Effective Complaints Management 1: Setting the Scene

Transcription

1 Effective Complaints Management 1: Setting the Scene Progressive organisations are aware of the benefits to be derived from effectively managing the complaints that will inevitably be made by its staff, customers, clients and the public generally, no matter how well those organisations may be run. INFORMATION FOR QUEENSLAND S PUBLIC SECTOR AGENCIES: 1. Setting the Scene 2. Commitment 3. Communication 4. Complaint Management Models 5. Visibility and Access 6. Responsiveness 7. Assessment and Action 8. Feedback 9. Monitoring Effectiveness 10. Resources 11. Personnel and Training 12. Remedies 13. Business Improvement 14. External Review 15. Summary 16. Further Information and Reference Material This Fact Sheet forms part of a series designed to assist public sector agencies to ensure they have appropriate procedures in place to effectively manage customer complaints. For further information or advice, please contact the Queensland Ombudsman s Communication and Research Unit on Properly handled, complaints can be an economical and effective way of improving public image, increasing client satisfaction and identifying and rectifying defective business processes. Badly handled, complaints can be an expensive exercise that reflects poorly on the organisation, drives customers away and reinforces defective business processes. About these Fact Sheets These Fact Sheets have been prepared to assist agencies to implement new or enhanced complaints management systems to meet the community s expectation that agencies will be client-focused and responsive to feedback, particularly complaints. They are also designed to explain how agencies may derive the maximum benefits from investing in good internal complaints handling. They incorporate the Ombudsman s Office s view of the key features of good complaints management, based on more than 30 years experience in handling complaints in the Queensland State and local government sectors, supplemented by the relevant Australian and international Standard on complaints handling and other authoritative sources. The Fact Sheets, in particular Fact Sheets 5 to 9, also offer guidance in respect of the requirements of the Directive on Complaints Management Systems recently issued by Office of the Public Service Commissioner (OPSC) in Queensland. Compliance with these Fact Sheets is not necessarily required in order to comply with the Directive. However agencies covered by the Directive may find the Fact Sheets and other complaints management materials published by the Ombudsman s Office useful in meeting Directive requirements. Although the Fact Sheets reflect the Directive requirements they are also an excellent guide for agencies not covered by the Public Service Act. We have not suggested a particular complaint management model or models because, given the widely differing sizes and functions of Queensland s numerous public sector agencies, no one model will suit every agency. We have instead suggested principles which may assist agencies to devise models that suit their own individual needs. There is some overlapping and cross referencing in the fact sheets. This is because complaints management principles themselves overlap e.g. commitment and communication are important in many contexts. Throughout the Fact Sheets we refer to complainants. A complainant can be a customer, consumer, client, staff member or a member of the public who is affected in some way by the action or inaction of an agency. The Fact Sheets are designed to deal with complaints from all sources, but for convenience the term complainant is usually used for all categories (unless the context otherwise requires). How to use the Fact Sheets We recommend that agency senior management use the Fact Sheets to review their agencies current systems (or implement new ones). In doing so, they should consult broadly with staff and if possible, customers and/or the public, and make a careful decision about their complaints management system in light of their agency s requirements but consistent with the principles outlined in the Directive and the Fact Sheets. To help understand the effectiveness of your current system, we have also developed an Effective Complaints Management Self Audit Checklist. This comprehensive self-assessment tool is based on the Fact Sheets ands allows agencies to identify potential areas for improvement with their current complaints systems. (See Fact Sheet 16, Further Information and Reference Material for more information on the checklist). Why manage complaints They re inevitable. Every organisation that deals with the public will receive complaints. That fact, and the cost that goes with it, cannot be avoided. It has to be managed. There are benefits to be gained. Good complaints management is an integral part of quality customer service and provides tangible benefits for agencies, staff and in particular the public to whom agencies provide services. It s about accountability. Citizens have a right to complain about, and seek a remedy for decisions or actions by government agencies that adversely affect them. In doing so, the public holds government agencies accountable for their actions and decisions. This is an important principle that underpins our free and democratic society. Handling complaints well presents an opportunity to show to the public that you are accountable to them. Complaints are an essential part of any accountability process and in fact are often the starting point. Any agency that claims to be accountable for its actions must take complaints seriously.

