to the claimant
informing them that the claim has been declined. HiiP is
Appendix 2.8.7 Letter updated to reflect the outcome and the claim is closed off by the
rejecting the claim HSM or HM.
6.7.16 No response from claimant
Where correspondence is sent to a claimant (e.g. offering to
settle a claim), however, no contact or response is received
within 28 days, the claim is closed off by the HSM or HM. A note
is entered in HiiP to record the claimant’s lack of response.
If the signed Deed of Mutual Release is returned at a later date
or contact is made by the claimant, the claim can be re-opened
in HiiP by the for the process of investigation and assessment to
continue.
6.7.17 Incidents
or claims related to Properties and land owned by the OOH
a common area of
Where the incident occurred on a common area which is owned
the property by the OOH, the incident or a related claim is to be created with
a link to the land or floor (site) ID and also to the relevant
individual property concerned (e.g. where a tenant’s or visitor’s
car parked in the common area is damaged). If a person
involved in the incident or making a claim is not a H&CB or CSO
client, they must be registered as an external party.
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Properties managed by Owners Corporations
An incident or claim may be related to a property which is
subject to management under an Owners Corporation (OC)
(formerly known as a Body Corporate).
Where an incident occurred or claim arose in relation to a
common area which is managed under an Owners Corporation,
the incident or claim details are to be created and linked to the
OOH property. The claim (or incident if it is determined to be an
issue for the OC to manage) is referred to the OC for
investigation and assessment of the claim under its insurance
policy, or action to be taken in relation to the incident. The OC is
created as an external party and linked to the incident.
Where an Owners Corporation is not active, refer to the Owners
Corporation Chapter 4 in the OOH Tenancy Management Policy &
Procedure Manual.
6.7.18 Incidents
or claims related to Properties leased by the OOH
other properties
Where the incident or claim is in relation to a leased property,
the incident or claim is created with a link to the property PIN in
HiiP. An incident or claim is investigated and managed
consistent with existing policies and guidelines. Depending on
the nature of an incident or claim lodged, other parties may be
informed of the incident where they will be required to take
some action.
For example, where a tree situated on the land of a leased
property falls across a boundary fence between the leased
property and a neighbouring property causing damage to the
neighbour’s house or car, the landlord (or their agent) is
contacted by H&CB to inform them of the incident. This will
enable the landlord to negotiate with the private owner, arrange
an inspection and contact their insurer.
Another example is where the tenant of a leased property
reports a fire which occurred accidentally (such as placing a
clothes drying rack too close to a heater). The incident is created
in HiiP and Emergency Unit notified of the fire. The Lease
Management Branch is notified of the incident in order to contact
the landlord of the property. If the landlord subsequently lodged
a claim against H&CB for the damage to the premises, the claim
would be managed and assessed as any other claim, however, it
is possible that the claim will be rejected as the landlord would
ordinarily be responsible for arranging insurance to cover
accidental damage to the property caused by fire. However
where a fire is caused deliberately or negligently by the tenant
such as by the tenant undertaking illegal electrical works to the
property, H&CB may be required to settle the landlord’s claim
and then seek the repair costs to the property from the tenant
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under the Tenant Responsibility Policy.
6.7.19 Privately
owned properties Where an incident or claim involves a privately owned property
(e.g. a tree branch from an OOH property falls on a
neighbouring property causing damage or visa versa), the OOH
property is linked to the incident or claim. The private owner
involved will be created as an external party in HiiP and linked to
the incident or claim. The privately owned property address and
details are captured using ‘Notes’.
Note that the private owner may be the party reporting the
incident or making a claim. However, a claim may also be made
by the OOH against a private occupier or owner, and an incident
caused by a private occupier or owner may also be registered
and managed in HiiP.
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Appendix
6.8 Appendix
6.8.1 Acknowledgement Letter for Receipt of Enquiry / Claim
Department of Human Services
Incorporating: Health, Senior Victorians, Housing and Community Services
<date>
<Claimant’s Name>
<Claimant’s Address>
<SUBURB and POSTCODE>
Dear <CLAIMANT’S NAME>
We refer to your recent contact with the <Housing Office> regarding your enquiry in relation to:
lodging a claim for compensation for loss allegedly incurred by you for <Insert brief details of claim>.
<if claim involves another form of restitution e.g. replacement of an item, apology etc., insert details of claim>.
