Effective Complaints Management 13: Business Improvement

Business improvement - a dividend from your investment

Complaints management is not just about dealing with and resolving individual complaints.

INFORMATION FOR QUEENSLANDS PUBLIC SECTOR AGENCIES:

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 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 Ombudsmans Communication and Research Unit on 07 3005 7000.

It is also about adding value by using complaints data, individually or in the aggregate, to identify areas where the agencys business processes and systems can be improved.

Cultural factors such as pro or anti- business attitudes or agencies or officers with particular agendas (including regulatory capture whereby regulatory agencies get too close to the agencies they are supposed to be regulating), leading to biased decisions.

OPSC Directive on Complaints Management Systems

However, a significant one-off error may, when investigated, be traced back to a systemic problem (e.g. lack of training or resourcing).

Cl. 7.5(c) of the Directive requires agency complaints management systems to have: mechanisms and strategies in place to provide feedback to relevant areas of the agency where potential system improvements are identified. This is discussed briefly in Fact Sheet 8 - Feedback, and in more detail below.

Use complaints to improve your organisation. Always ask: how could this complaint have been avoided?

Useful tip

Step 1 collect complaints data

Systemic issues

As the name implies, systemic issues relate to problems with an agencys systems, as opposed to one-off mistakes that due to human error can occur even with the best systems in place. Systemic problems can include: Inappropriate or inadequate legislation, which e.g prevents an agency from dealing with matters efficiently and effectively or achieving the Acts objectives or government policy. Inadequate or non-existent policies, which dont give clear guidance as to how to handle certain situations, leading to uncertainty and inconsistency. Inappropriate or inadequate delegations, causing either delays (due to inadequate delegation e.g. too many internal levels of approval), or incompetence (excessive delegation to staff who are out of their depth). Inadequate or non-existent supervision and controls, causing for example inconsistency and variable standards or outcomes. Inappropriate or inadequate training, causing errors or delays as staff are unable to do their job properly. Inadequate funding and other resourcing, causing e.g. delays or under skilled staff. Poor record keeping, causing factual mistakes and inability to explain decisions. Poor communication or explanation of decisions and actions, leading to unnecessary complaints.

The key to gaining business improvement from your complaints management system lies in having a systematic and reliable approach to recording complaints and their outcomes in sufficient detail to allow analysis of where and why complaints are being made. How you approach the task of collecting complaints information will depend upon the business and structure of your organisation. As discussed in Fact Sheet 10 - Resources, centralised and systematic recording of complaints information and outcomes is particularly important if your agency has a Queensland-wide presence and regional offices handle complaints. Information and communication technology offers great advantages, particularly in detecting recurring issues and themes among large numbers of complaints. A well constructed and well maintained paper based system can also work effectively for centralised agencies or agencies generating low complaint numbers. The amount of information that can be collected from complaints is considerable. A complaints form (sample attached) is a key business improvement tool for recording important details for analysis of trends over time. This form illustrates the type of information needed to resolve complaints and evaluate and improve services. Your form needs to be user-friendly for complainants and staff. Check boxes work best when people are busy or recording common complaints. For types of useful data see Fact Sheet 10 - Resources.

EFFECTIVE COMPLAINTS MANAGEMENT BUSINESS IMPROVEMENT

Improving business practices through effective complaints management
As a result of its complaints management system, Disability Services Queensland (DSQ) became aware that a significant number of complaints across the state were related to a specific program. An analysis of those complaints indicated that families were unclear about the programs intent, its application according to individual need, the role of staff and the accountability and approval processes within DSQ. Also, families perceived a lack of information about staff changes and funding, and record keeping that required the retelling of distressing family histories. Business improvement strategies devised to address these issues included: promoting the need for two way transparent and effective written, verbal and visual communication; developing and implementing training to enhance listening and communication skills; development of material clarifying the role of key staff members; advising clients of staffing changes in writing; and improving client files and careful handover to new staff. Complaint numbers have since declined and this program is no longer DSQs largest source of complaints. Overall, systems should be able to: record and monitor complaints; have an agency-specific schema to categorise complaint issues (in a way that can be related to business processes e.g. type, location); identify categories and trends; channel information to those who can prevent recurring problems; produce reports to management; record the organisations learnings as a source of information for continuous improvement; and measure customer/public satisfaction. where appropriate, suggest modification of operational standards to ensure they are realistic and achievable; and review the complaints management policies and practices and suggest where improvements are warranted (see Fact Sheet 9 - Monitoring Effectiveness).

Step 3 identify business improvements

If your analysis indicates possible problems in a particular area this information can be fed back to the relevant personnel, thus leading to investigation, rectification and business improvement, before the problem escalates and reaches crisis point. This is a major return on your investment in complaints management.

Step 2 - analyse complaints data

An experienced officer should review and analyse the data produced by the system. Systems can go only so far, and the data needs to be interpreted by people who understand it and the organisation. When complaints information is classified and analysed, systemic and recurring problems will be more easily identified. However, reports should not be totally quantitative. While it is true systemic problems often generate a run of complaints that reveal the problem, a single complaint can also reveal a systemic problem, which if acted upon may avoid further similar complaints. Ideally, analyses and reports for policy makers and management should: set out complaint numbers and outcomes for different complaint types with subcategories (the structure can be modified through experience over time); measure achievement against agency standards; provide comparisons with previous periods; identify comparative data by reference to business units (e.g. regional offices) - but be wary of drawing conclusions unless all variables are known and properly taken into account; include analysis of the main complaints areas to explain basic figures and highlight significant points; identify any hotspots (i.e. actual or potential problem areas);
Level 25, 288 Edward Street Brisbane Queensland GPO Box 3314 Brisbane Queensland 4001 Tel 07 3005 7000 Fax 07 3005 7067 Email ombudsman@ombudsman.qld.gov.au Web www.ombudsman.qld.gov.au