2 EFFECTIVE COMPLAINTS MANAGEMENT SETTING THE SCENE The Queensland Situation In November 2006, the Queensland Public Service Commissioner issued Directive 13/06 Complaints Management Systems. This Directive requires all agencies covered by the Public Service Act to implement and maintain internal complaints management systems supported by written policies and procedures. While individual agencies may determine the actual substance, form and complexity of their systems all systems must incorporate 5 key elements specified in the Directive. Those elements are: Visibility and access agencies have mechanisms and strategies in place to provide the public with readily available information about where and how to complain and how the complaint will be managed (timeframes and information regarding progress and result), as well as reasonable assistance to make a complaint. Responsiveness agencies must have mechanisms and strategies in place to ensure staff know of the system and how it works, respond to complaints in a timely manner, monitor timeframes for resolution, and advise parties of progress. Assessment and action agencies must have mechanisms and strategies in place to assess complaints, decide how they will be dealt with and by whom, refer them to external agencies where required, and deal with the balance fairly and objectively. Feedback agencies must have mechanisms and strategies in place to provide complainants with timely feedback regarding outcomes, notify them of any available external review mechanisms, and provide feedback internally where potential system improvements are identified. Monitoring Effectiveness agencies must have mechanisms and strategies in place to ensure their system meets statutory, policy and procedural reporting requirements regarding complaints, identify complaint trends and monitor the time taken to resolve complaints. Benefits to agencies Effective complaints management systems: promote client satisfaction; improve agency image by showing the public that they are taken seriously; identify areas that need improvement; enable poor decisions to be rectified quickly and efficiently; save money by resolving problems internally, close to the source, without the need for resources to be devoted to review by external accountability bodies; save money by ensuring complaints are handled methodically and efficiently; prevent complaints from escalating, a situation that can be resource-intensive and lead to adverse publicity; reduce stress on staff by providing training and support to help deal with unhappy customers and a structured approach to resolving issues; and are fundamental to good administrative practice. The Queensland Ombudsman s commitment to Queensland public agencies The Queensland Ombudsman is committed to helping Queensland public sector agencies manage complaints by customers, staff and the public in an efficient, effective and economical way that reflects recognised high standards of practice. The Queensland Ombudsman s role The Ombudsman investigates complaints about the administrative actions of Queensland public agencies, where it is alleged that those actions may involve maladministration (i.e. error or unfairness of some sort). We receive thousands of complaints each year. We encourage people to make genuine attempts to resolve their problems with the agencies concerned before complaining to our Office. We may investigate subsequently if internal review fails hence the importance of agencies having good quality internal complaints management systems. Our investigations can lead to recommendations that the agency take some action, such as providing a remedy for the complainant or changing policies or procedures that have contributed to the problem. Can the Queensland Ombudsman help you? We place a high priority on assisting public agencies to manage their internal complaints management systems. Please contact us if you think we can assist you with any aspect of complaints handling within your agency. Of course, the best way to deal with complaints is to try to avoid them in the first place, principally by training your staff to make better decisions and to communicate better with the public. The Ombudsman s Office offers training in Good Decision Making. Information on how to make good administrative decisions is found in the Ombudsman s publication, An Easy Guide to Good Administrative Decision-making at The Western Australian Ombudsman has developed guidelines to assist public sector agencies in the conduct of administrative investigations. For further information visit: wa.gov.au/pdf/guidelines/pcai_investigation_guidelines.pdf. Some interesting facts on complaints First, the bad news: only 5% of dissatisfied customers complain to the organisation the tip of the iceberg the remainder complain to 8-10 of their friends dissatisfied people tell twice as many people as satisfied ones most people have no idea who to complain to in an organisation The good news however is: speedy responses to complaints can significantly increase customer loyalty customers who complain and are satisfied by the complaints process are more loyal than those who had no problem initially resolving complaints on first contact can cut handling costs in half a strong link exists between good complaints management processes and business improvement. Source: Listening Post

3 Effective Complaints Management 2: Commitment INFORMATION FOR QUEENSLAND S PUBLIC SECTOR AGENCIES: 1. Setting the Scene 2. Commitment 3. Communication 4. Complaint Management Models 5. Visibility and Access 6. Responsiveness 7. Assessment and Action 8. Feedback 9. Monitoring Effectiveness 10. Resources 11. Personnel and Training 12. Remedies 13. Business Improvement 14. External Review 15. Summary 16. Further Information and Reference Material This Fact Sheet forms part of a series designed to assist public sector agencies to ensure they have appropriate procedures in place to effectively manage customer complaints. For further information or advice, please contact the Queensland Ombudsman s Communication and Research Unit on A commitment to the public Our community expects public servants to operate ethically and efficiently, and that government at all levels will have systems to ensure this happens. People are better informed of their rights and are more likely to complain about decisions they perceive to be unfair than perhaps was the case in the past. Fact Sheet 1 in this series (Setting the Scene) outlines why it is important for agencies to take complaints management seriously and have good quality internal complaints handling policies and procedures. The OPSC Directive on Complaints Management Systems requires public sector agencies in Queensland covered by the Public Service Act to have internal complaints management systems that meet certain specified standards. However an effective system requires more than a Directive. It requires a commitment and a determination to make it work. A commitment to underlying principles Regardless of the complaints management model adopted, agencies should have a commitment to principles such as: encouragement of feedback and receptiveness to complaints and a culture that respects people s right to complain about any aspect of the agency s operations; promotion and support of complaints handling and acknowledgement of the value of effective complaints handling, at the highest level; appropriate remedies; free of charge complaints service; internal accountability for the effective operation of complaints handling processes; and use of complaints data to identify and rectify systemic and recurring problems. Ideally, complaints management systems include processes that allow for formal and informal complaint resolution and readily provide advice on internal and external review options for complainants who are not satisfied with an agency s responses. Useful tip The overriding aim of any complaints handling process is to turn dissatisfaction into satisfaction. A guide to demonstrating your commitment to the principles Whether your agency is large or small, it is essential you commit to a complaints management process that will suit your business needs. Large departments may need to establish a centralised complaints unit, while smaller agencies may assign a senior manager to handle complaints. Here are some suggestions on how your agency can demonstrate commitment to effective complaints management principles: 1. Ensure you have a quality complaints policy and guidelines The OPSC Directive requires that agency complaints management systems be supported by written policies and/or procedures. Your policy should explain your strategic intent the why of your commitment to the principles that underpin your complaints management system. Your complaints management procedures should identify the steps needed to handle complaints the how of managing the system. However, policy and procedures go only so far. A positive attitude that views complaints as opportunities for improvement is also required. 2. Make it easy to complain Make sure people know you welcome their feedback, even if it is negative, by providing: easy access to your complaints policy; simple information on how to lodge a complaint e.g. on your website; a Complaints heading with a toll-free number on your telephone listing; and call centre staff with information so they know the right section to connect people to if they have a problem. 3. Ensure priority and proximity Ensure senior management create a complaints friendly culture by clearly signalling to staff their support for the system and taking visible responsibility for outcomes.

4 EFFECTIVE COMPLAINTS MANAGEMENT COMMITMENT A Valuable Commitment The Land Valuations Unit within the Department of Natural Resources and Mines participated in Phase 1 of the Queensland Ombudsman s Complaints Management Project. This unit issues millions of land valuation notices to land owners throughout the State, and these are used for calculating, among other things, local government rates and State Government land tax. The Valuation of Land Act regulates the processing of valuation objections; however the Act is silent on how applications for conferences from disgruntled landowners and other complaints are to be conducted and decided. With the active involvement from the Ombudsman s Office, the unit established a Complaints Steering Committee and Working Group to oversee and develop a range of significant improvements, which included: a stand-alone policy and procedures for processing objections to valuations; the development of a Customer Service Charter that focused on quality; customer service and key performance indicators; data capture methodology and information to better inform decision-making; improvements to communication information on forms, in brochures and on the website; the successful use of the Queensland Smart Service call centre during the 2005; valuation objection period, which enabled the unit to provide a professional, informative communication response to landowners during the largest valuation the department has ever undertaken; and a comprehensive conflict management and negotiation training program. 4. Publicise the function Complaints management should be a recognised and important function within the organisation, how it works should be clearly published and its purpose and objectives should be discussed and reinforced with staff. 5. Invest in staff Staff who are receptive to customer complaints will reflect your commitment and goodwill to your customers. Those who handle complaints should be recognised for their knowledge of your operations; analytical, problem-solving and decision-making skills; specialised complaints management skills; and a desire to maintain good relationships with the public. Trained staff will be able to spot the serious complaint which could lead to business improvement. Complaints management is not easy and it is not intuitive. As with any discipline staff must be thoroughly trained. Untrained complaints staff will jeopardise your investment in your complaints management system. 6. Give staff authority To maximise staff involvement and minimise delays, staff assigned to this work should have the necessary authority to remedy complaints and to make or recommend changes to procedures appropriate to their level 7. Allocate sufficient resources 8. Monitor Provide appropriate resources for complaints management. Establishing and maintaining a system to record complaints and monitor and report on trends over time is essential. This does not always mean greater costs your existing technology may have the capacity to manage complaints information. If you already have a complaints system in place that meets some of your needs, you may be able to streamline or modify it for better results. Regularly monitor your complaints management process as part of your business improvement strategy. The performance of individual decision-makers and work units can be compared for consistency in approach, with regular informed feedback given to ensure mistakes are not repeated. Regular management reviews following consultation with staff will identify what is working and what perhaps needs more attention. Ideally, your customers should be involved in assessing the effectiveness of your system (see Fact Sheet 9 - Monitoring Effectiveness for further information). Reap the rewards of your commitment Complaints can seem like a burden at times, but with committed staff supporting the system, they can lead to better performance within your agency and better service for the community. When you make it easy for customers to complain and staff to resolve issues, you will build a bank of goodwill in the community and a reputation as a responsive organisation. You may even see the complaint numbers fall and compliments increase! Checklist Ask yourself, does my agency demonstrate commitment to effective complaints handling - Do we have a proper complaints handling system? Is the system supported by written policies and/or procedures? Is it taken seriously at the highest level? Do they have sufficient authority? Do staff know how seriously it is taken? Is any senior officer responsible for the effectiveness of the system? Is it well known within the agency? Is it reasonably easy for people to make a complaint? Are complainants viewed positively or as whingers? Are staff performing the function adequately trained and otherwise resourced? Are complaints upheld to any extent? Is complaints data used for business improvement in any significant way?