Please note, that if your enquiry relates to:
a complaint you would like to make about a service, policy or procedure and is of a general nature, or
a decision made by the Office of Housing which has affected you personally,
you should contact the Manager, Housing Appeals and Complaints on 1300 650 172.
In order to investigate the allegations you have raised in your enquiry, the Office of Housing requests that you provide
written details of your claim including the following:
your details (name, address, contact details);
details of the circumstances giving rise to the claim (e.g. when, why and how it happened);
reasons why you believe the Office of Housing is responsible, and in what way if any, you believe that the Office of
Housing breached a duty it owed to you;
what you are seeking from the Office of Housing (e.g. a monetary amount for damage to or loss of an item; an
investigation and apology etc.),
the amount sought (if your claim is for a monetary amount),
photographs of damaged goods or property, preferably with date imprint;
proof of purchase of goods that relate to your claim;
any quotations you have obtained to repair alleged damage or replace an item;
any contractor or expert reports regarding the cause and extent of the alleged damage or loss;
details of your insurer and your insurance policy (if any);
details of any witnesses able to verify the facts;
any reports completed by Emergency Services who may have attended (e.g. for a fire);
the name of your legal or authorised representative (if any) and their contact details.
Without some or all of this information, the Office of Housing will be unable to properly investigate, and if necessary,
assess your claim.
You should send or take the information and documents requested above to:
<Housing Office>
<Street Address>
<Housing Office Postal Address>
<Suburb and Post code>
If written details of your claim are not received by the Office of Housing within 28 days of the date of this letter, we will
assume that you do not wish to proceed with a claim, and no further action will be taken by us.
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Whilst the Office of Housing will attempt to respond to your claim within 28 days of receiving the above information,
this time may vary depending on factors involved in investigating and assessing your claim.
It is important for you to know that whilst the Office of Housing takes steps to protect your personal information, the
information and documentation you supply may be provided to other organisations involved in investigating, assessing
or providing advice in relation to the claim. Further, this personal information may be used for planning, funding,
monitoring and evaluating our services and functions. By requesting that the Office of Housing consider your claim, you
acknowledge that you are providing consent for the disclosure of your personal information for the abovementioned
purposes or a related purpose.
If you have any questions in relation to this letter, please contact <Housing Officer> at the <Housing Office> on
<Phone Number>.
Yours sincerely
<Housing Officer>
<Housing Office>
NOTE: Where written details have been received from the claimant, the above letter can be
modified by deleting paragraph 3 (“In order to investigate…”) to paragraph 6 (“If written details
of your claim…”) inclusive.
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Appendix
Instruction Letter to Loss Adjuster seeking a settlement calculation
Department of Human Services
Incorporating: Health, Senior Victorians, Housing and Community Services
<date>
LKAGroup
Att: David Pockett
72 Faraday Street
Carlton VIC 3053
Via email to: dpockett@lkagroup.com.au
<Delete the above if sending via post>
Dear Mr Pockett
I refer to the claim made by <Claimant’s Name> against the Director of Housing for <insert brief details of claim>.
Attached for your reference are the following documents: <The following list is an example only>
1. Letter of demand from the claimant;
2. Quotation for repairs to <the item>;
3. Details of insurer and insurance policy;
4. Field Services Officer report detailing the cause of the <describe incident e.g. burst water pipe>;
5. <List other documents here>;
If you have any questions in relation to this letter, please contact <Housing Services Manager> at the <Housing
Office> on <Phone Number>.
Yours sincerely
<Housing Services Manager>
<Housing Office>
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Appendix
6.8.2 Cover letter offering to settle a claim
Department of Human Services
Incorporating: Health, Senior Victorians, Housing and Community Services
<date>
<Claimant’s Name>
<Claimant’s Address>
<SUBURB and POSTCODE>
“WITHOUT PREJUDICE”
Dear < Claimant’s Name >
We refer to your letter dated <date> received by this Office on <date> regarding your claim for <Insert brief
description of claim>(“the claim).
On behalf of the Director of Housing (“the Director”), I am prepared to offer you the amount of <Amount> in full and
final satisfaction of your claim.
This offer is made without any admission of liability whatsoever, and the Office of Housing and the Director reserve
their rights in respect of the claim.
This offer is open for acceptance by you for 14 days from the date of this letter. To accept this offer, please complete
the enclosed Deed of Mutual Release and return it by post.
If you have any questions in relation to this letter, please contact <Housing Services Manager> at the <Housing
Office> on <Phone Number>.
Yours sincerely
<Housing Services Manager>
<Housing Office>
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Appendix
6.8.3 Deed of Mutual Release - Template
DEED OF MUTUAL RELEASE
THIS DEED OF MUTUAL RELEASE is made the day of 200#
BETWEEN
<Claimant’s Name> of <Claimant’s Address> in the State of Victoria (“the claimant”)
AND
DIRECTOR OF HOUSING of 50 Lonsdale Street, Melbourne in the State of Victoria (“the
Landlord”)
RECITALS:
A. <Insert brief factual details of the incident which led to the claim. Use further
paragraphs below as required> (“the accident”).
B. <Additional factual details as required>
C. <Additional factual details as required>
*** Delete this text box ***
EXAMPLE:
The claimant was the tenant residing at premises owned by the Landlord, at
<Address> on <Date> when she tripped on an uneven concrete path in the
carpark of the common area of the premises.
The claimant had reported the uneven concrete path to the Landlord’s delegate
approximately 6 months prior to the accident and the land lord repaired the
uneven concrete within 14 days of the accident.
D. <Insert details of the alleged loss or damage suffered by the claimant>
*** Delete this text box ***
EXAMPLE:
In the accident, the claimant broke her spectacles valued at $###.00 and
incurred medical expenses directly attributable to the accident of $###.00.
NOTE: The amount of a claim that can be approved at the local level without
referral to the loss adjuster for a settlement calculation must be less than $1,000.
E. <Insert details of the proposed offer to be made to the claimant>
*** Delete this text box ***
EXAMPLE:
The Landlord has agreed to reimburse the claimant $###.00 on the basis that
both parties sign this Mutual release and on the basis that the Landlord does not
admit any liability for the accident to the claimant.
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OPERATIVE PART:
1. This Mutual Release shall be binding upon the parties and each of their heirs, executors,
administrators and assigns.
2. The Landlord shall pay the claimant the sum of $###.00 within 30 days of the
Landlord signing this Deed.
3. Each party agrees to accept the above provisions made by them in full and final
satisfaction of and in substitution of any rights which they have or either of them may
now have or may hereafter have to seek any claim, declaration or relief in respect of
any damage or personal injury caused by the accident and any medical consequences
that may manifest in the future for the claimant.
4. Both parties undertake and agree not to commence any action, suit or proceeding of any
kind against the other party and in the case of the claimant against any agents, assignees,
contractors, subcontractors or licencees of the Landlord, in respect of any rights,
entitlements or claims howsoever arising which either may have or might have had as a
result of the accident save and except in respect to the other for non-compliance with the
terms of this Deed.
5. This Deed of Mutual Release contains the entire understanding of the agreement between
the parties.
IN WITNESS whereof the parties have hereunto set their hands and seals this day and year
first hereinbefore written.
SIGNED SEALED AND DELIVERED )
by the said <Claimant’s name> in the )
presence of: )
SIGNED SEALED AND DELIVERED )
by the said DIRECTOR OF HOUSING )
in the presence of: )
………………………………………………………………………………………………………………………………...
CLAIMANT’S BANK ACCOUNT DETAILS
(Complete details below to receive payment via direct credit into your nominated bank account)
NAME OF ACCOUNT HOLDER(S):
BSB / ACCOUNT NUMBER: /
NAME OF BANK:
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Appendix
6.8.4 Letter to advise that claim has been referred to an owner’s
corporation
Department of Human Services
Incorporating: Health, Senior Victorians, Housing and Community Services
<date>
<Claimant’s Name>
<Claimant’s Address>
<SUBURB and POSTCODE>
Dear <Claimant’s Name >
We refer to your letter dated <date> received by this Office on <date> regarding your claim for <Insert brief
description of claim> (“the claim).
From the information you have provided and enquiries made by Office of Housing (OOH) staff, it has been determined
that the incident which you allege resulted in your loss or damage occurred within or as a result of the common area of
the property and not the OOH owned or managed property. Therefore, the OOH denies any liability for your claim.
Your claim has been referred to the following owner’s corporation:
<Owner’s Corporation Name>
<Att: Contact Person (if available)>
<Address>
<Suburb and Postcode>
<Phone number>
If you have any questions in relation to this letter, please contact <Housing Services Manager> at the <Housing
Office> on <Phone Number>.
Yours sincerely
<Housing Services Manager>
<Housing Office>
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6.8.5 Letter to refer claim to an owner’s corporation
Department of Human Services
Incorporating: Health, Senior Victorians, Housing and Community Services
<date>
<Owner’s Corporation Name>
<Address>
<SUBURB and POSTCODE>
Dear <Contact person>
We refer to a claim received by this Office on <date> regarding <Insert brief description of claim> (“the claim).
From the information provided and enquiries made by the Office of Housing (OOH), it has been determined that the
alleged incident occurred within or as a result of the common area of the property and not the OOH owned or managed
property. Therefore, the OOH denies any liability for the claim.
The claim has been referred to the owner’s corporation to investigate and process as it sees fit. The following
documents are attached for your reference:
<List documents from claimant here>
If you have any questions in relation to this letter, please contact <Housing Services Manager> at the <Housing
Office> on <Phone Number>.
Yours sincerely
<Housing Services Manager>
<Housing Office>
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Appendix
6.8.6 Letter to claimant rejecting the claim
Department of Human Services
Incorporating: Health, Senior Victorians, Housing and Community Services
<date>
<CLAIMANT’S NAME>
<CLAIMANT’S ADDRESS>
<SUBURB and POSTCODE>
Dear <CLAIMANT’S NAME>
We refer to your claim for <INSERT BRIEF DESCRIPTION OF CLAIM> (“the claim) because of the alleged incident on
<date>.
I have perused the documentation you provided in support of your claim.
After careful consideration, I believe that the evidence does not lead me to conclude that the Director of Housing is
liable in this instance. Therefore, your claim is denied.
If you have any questions in relation to this letter, please contact <Housing Services Manager> at the <Housing
Office> on <Phone Number>.
Yours sincerely
<Housing Services Manager>
<Housing Office>
Page 6-48 Business Practice Manual : Manage Incidents and Claims : Version 4.2 June 2011
Appendix
6.8.7 Model Litigant Obligations
The Model Litigant Guidelines ensure that Victorian Government Departments, whilst acting
firmly and properly to protect their interests, act fairly in litigation in accordance with generally
accepted principles.
DIRECTIONS ON THE COMMONWEALTH’s
OBLIGATION TO ACT AS A MODEL LITIGANT
1. Consistently with the Attorney-General’s responsibility for the maintenance of
proper standards in litigation, the Commonwealth and its agencies must behave
as a model litigant in the conduct of litigation.
Nature of the obligation
2. The obligation requires that the Commonwealth and its agencies act honestly
and fairly in handling claims and litigation brought by or against the
Commonwealth or an agency by:
a. dealing with claims promptly and not causing unnecessary delay in the
handling of claims and litigation,
b. paying legitimate claims without litigation, including making partial
settlements of claims or interim payments, where it is clear that liability is at
least as much as the amount to be paid,
c. acting consistently in the handling of claims and litigation
d. endeavouring to avoid litigation, wherever possible,
e. where it is not possible to avoid litigation, keeping the costs of litigation to a
minimum, including by;
i. not requiring the other party to prove a matter which the
Commonwealth or the agency knows to be true, and
ii. not contesting liability if the Commonwealth or the agency knows that
the dispute is really about quantum
f. not taking advantage of a claimant who lacks the resources to litigate a
legitimate claim,
g. not relying on technical defences unless the Commonwealth’s or the
Agency’s interests would be prejudiced by the failure to comply with a
particular requirement,
h. not undertaking and pursuing appeals unless the Commonwealth’s or the
agency believes that it has reasonable prospects for success or the appeal
is otherwise justified in the public interest, and
i. apologising where the Commonwealth or the agency is aware that it or its
lawyers have acted wrongly or improperly.
NOTES: 1. The obligation applies to litigation (including before courts, tribunals, inquiries,
and in arbitration and other alternative dispute resolution processes) involving
Commonwealth Departments and agencies, as well as Ministers and officers
where the Commonwealth provides a full indemnity in respect of an action for
damages brought against them personally. Ensuring compliance with the
obligation is primarily the responsibility of the agency which has responsibility
for the litigation. In addition, lawyers engaged in such litigation, whether
Australian Government Solicitor, in-house or private, will need to act in
accordance with the obligation and to assist their client agency to do so.
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Appendix
2. In essence, being a model litigant requires that the Commonwealth and its
agencies, as parties to litigation, act with complete propriety, fairly and in
accordance with the highest professional standards. The expectation that the
Commonwealth and its agencies will act as a model litigant has been
recognised by the Courts. See, for example, Melbourne Steamship Limited v
Moorehead (1912) 15 CLR 133 at 342; Kenny v State of South Australia (1987)
46 SASR 265 at 273; Yong Jun Qin v The Minister for Immigration and Ethnic
Affairs (1997) 75 FCR 155.
3. The obligation to act as a model litigant may require more than merely acting
honestly and in accordance with the law and court rules. It also goes beyond
the requirement for lawyers to act in accordance with their ethical obligations.
4. The obligation does not prevent the Commonwealth and its agencies from
acting firmly and properly to protect their interests. It does not therefore
preclude all legitimate steps being taken to pursue claims by the
Commonwealth and its agencies and attesting or defending claims against
them. The commencement of an appeal may be justified in the public interest
where it is necessary to avoid prejudice to the interests of the Commonwealth
or an agency pending the receipt or proper consideration of legal advice,
provided that a decision whether to continue the appeal is made as soon as
practicable.
5. The obligation does not prevent the Commonwealth from enforcing costs orders
or seeking to recover its costs.
Commonwealth Legal Services Directions
Federal Attorney-General: February 2000
Page 6-50 Business Practice Manual : Manage Incidents and Claims : Version 4.2 June 2011
Appendix
6.8.8 Flowchart - Processing minor claims
Did claim occur in common area Refer claim to Owners Corporation for
of Owners Corporation Yes processing and send letter informing
managed units? claimant
Claim
received
No
Did claim arise from the If unable to resolve at regional level,
action of an OOH Yes refer claim to Superintendant, PSAM
contractor? for decision
No
NOTE:
Check if Capture Written No Enquiry is
written enquiry in details/ updated to If documents
No are provided
details of HiiP and documents resolved
claim and send letter received status at a later
documents to request within 28 date, the
included? documents days? claim can be
captured
Yes Yes
Capture claim and
documentation in HiiP and send
acknowledgement letter
Investigate Claim If claim:
Interview claimant if required / appropriate o is $5,000 or over,
Obtain further evidence (e.g. FSO report) o involves litigation, or
Refer to supporting evidence/ photographs etc. o claimant has legal representation
Prepare briefing note to HSM Prepare briefing note to HSM
Include background (Claimant details, alleged Include background (Claimant details, alleged
cause of claim, remedy sought) cause of claim, remedy sought)
Summarise conclusions from supporting evidence Summarise conclusions from supporting evidence
(e.g. FSO report, expert opinion, quotes, (e.g. FSO report, expert opinion, quotes,
photographs) etc. photographs) etc.
Recommend action including whether or not claim Recommend referral of claim to Legal Services
should be approved and reasons Attach tenancy and property file, and supporting
Attach tenancy and property file, and supporting documents to briefing note
documents to briefing note
HSM refers to loss adjusters if settlement calculation HSM refers file to Legal
required or if claim is between $1,000 and $5,000 Services to manage claim
Claim approved by HSM? No Notify claimant of decision
in writing. Update HiiP
Yes
Notify claimant of offer in Deed of Mutual Refer claim to Update and
writing and include Deed of Release signed FBSB for close off claim
Mutual Release for and returned by payment to in HiiP
claimant’s signature claimant claimant
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Appendix
6.8.9 Frequently asked Questions
How are claims referred to Legal Services Branch?
Claims of $5,000 or over and claims involving litigation are referred to Legal Services Branch.
Once the investigation is carried out, the HSO prepares a briefing note to the HSM noting the
findings of the investigation and seeking referral to Legal Services. The HSM approves the
referral and provides all documentation together with a briefing note to the Director, Legal
Services Branch for action.
The contact person is:
John Ayres – Claims Officer
Legal Services Branch
Level 27
50 Lonsdale Street
Melbourne Vic 3000
Ph: (03) 9096 0799
DX 210081
Page 6-52 Business Practice Manual : Manage Incidents and Claims : Version 4.2 June 2011