A collaborative approach

A common thread may link other organisations with yours. Your responsibilities may cross over with others, or another agency may deliver some of your customer services. Perhaps a number of agencies have similar multicultural programs and a joint approach may be beneficial for all parties. Collaborative arrangements can result in many business benefits, such as improved services and shared costs. When developing formal or informal partnership agreements, build in arrangements to manage complaints and gain customer feedback to improve business performance. You may need to develop a stand-alone system to manage complaints arising from the shared initiative, particularly if the parties to the agreement have diverse complaints management models. However, with careful planning at the outset, it is possible to set up database links, common complaint categories and standardised reporting on complaints. This will make the complaints management system compatible with your agencys business improvement policies. The trend to public participation in government decisionmaking suggests that strengthening relations with your customers by investing in effective complaints management systems would be a sound investment.

Useful tip

The State of Queensland (Office of the Ombudsman) 2006

Sample Complaints Form Fact Sheet 13

We want to make it easy for you to lodge a complaint. Simply fill out this form and send it to (insert agency contact details). If you prefer, you can ring our Complaints Unit on FREECALL 1800 XXX XXX or visit our website for advice on how to get in touch. Our website also has an electronic complaints form which can be emailed to us.

PERSONAL DETAILS
Title: Last name: First name/s Address: _______________________________________________________________________Postcode: __________ Telephone (home): __________________work):________________________(mobile): ___________________________ Other ways to contact you (e.g. facsimile, email): __________________________________________________________ Preferred way for us to contact you: ____________________________________________________________________ Are you the person affected by the complaint? Yes No If not, please advise relationship to the person affected by the complaint: Parent Friend Other (please specify) ___________________________________________ If you are acting on someones behalf, please advise his or her details: Title: ________ Last name: ___________________ First name/s: _________________________Address: ______________________________________________________ Postcode:___________ Telephone (home): __________________(work):________________(mobile): _______________ Does the person affected by the complaint have a disability or other special need that we need to be aware of? Yes No If yes, please specify:

COMPLAINT DETAILS
Have you raised your complaint with us before? Yes No If yes, tell us who you spoke to, what you were told and why you are still dissatisfied. Attach any documentation you have from your previous contact. Use a separate sheet if needed.

For NEW complaints, tell us what happened? Who was involved? When and where did it happen? For example, does your complaint involve a decision or action that impacted on you, or perhaps the quality of our service? Make sure you tell us the specific area the problem occurred, particularly for regional services. Attach a separate sheet if needed.

What would you like to see happen as a result of your complaint?

Have you done anything about your complaint already? Perhaps you have sought assistance from a solicitor, professional advisor, an MP, or an investigative agency? If yes, please advise details, such as the person you spoke to, when and advice given:

WHAT TO EXPECT
We take complaints seriously. We will contact you within seven working days of receiving your complaint to advise you of what we will do and the expected time it will take. Your information will be treated confidentially. Thank you for bringing this matter to our attention.
Agencies:
Outline your timeframe for responding

For agency use only

Complaint received by: Telephone Letter Date received: Staff member who received complaint: Position: Summary of any advice provided to complainant on initial contact: Email In person Fax Web

Agencies:
Outline receival process relevant to your system

Ministerial

Agencies: Complaint referred to: Area Manager Team Leader Complaints Coordinator Other (please specify):

List possible staff complaints may be referred to

Date of referral:

File number:

Summary of any further advice provided to complainant about the referral (e.g. time lines for further advice):

Nature of complaint (may fall into more than one category): Customer service Policy Public interest disclosure Other (specify): Location of problem: Northern region Central records Other (specify): Southern region Corporate Services Legal services Agencies: Administrative decision/action Procedures Service delivery Ministerial

Agencies:

Outline your complaint categories

Outline possible locations, such as work unit, division or region

Sample Complaints Data Form

Summary of issue/s: For agency use to facilitate data analysis attach to complaint file.

Complexity (estimated resources/time for complaint to be resolved): Prioritising complaints helps to identify the best approach

Priority: Low Action taken: Meeting with complainant Other (specify): Internal referral (where and when): External referral (where and when): Phone call to complainant Investigation Medium High

Outcome of action: Resolved Withdrawn Rejected (state reason): Unresolved otherwise (state reason): Agencies: select relevant titles Complaints Coordinator Regional Director Partly resolved Discontinued by complainant Deferred Unknown

Complaint finalised by: Service Manager Other (specify):

Complainant satisfaction: Was complainant satisfied with the outcome of the complaint? Was complainant satisfied with the handling of the complaint? Yes Yes No No Unknown Unknown

Remedy: Admission/Acknowledgement of fault Apology Change of decision Change of law Compensation Restitution/waiver of debt/goodwill gift Protection of complainants/whistleblowers Return of property inappropriately held Technical assistance Change of policy/procedures/practice/product Service improvement Honouring of prior commitment Information that assists Promise not to repeat action/error Correction of misleading/incorrect records Repair/rework Substitute product or service Explanation of why problem occurred and what steps your agency is taking to avoid it recurring. Other (specify):

Systemic change required? If yes Legislation Policy Delegations Other (please specify): Supervision/control Training Resourcing

Identifying system improvements prevents similar problems occurring Record keeping Communication Culture

To be completed by complaints supervisor (e.g. Complaints Coordinator, Supervisor, Area Manager) Name: Phone: Date complaint received: Position: Email: Date finalised:

Further action required:

Yes Management review

No Root cause analysis and corrective action

Results of further action/analysis:

Was complaint justified?

Yes

No

Partly

Date file closed: Details kept for trend analysis and prevention of similar problems

Closure authorised by:

Date details entered in database for trend analysis: