Effective Complaints Management 1: Setting the Scene

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Effective Complaints Management

1: Setting the Scene

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.

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.

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.

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 07 3005 7000.

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Level 25, 288 Edward Street Brisbane Queensland GPO Box 3314 Brisbane Queensland 4001 Tel 07 3005 7000 Fax 07 3005 7067 Email [email protected]

Web www.ombudsman.qld.gov.au (Office of the Ombudsman) 2006© The State of Queensland

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

www.ombudsman.qld.gov.au.

The Western Australian Ombudsman has developed guidelines to assist public sector agencies in the conduct of administrative investigations. For further information visit: www.ombudsman. 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.

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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

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.

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.

Useful tip

The overriding aim of any complaints handling process is to turn dissatisfaction into satisfaction.

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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

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.

8. Monitor

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 it reasonably easy for people to make a complaint? • Is the system supported by written policies and/or procedures? • Are complainants viewed positively or as ‘whingers’? • Is it taken seriously at the highest level? • Are staff performing the function adequately trained and • Do they have sufficient authority? otherwise resourced?

• Do staff know how seriously it is taken? • Are complaints upheld to any extent?

• Is any senior officer responsible for the effectiveness of the system? • Is complaints data used for business improvement in any • Is it well known within the agency? significant way?

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Effective Complaints Management

3: Communication

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

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:

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.

inform staff:

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 decision-making. 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 complaints- friendly 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.

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Useful tip

Welcoming the public’s input and keeping them informed about progress in dealing with their concerns increases satisfaction for all parties.

EFFECTIVE COMPLAINTS MANAGEMENT — COMMUNICATION

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 email;

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.

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.

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.

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Effective Complaints Management

4: Complaint Management Models

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

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 user-friendly. 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 decision-maker 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).

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EFFECTIVE COMPLAINTS MANAGEMENT — COMPLAINT MANAGEMENT MODELS

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.

Ensure the senior officer’s decision is communicated back to the original decision-maker. This encourages prevention of similar situations arising in the future.

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.

Possible stages of Complaints Management

Frontline complaints

handling Staff empowered with clear delegations to resolve low-level 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).

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Effective Complaints Management

5: Visibility and Access

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

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 customer-friendly.

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

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EFFECTIVE COMPLAINTS MANAGEMENT — VISIBILITY AND ACCESS

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.

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.

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.

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 (www.maroochy.qld.gov.au) 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.

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.

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Effective Complaints Management

6: Responsiveness

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

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

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Anonymous complaints

Anonymous complaints can be difficult to investigate and respond to. It may also be difficult to guarantee that complainants will not be identified. However complainants should not be required to identify themselves. The focus should be on the content of the complaint rather than the complainant. People can have genuine reasons (e.g. fear of reprisal) for not wanting to disclose their identity. Here are some tips for managing anonymous complaints:

obtain sufficient information, including documents, to allow you to investigate;

try to get adequate contact details so you can advise them of the outcome or you can get more information or comment from them if necessary to progress the investigation;

match the type of investigation to the complaint, e.g. strict confidentiality for whistleblower matters; and do not use the correct last name on your database if complainants require confidentiality and have provided their name.

EFFECTIVE COMPLAINTS MANAGEMENT — RESPONSIVENESS

Responding in a timely manner

People often expect their complaint to be resolved immediately and usually by the first person they speak to. The longer it takes for them to receive a response, the more likely it is they will be dissatisfied with the outcome.

In fact, one of the most common complaints is delay. This is exacerbated if the response to a complaint about delay is itself delayed. Agencies can address this by advising complainants at an early stage what they can expect and when.

However, don’t make timeframes too unrealistic – broken promises will only add to dissatisfaction.

If your agency decides to provide leaflets for customers to explain what to expect during the process, from complaints receipt to investigation and resolution, include advice that some issues take more time to resolve than others.

Courtesy to complainants and good business practice require that:

letters, telephone inquiries and questions are dealt with as quickly as possible;

written complaints are acknowledged promptly, if not immediately, preferably but not necessarily in writing; depending on the type and volume, you may also want to acknowledge oral complaints in writing;

complainants are advised how their matters will be dealt with, at least when they ask;

complaint handling progress is tracked and

complainants are advised upon reasonable inquiry; and similar responses are provided to similar complaints. Agencies obviously need to monitor or track the progress of complaints internally so that complainants can be kept informed. Technology is well suited for this purpose (see Fact Sheet 10 – Resources).

It is not suggested that complaints be dealt with strictly in accordance with the date received. Obviously, resources are limited and prioritisation may be necessary. However, low priority complaints cannot be left unaddressed indefinitely.

Monitoring timeframes for resolution

Establish time limits for each step in the complaints handling process, such as an acknowledgement by telephone or letter to customers within a few days and ongoing feedback throughout the process.

This will indicate that you are serious about timeliness of responses.

It is common to establish different time frames for different types of complaints. Categories may be based on criteria such as complexity (easy, medium, difficult), or seriousness or urgency (low, medium, high).

There is little point in establishing timelines if you don’t know whether you are meeting them. Monitor how you are going against your time limits, e.g. 50% of easy matters resolved within x days, 90% within y days. (See also Fact Sheet 9 – Monitoring Effectiveness, and OPSC Directive, cl. 7.6 Monitoring Effectiveness).

Time and quality

As with all products and services, a tension can exist between speed and quality (i.e. between finalising matters quickly and finalising matters properly).

While protracted delays in the investigation process are undesirable, prematurely terminating an investigation may aggravate the complainant.

Bear in mind that quick timeframes will not necessarily equate to customer satisfaction if the outcome is rushed, ill-conceived or poorly explained.

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EFFECTIVE COMPLAINTS MANAGEMENT — RESPONSIVENESS

Communicating with parties about progress

Throughout the complaints management process, from receipt through assessment, consideration, investigation (if undertaken) and final decision, you will need to promptly advise to the complainant of at least some of the following matters (and possibly others):

that the complaint has been received; the process for dealing with the complaint; that an internal investigation is under way;

where the consideration of the complaint is at a given time; what the investigation or consideration of the complaint has revealed to that point (i.e. a ‘progress report’); the anticipated (and realistic) timeframe for any further action and what the complainant can expect during this process;

that no action, or action that does not meet the complainant’s expectations, is being taken, and why; and

that action such as referral to an external agency, or action to remedy the complaint is proposed, and why. (For further discussion on these points, see Fact Sheet 4 – Communication and Fact Sheet 8 – Feedback.)

Some complainants can be demanding, and want to know “What is taking so long?,” “What have you done since I last rang?,” and “How long will it be before you reach a decision?” These inquiries may be made repeatedly despite advice given earlier.

Sometimes these calls can be an indicator that the complaints process is not being as responsive (i.e. quick), which is a cue for the agency to review the operation of its complaints management system, in particular its timelines. However generally speaking, how far an agency responds to such inquiries is a matter for the agency.

Complainants are entitled to expect to be kept reasonably informed as to the progress of their complaint (e.g. “We are currently considering your letter”, “We are awaiting advice from ……”, “We are making inquiries of the such and such branch”, or “We anticipate it won’t take too much longer but it depends on the availability of the officer who is on leave”).

On the other hand, the more time spent responding to repeated inquiries from complainants who have already been given appropriate advice can reduce the resources available to actually consider their complaints and elongate proceedings. Agencies can set limits on how frequently they respond to requests for progress reports.

Also, if an inquiry is under way, it is legitimate to be circumspect about discussing information gathered to that point, as this may prejudice the investigation (e.g. parties may ‘cover their tracks’ or refuse to cooperate if the information concerns them and they have not yet been given an opportunity to comment on it, or it gets into the public domain and is subsequently found to be wrong).

The agency should monitor the progress of the issue internally so that complainants can be kept informed.

Complainants want to be treated seriously

Important responsiveness issues to consider include: Are your complaints lines

answered quickly?

Have you established reasonable target time limits for all stages of the complaints handling process?

Are you monitoring compliance with timeframes?

Are your customers kept informed about the progress of their complaints at least upon reasonable request?

Does your computer system have a bring-up system for responses?

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Effective Complaints Management

7: Assessment and Action

1. Setting the Scene 2. Commitment 3. Complaint Management Models 4. Communication 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

OPSC Directive on Complaints

Management Systems

The Directive requires agencies to have effective complaints management systems. Among other things, it provides:

Assessment and Action

7.4 An effective complaints management system has mechanisms and strategies in place to:

(a) enable complaints to be dealt with fairly and objectively;

(b) assess the nature of complaints, how complaints should be dealt with and by whom; and

(c) refer complaints to external agencies, where required.

Assessing a complaint

Understand it first. Before assessing a complaint, you need to be sure that you fully understand it. Many complainants are not skilled in expressing themselves or describing complex interactions.

If you are in any way unsure about a complaint, or need further information to assess it (e.g. copies of correspondence), you should contact the complainant. Misunderstood complaints can lead to incorrect assessments and wasted investigations, and cause complainants to be even more

dissatisfied.

If a complainant doesn’t specifically request a review or an outcome, don’t assume they don’t want any action taken. Contact them to clarify. You may wish to prepare a pro forma complaint form for people to fill out or for your staff to complete when taking or analysing complaints.

Assess it next. When you are satisfied you understand the complaint, you need to methodically assess it to determine its nature, how it should be dealt with, who in your agency should deal with it, who should be involved and whether further information or investigation is required.

When assessing a complaint, consider: what the complainant wants as an outcome as it may be possible to amicably and informally resolve the matter quickly

and without detailed investigation. Obviously, this is a desirable first option (for resolution options see Fact Sheet 12 – Remedies);

whether a significant injustice is alleged or it is trivial, frivolous or vexatious;

whether an abuse of power is alleged or apparent;

the seriousness and significance for your agency;

the time that has elapsed since the incident occurred;

whether it involves the broad public interest;

whether the resources required to deal with the matter would be disproportionate to the complaint’s significance and likely outcome; and

what remedies would be available; and whether investigation could lead to improvements in agency processes.

Know what you are looking for

It is all very well to say that you will assess and investigate a complaint, but you must know what you are looking for.

Usually the complaint will be simply that the complainant has been unfairly treated in some way. The assessment and investigation will focus on whether the facts as alleged can be sustained, and if so, whether they give rise to a view that unfairness has occurred.

However, some matters may be more subtle and not raised explicitly by the complainant.

Useful tip

Look for ways you can resolve the complaint, not for reasons why you can’t. How a complaint is assessed and acted on is central to good complaints management. No matter how well other aspects of complaints management – good visibility and accessibility, reasonable timeframes, clear communication, timely feedback, etc – are functioning, if a complaint is poorly assessed or poorly acted on (i.e. investigated) the system will have no credibility.