5 Effective Complaints Management 3: Communication INFORMATION FOR QUEENSLAND S PUBLIC SECTOR AGENCIES: 1. Setting the Scene 2. Commitment 3. Communication 4. Complaint Management Models 5. Visibility and Access 6. Responsiveness 7. Assessment and Action 8. Feedback 9. Monitoring Effectiveness 10. Resources 11. Personnel and Training 12. Remedies 13. Business Improvement 14. External Review 15. Summary 16. Further Information and Reference Material This Fact Sheet forms part of a series designed to assist public sector agencies to ensure they have appropriate procedures in place to effectively manage customer complaints. For further information or advice, please contact the Queensland Ombudsman s Communication and Research Unit on Communication: a big issue for the public Good communication strategies are critical to the success of any organisation, but are absolutely essential for effective complaints management. Most public agencies understand the need for effective communication as part of their commitment to client service. However, many do not appreciate that their communication practices can have a big impact on the number of complaints they receive. Our experience shows that communication is a big issue for complainants. If insufficient time is taken to explain actions and decisions in a manner that shows the public s concerns were properly considered, a minor matter can escalate into a major one. Good communication means that complainants will be more likely to be understanding and cooperative as you attempt to deal with their matter, and more accepting of the outcome if negative. This represents a great saving to the agency in terms of time and cost. Even if a decision is correct, if it is poorly explained, it can lead to unnecessary complaints internal and external to the agency, at a great cost in terms of time and money. The OPSC Directive on Complaints Management Systems requires agencies to communicate with the public and their own staff on a wide range of matters. For example agencies have to have mechanisms and strategies in place to - inform the public: inform staff: about where and how to complain; provide readily available information about how the complaints process will be managed; communicate with parties about the progress of resolution; provide complainants with timely feedback; and notify complainants of available review mechanisms. about the existence and operation of the complaints management system; and provide feedback on areas of potential improvement. Communicate better to minimise complaints Sound communication strategies aid good decisionmaking. They help the public understand the reasons for your decisions and to view your agency as accessible and user-friendly. Here are some suggestions for improving communication that can lead to higher levels of client satisfaction and reduce the intensity or frequency of complaints: ensure your information brochures are straightforward and in plain English; close the communication gulf for non- English speaking people, those with impairments and people who have been educationally disadvantaged; advise the public of indicative times for responses and actions; involve the community in your policy making and actions on matters that will affect them (e.g. by surveys or mail-outs); ensure you consult the public who stand to be affected by a decision and genuinely address their concerns when advising them of your decision; convey to the public a complaintsfriendly culture that features a your problem is our problem attitude; ask staff and customers to contribute to the improvement of your products and services; and publicise complaints contact details in the telephone directory and prominently on your website. Communicate better to deal with complaints The way your agency handles complaints can affect its reputation. If due to poor communication complainants feel they are being ignored or not taken seriously, they will look for redress in some way, either by seeking external review or by publicly exposing their experiences, a step that could damage your agency s reputation. Agencies have much to lose if they ignore complaints and a lot to gain from having effective communication practices imbedded in their complaints management systems. Good communication can enhance the likelihood that complainants will use your internal system rather than going elsewhere. Useful tip You can save time and money if your complaints documents clearly indicate to complainants what they need to tell you when lodging a complaint.

6 EFFECTIVE COMPLAINTS MANAGEMENT COMMUNICATION Take time to resolve problems at the outset Serge, an elderly man with a speech impediment, approached the Ombudsman s Office with two concerns. Initially, he complained about his council s poor recordkeeping in relation to his rates payments, but he was more angered by the brush off he received from council staff when trying to explain his concerns. He could not get them to understand his issues and felt they were not interested in helping him. Our representatives took time to listen and to talk through Serge s issues to fully understand his concerns. We telephoned the council to explain his initial complaint, as well as the communication difficulties Serge had experienced. As is our usual practice, we referred the matter for internal review before taking further action. The council agreed to review the matter. We were later pleased to learn that not only had Serge s rates issue been satisfactorily resolved, but the council had decided to introduce ongoing communication training for frontline staff. The council realised that the matter had escalated unnecessarily. An important function for frontline staff is responding to and resolving complaints. We understand that a busy work environment can make these tasks difficult at times. However, by not allowing sufficient time to fully comprehend the complaint, council frontline staff had unnecessarily involved senior staff (and our Office) in resolving Serge s otherwise simple matter. Consider these suggestions: tell dissatisfied people they can complain; tell them where to complain publicise your complaints handling point of contact through a range of sources and accept complaints by phone, in person or in writing, including ; avoid long, complicated forms that discourage complaints; be responsive answer complaints lines quickly, establish target times for stages of the complaints handling process and let your customers know what they can expect; find out what the person wants you to do about the problem and be clear about what remedies you can offer do not make promises you can not keep; give personal and specific replies a stock standard reply that doesn t address issues may make things worse; treat people as you would like to be treated do not pass the buck but if you need to refer the complaint to someone else or further review is available internally or externally, make sure you give the complainant full details; and let complainants know about any improvements that have been made as a result of their complaints and thank them for their feedback. Many of these themes are reinforced in other fact sheets in this series, e.g. 5 - Visibility and Access, 6 - Responsiveness, and 8 - Feedback. Help complaints staff be better communicators A commitment by senior management to quality customer service goes hand in hand with good communication practices. Part of that commitment is to help staff who deal with the community become better communicators. Useful tip Welcoming the public s input and keeping them informed about progress in dealing with their concerns increases satisfaction for all parties. Here are some practical suggestions on ways you can help your complaints staff to become better communicators: provide training in areas such as interviewing skills, problem-solving, conflict resolution and writing in plain English; encourage staff to speak to concerned customers rather than responding in writing; clearly define agency communication practices in your customer service standards; provide cross-cultural training for staff and access to translation and interpreter services; and use technology to help people with special needs communicate with your agency. Of course, the right people, i.e. those suited to and interested in dealing with the public, need to be in any position that requires communication with the public. Time is of the essence information and communication technology Modern information and communication technology and equipment allow your staff to respond quickly and easily to customer complaints. When customers contact your agency to complain, they do not want to be transferred several times or told to ring another number. For this reason, it is useful to establish a designated toll-free or freecall complaints hotline that connects straight through to your complaints section or designated complaints officer. This is particularly helpful if calls are long distance. You should also make sure customers can leave a message on an answering machine when the section is unstaffed or the telephone lines are busy. An effective complaints database will also allow you to record details of your answers and track customer complaints so you can meet target times. This will mean that you can easily keep customers informed about the progress of their complaints as well as gather useful data to help you improve your services. How you communicate with the public lies at the core of your customer service. Providing information to help your customers complain demonstrates your commitment to them and will make your job easier.

7 Effective Complaints Management 4: Complaint Management Models INFORMATION FOR QUEENSLAND S PUBLIC SECTOR AGENCIES: 1. Setting the Scene 2. Commitment 3. Communiciation 4. Complaint Management Models 5. Visibility and Access 6. Responsiveness 7. Assessment and Action 8. Feedback 9. Monitoring Effectiveness 10. Resources 11. Personnel and Training 12. Remedies 13. Business Improvement 14. External Review 15. Summary 16. Further Information and Reference Material This Fact Sheet forms part of a series designed to assist public sector agencies to ensure they have appropriate procedures in place to effectively manage customer complaints. For further information or advice, please contact the Queensland Ombudsman s Communication and Research Unit on A model approach to complaints management A complaints management system is a staged way of receiving, recording, processing, responding to and reporting on complaints and using them to improve services and decision-making. It specifies the stages and areas of responsibility for managing complaints. A good system provides a simple process that is clear to the public and staff. It is a methodical approach to resolving problems and avoiding delays that may otherwise arise when matters pass through various levels within an agency, possibly in a haphazard or unstructured way. The process must be transparent (i.e. open to scrutiny by the complainant), timely and userfriendly. Information on how to make a complaint should be widely available. Staff should be equipped to provide verbal advice about the complaints handling process and assist people to make complaints. Discussions are often effective as a first step in resolving issues, as people often prefer to talk to someone rather than write to a faceless official. Structure An effective complaints management system is structured to allow a fair and detailed consideration of complaints and provides for genuine internal review if the complainant remains dissatisfied. The OPSC Directive on Complaints Management Systems does not prescribe a particular model. It requires agencies to have systems supported by written policies and procedures which incorporate certain elements. However the Directive leaves it to individual agencies to determine the actual substance, form and complexity of their systems, having regard to the size and geographic structure of the agency, the source, volume and type of complaints received, and the nature of the services provided by the agency. In Phase 1 of the Ombudsman s Complaints Management Project, we worked closely with a number of agencies to prepare individual complaints management systems, in recognition of the fact that no one size fits all. Systems have to reflect individual agency requirements, and as long as certain basic principles are observed, a range of structures is possible. Some authorities suggest a three-tier model involving an initial frontline function and 2 internal levels of review. Others believe this can elongate the process and lead to review fatigue whereby complainants simply become frustrated by delays and red tape and having to jump through too many hoops, and drop out of the process more disgruntled than ever. Even a two-tier model may be too slow in some circumstances. It is also recognised that complainants often contact the original decisionmaker if they know that person s identity. That can constitute one level of internal review if that person has authority to deal with the problem. A model that may suit many agencies has the following attributes: 1. An initial frontline or customer service function where staff have the authority to deal with specified low-level customer complaints, such as incorrect addresses and other errors in records, or delays in receiving advice or responses to correspondence or telephone calls. This stage includes complaints registration and attempted resolution. If the initial contact is handled well it will build confidence in the agency. Frontline staff need to advise complainants of the availability of internal review. 2. An internal complaints review mechanism triggered by: the complainant s request for a review of the frontline decision in one above (i.e. low-level complaints); or a decision that is unsuitable for frontline review (i.e. higher-level decisions); or a decision in respect of which a specific appeal mechanism is available within the agency, under either legislation or agency policy (e.g specific purpose appeal panels, review bodies etc). This stage involves the agency reviewing a decision or action taken by someone within that agency. It should look anew at both the process and the merits of the original decision or action at a level no less senior than the officer whose decision or action is to be reviewed. The reviewing officer should know the procedure for investigating complaints and have the authority to overrule any decision that has led to the complaint. Further information on this role is outlined in Fact Sheet 11, Personnel and Training. An independent external review body may carry out further investigation if matters remain unresolved after internal review. Strictly speaking this review is external to an agency s complaints management system and therefore not part of it. However it is important that the system require agencies to provide advice regarding external review options to persons who are dissatisfied with the outcome of internal review (see Directive cl.7.5(b) and Fact Sheets 8 Feedback and 14 External Review).

8 EFFECTIVE COMPLAINTS MANAGEMENT COMPLAINT MANAGEMENT MODELS Possible stages of Complaints Management Frontline complaints handling Staff empowered with clear delegations to resolve lowlevel complaints wherever possible at first contact. Staff log complaints details for later analysis. Higher-level complaints referred directly to next stage. Internal review or investigation More senior staff or designated complaints officer reviews or investigates complaints either unresolved at frontline or referred directly from frontline Ezternal Review Agency advises complainant of external options, e.g. alternative dispute resolution complaints agency such as the Queensland Ombudsman other avenues of appeal or legal remedy. Model adapted from the New South Wales Ombudsman s Effective Complaint Handling (2000) and Department of Local Government and Planning and Queensland Ombudsman s Complaints Management Guidelines for local governments (2001). Preparing and updating a complaints management system Your complaints management system should complement your agency s vision, mission and values. It shows how you relate to your customers and the public, and should be integral to your operations rather than just a nice to have add-on. Obviously, for agencies covered by the Public Service Act the system will have to reflect the requirements of the Directive. Make sure you also consider the principles outlined in this series of Fact Sheets. Handling complaints effectively requires the systematic recording of complaints data upon receipt to enable: efficient handling of the complaint (i.e. individual case management), and sound analysis of the causes of problems to be made (i.e. reporting of aggregate complaints data for business improvement). The sample complaints and complaints data collection form accompanying Fact Sheet 13, Business Improvement, may assist you to tailor processes to capture and analyse information. If you adopt a two tier frontline one internal review model, ensure that complex complaints are moved from the frontline to more senior officers promptly. When matters are referred upwards, sufficient information should be provided so that the senior officer can determine who has been involved in the matter and what has occurred to date. A summary of the complaint should also be provided so the complainant is not forced to repeat the details. When referring matters upwards, also remember to inform complainants why another officer is handling their complaint and provide the relevant contact details. Your system should ensure that review staff have, among other things: a well documented process with clear lines of authority (e.g. interview sheets, check lists); easy access to relevant agency material and personnel; control mechanisms to ensure consistent outcomes; a mechanism for implementing a decision in favour of a complainant; and direct lines of communication to the appropriate section for discussing concerns about systemic issues arising from the review of a complaint or complaints. Other matters to consider It is important to consult staff, customers and community groups and have the endorsement of your Chief Executive when you devise your system. Make sure that your performance standards are realistic. The system has to produce effective outcomes, i.e. efficient end effective management of complaints, and business improvement, at proportionate cost. You may also need to clarify your legal responsibilities. For example, your legislation may contain particular responsibilities for reviewing actions or decisions. For example, Part 5 of the Local Government Legislation Amendment Act 2005 requires councils to have in place a General Complaints Process featuring certain specified key elements. Above all, devise a process that is effective, efficient and fair to both your agency and the complainant, and meets the principles outlined in these fact sheets. Ensure the senior officer s decision is communicated back to the original decision-maker. This encourages prevention of similar situations arising in the future.

9 Effective Complaints Management 5: Visibility and Access INFORMATION FOR QUEENSLAND S PUBLIC SECTOR AGENCIES: 1. Setting the Scene 2. Commitment 3. Communication 4. Complaint Management Models 5. Visibility and Access 6. Responsiveness 7. Assessment and Action 8. Feedback 9. Monitoring Effectiveness 10. Resources 11. Personnel and Training 12. Remedies 13. Business Improvement 14. External Review 15. Summary 16. Further Information and Reference Material This Fact Sheet forms part of a series designed to assist public sector agencies to ensure they have appropriate procedures in place to effectively manage customer complaints. For further information or advice, please contact the Queensland Ombudsman s Communication and Research Unit on Ignore customers at your peril! Consider this scenario: Jane Citizen is unhappy with some aspect of your agency s service. She decides to contact you to lodge a complaint and seek an apology for the inconvenience she has experienced. Jane opens the White Pages and looks for a contact number for your complaints section, but there is no listing for this service. She logs onto the Internet and goes to your website, but a search for complaints directs her to 25 irrelevant documents. She calls your main switchboard, asks to be put through to your complaints section, and is transferred to three different people, none of whom can assist her. She decides to put her concerns in writing, but after waiting for a response to her letter for weeks, she reaches boiling point. Jane calls her local paper, which is very interested in her problems. She talks to a journalist about how your agency is inaccessible and not very customerfriendly. Her problems appear on the front page of the newspaper, which is read by hundreds of thousands of people, including the agency s Minister. So why are visibility and access important elements of an effective complaints management system? Because if you don t take steps to ensure your customers can easily find out where and how to provide you with their views, they will probably look for alternative ways to complain. The OPSC Directive on Complaints Management Systems The Directive requires agencies to have effective complaints management systems. Amongst other things, it provides - Visibility and Access 7.2 An effective complaints management system has mechanisms and strategies in place to provide: (a) readily available information about where to lodge a complaint and how to make a complaint (b) readily available information on how the agency will manage a complaint (timeframes, how the complainant will be informed of progress, if relevant, and the result); and (c) reasonable assistance to people who wish to make complaints. Welcome complaints Complainants need to have confidence that: their complaint will be readily received; they will be treated with respect; their issues will be taken seriously; and they will receive a meaningful response. Create confidence in your complaints management system Being open and transparent about your complaints management processes lets everyone view you as an accountable agency that instils public confidence in your complaints management system. You could also consider reporting on your system in your Annual Report. Publicising options for review, including external review, will increase confidence and customer satisfaction. Visibility the where of complaints management systems The essence of visibility is ensuring people can see that you offer a clear process for handling complaints. Your communication staff will be able to advise you on the most appropriate ways to ensure people know about your system. Promotion methods may include: posters and brochures at customer service contact points, indicating for example that you want people to let you know if they are not happy; a special complaint hotline or toll-free service numbers on stationery, leaflets and advertising; a designated complaints section prominently displayed on your website with a link from the home page; information about the system in written communications such as letters to dissatisfied customers, contracts, tender documents, account statements and annual reports; and liaison with special needs groups to inform them of arrangements to accommodate their needs. Useful tip Ensure your staff are well equipped to advise clients on how to lodge a complaint and help members of the community who may need assistance, such as those with a disability or language problem.

10 EFFECTIVE COMPLAINTS MANAGEMENT VISIBILITY AND ACCESS Award for Service In 2004, the Maroochy Shire Council s call centre took out the Australian Teleservice Association s National Award for call centres with less than 50 staff, after winning the State Award for this category on four occasions. The Council promotes an organisational culture that welcomes requests, complaints and suggestions and these awards were only some it has received. (In 2001 the council s customer service centres won the inaugural Customer Service People s Choice Award and the National Award for the Local Government category from the Customer Service Institute of Australia.) The Council s Complaints Management Policy is easily accessible from its website ( and complaints are welcomed over the phone or counter, as well as in writing or online. All complainants receive a brochure explaining the complaint handling process. A dedicated Complaints Administrator continuously reviews the response to complaints and manages any appeals lodged. Access the how of complaints management systems Effective complaints management systems make it easy for people to complain. This doesn t necessarily encourage complaints but rather enhances the likelihood of people being more favourably disposed towards your agency. A non-existent or difficult to access complaints process will only make complainants more dissatisfied, and no one benefits from that. Assuming people know about your system, common ways of ensuring people can easily access it include: simple, flexible and accessible arrangements for people to lodge complaints, such as a complaint hotline and/or toll-free service numbers; readily accessible information in plain English and if possible, other languages on how, when, where and to whom to make complaints; clear information on what information the complainant should provide; clear information on how complainants can obtain advice as to the progress of their complaints; and special arrangements for people with disabilities or special needs, such as a telephone teletypewriter (TTY) facility for hearing-impaired complainants. All staff, especially frontline staff, should be able to advise people on options for lodging a complaint. Information on the management of complaints Information on how you will manage a complaint can be provided in at least two ways. Firstly, when a complaint is received, you can provide the complainant with oral or written advice on the complaints process, particularly time frames and when feedback will be available. Standard printed advice attached to an acknowledgement letter is effective for this purpose. Don t be defensive While it is natural for people being complained about to react negatively, citizens with legitimate grievances should not be discouraged from raising their concerns for fear of being stigmatised as whingers or time wasters. It is true that some complaints can be misguided, vexatious or trivial, but this only reinforces the need for agencies to have effective complaints handling systems that can deal with those matters efficiently while at the same time also dealing fairly with the more serious and well grounded complaints. A visable and accessible complaints handling system offers many benefits, including business improvement and regaining satisfaction and loyalty. Checklist Ask yourself: if I were a citizen wishing to lodge a complaint against my agency, where would I be easily able to find out where to lodge it how to lodge it how long it will take to look into what is happening with it what happened to it what assistance I can get to lodge it, especially if I were disabled or didn t speak English. Secondly, you may place a summary of this information in the complaints section of your website. Increasing the volume, depth and diversity of customer feedback can also deliver organisational learning opportunities. Fact Sheet 4 in this series, Communication, provides advice on how you can make it easier for customers to be aware of, access and understand your complaints process.

11 Effective Complaints Management 6: Responsiveness INFORMATION FOR QUEENSLAND S PUBLIC SECTOR AGENCIES: 1. Setting the Scene 2. Commitment 3. Communication 4. Complaint Management Models 5. Visibility and Access 6. Responsiveness 7. Assessment and Action 8. Feedback 9. Monitoring Effectiveness 10. Resources 11. Personnel and Training 12. Remedies 13. Business Improvement 14. External Review 15. Summary 16. Further Information and Reference Material This Fact Sheet forms part of a series designed to assist public sector agencies to ensure they have appropriate procedures in place to effectively manage customer complaints. For further information or advice, please contact the Queensland Ombudsman s Communication and Research Unit on What is responsiveness? Responsiveness is about how quickly you respond to a complaint and a complainant. It is about receiving and recording a complaint, considering the issues it raises and how best to handle it, making decisions, and informing the complainant of progress and your ultimate decision, all within reasonable timeframes. It is essential to have documented procedures if your system is to be truly responsive to your customers. This means setting specific levels of performance, not just general targets and meaningless promises. This will help staff and customers understand the importance of customer feedback within your agency. Responsiveness - a commitment to the public and your customers Being responsive to the needs of the public and your customers lets them know you have a commitment to quality service. There is no better way to demonstrate your commitment and regain, maintain or increase public satisfaction than by responding quickly, courteously and seriously to concerns raised by the public. Complaints may range in seriousness. However, dealing with them quickly can prevent a minor matter escalating into a major one. Research indicates that a significant number of complainants who are kept waiting by a slow process will give up and abandon their complaint. An agency may see this as a good thing, but apart from being bad practice, it is shortsighted thinking. Dissatisfied complainants tend to become even more critical of the agency and often share their negative experience with others. They will have two complaints against the agency instead of one, and undue delay may be much harder to justify than the original decision about which the complaint was made. The opportunity to project a positive image will be lost. There is an unfortunate perception in some quarters that the wheels of the public sector (or bureaucracy) turn exceeding slow. If you can show interest and respect by acting quickly and positively on a complaint, the complainant is likely to be pleasantly surprised and more appreciative and cooperative. The OPSC Directive on Complaints Management Systems The Directive requires agencies to have effective complaints management systems. Amongst other things, it provides: Responsiveness 7.3 An effective complaints management system has mechanisms and strategies in place to: (a) inform agency staff of the existence and operation of the agency complaints management system; (b) respond to complaints in a timely manner; (c) monitor timeframes for resolution of complaints, and (d) communicate with parties about the progress of resolution. Informing agency staff There is little point in having a complaints management system if staff are not aware of it or how it is meant to work. The public rely on staff to tell them about the complaints process. If staff are unaware or unsure of the system, or misunderstand it, the public will not use it or have no faith in it, and the effort involved in devising and implementing the system will be wasted. Staff actually involved in receiving, processing, dealing with and responding to complaints need to be more than informed about the system they need to be thoroughly trained in it so that they can maximise its effectiveness and the return to the agency. For more detailed discussion on the training of staff, see Fact Sheet 11 Personnel and Training. Useful tip Use your intranet to inform your staff about the complaints management system, with a summary of how it works and their role in it.