Approaches to complaints handlingApproaches to complaints handling

Course GoalsCourse Goals

Complaints handling often misunderstood and under appreciated

Primary focus of the presentation is on internal complaints handling

In detail process of complaint handling

BrainstormingBrainstorming

What in your opinion is a complaint?

What is a complaint?What is a complaint?

Any expression of dissatisfaction that needs a response

Where a decision or action is taken relating to the provision of a service which, it is claimed, is not in accordance with the rules, practice or policy of the organisation or the generally accepted principles of equity and good administrative practice and which adversely affects the person concerned

Why is good complaints Why is good complaints handling important?handling important?

Why is good complaints handling Why is good complaints handling important?important?

Complaints provide a window on systemic problems

Complaints can stimulate improvement Good complaints handling can defuse a

crisis The price of failure is high

Ways in which people can lodge a Ways in which people can lodge a complaintcomplaint

TelephoneIn personCustomer comment cardMailEmailLink from the websiteBlogs and chat rooms

GuidelinesGuidelines

People often don’t know how to complain. They need to be guided to wards the right process:

developing specific information and resources: fact-sheets, posters, translated information, brochures

regular publications: newsletter, email alerts website as a recognised source of information and

useful links

People may fear complaining or People may fear complaining or lack confidence in the systemlack confidence in the system

Fear of discrimination or harassment– Inform individuals that they will not be

discriminated against as a result of making a complaint

– Establish internal follow-up procedures to address the risk of discrimination against individuals who lodge a complaint

First steps in establishing a First steps in establishing a complaints handling systemcomplaints handling system

Identify good practice complaints handling principles

Conduct a risk assessment:– Level of consequence versus likelihood

of recurrence

The complaints ladderThe complaints ladder

First stage: The intake officer screens the complaint and registers it . Then front-line staff attempt to resolve it.

Second stage: When individuals are still dissatisfied, a more senior official or a complaints officer investigates their complaints and reports the results to them.

Third stage: Consider using mutually acceptable, alternative dispute resolution mechanisms such as mediation. If this is not possible, a third party could arbitrate the matter.

Dealing with cross-cutting and Dealing with cross-cutting and complex complaintscomplex complaints

Respective roles and responsibilities in administering legislation, making policy and handling complaints should be clearly spelt out and visible to the people.

A standardized complaints handling system.

An overseeing body/function? Specialist staff for complex, high profile

complaints

Dealing with difficult Dealing with difficult complainantscomplainants

Challenges of dealing with habitual or vexatious complainants

Good guidance, backed up by skills development, is crucial

The impact of information and The impact of information and communications technologiescommunications technologies

Using websites for complaints handling

Complaints trackingBlogs and WebNot forgetting the computer illiterate

and those without access

Activity Activity (Total time: 45 min)(Total time: 45 min)

Four groupsDistribution of complaint lettersParticipants to write a response

(10 min) Each group to present their

response letter (3 min)Audience to evaluate the response

letter keeping the given points in mind (5 min)

Activity (cont)Activity (cont)

POINTS TO PONDER Benefits of responding by letter to a

customer complaintConsider the impact that getting

these letters right will have on the future profit of the organisation

How do you know the complaint has been effectively handled?

Guiding PrinciplesGuiding Principles

The nine elements of this dimension describe core themes, each pointing to an important matter of principle which sets the scene for operational aspects of the end process

Guiding Principles (cont)Guiding Principles (cont)

Visibility Information about how and where to complain should be well publicized

Accessibility Complainants should find it easy to engage and use the complaints procedure, irrespective of language or disability

Responsiveness Prompt acknowledgement should be followed by prompt action, with complainant kept informed of the progress

Objectivity Any investigations should be open-minded and impartial, complete and equitable

Confidentiality Personal information about the complainant should be disclosed internally on a need-to-know basis only and never disclosed externally without permission

Guiding Principles (cont)Guiding Principles (cont)

Customer-focus The organisation should welcome customer feedback of all types, with a culture that sees the customer as central

Accountability There should be clarity on roles and authority in handling complaints, and staff should be accountable for their actions

Continual Improvement There should be a permanent objective to learn from complaints to improve processes, products and services

Process FrameworkProcess Framework

This dimension looks at non-operational matters. It is concerned principally with senior level commitment to the concepts and ideas of quality complaint handling, the existence of thoughtful policies and clarify about who is responsible for what

Process Framework (cont)Process Framework (cont)

Commitment Beginning with the top-management, the organisation should belief in a high-quality complaints handling, and resource it accordingly

Policy Explicit complaint handling policies should exist, disseminated to staff and available to customers, and be embodied in, and served by, formal procedures

Responsibility and authority The processes themselves need a management “owner” accountable for their implementation, quality and periodic review

Planning and DesignPlanning and DesignThis dimension of the standard

requires that complaint processes should not be adhoc, but instead, the result of careful thought and structural design which lead to interlocking activity in which information, materials, financial, human and infra structure resources function harmoniously in pursuit of complaints handling excellence

Planning and Design (cont)Planning and Design (cont)

Objectives Explicit complaint handling objectives should be set and monitored at different levels and function throughout the organisation

Activities Complaints processes should be the result of a coherently designed plan which is developed mindful of best practices in other organisations, is focused on customer/employee satisfaction and aligned with the Quality system

Resources Adequate finance, staff, training and materials should be made available to enable and ensure effectiveness of complaints processes

OperationsOperations The dimension of the standard focuses on process details

Communication Ensure complainants understand the process, such as what information they must supply, time limits for resolution

Complaint receipt Adequate data should be recorded immediately to enable effective investigation and handling, including the remedy sought by the complainant

Complaint tracking The status of all current complaints should be recorded and tracked and made available to complainants upon request

Complaint acknowledgement

Complainants should receive immediate acknowledgment that their complaint has been received

Operations (Cont)Operations (Cont)Initial assessment Upon receipt complainants should be assessed for

severity, urgency, safety and other matters to determine if fast track action is required.

Investigation Sincere information-gathering efforts commensurate with the seriousness of the issue should be made to enable an informed investigation and decision.

Response Following investigation, the complainant should be offered an appropriate response as soon as possible

Communication Decisions All involved individuals, complainants and staff, should be informed of the results and action taken

Closing Complainants should be involved declaring issues closed and closures recorded. If not satisfied, alternatives and escalation options should be explained

Process Maintenance and Process Maintenance and ImprovementImprovement

The core theme of this element is that simply having a complaints process is not enough. The process must remain under scrutiny for performance and adequacy, with management and being vigilant to the evolving concepts of best practice and adjusting their process accordingly.

Process Maintenance and Process Maintenance and Improvement (cont)Improvement (cont)

Information Collection Clear procedures should exist for classifying, storing and disposing of complaint records, ensuring confidentiality is maintained.

Analysis Reviews should be conducted of classes of complaints to identify trends and recurring problems, to help identify root causes.

Satisfaction with process Complainants'’ satisfaction with the complaint handling process should be periodically reviewed

Monitoring of process Observation and review of the whole process, from staff training through root cause analysis and customer satisfaction should be routine to ensure a continued high level of performance

Process Maintenance and Process Maintenance and Improvement (cont)Improvement (cont)

Auditing the process Periodic formal audits should qualify and evaluate aspects of the complaints process and reveal conformity to policy and meeting of objectives

Management review Senior management, informed by monitoring and audit activity, should understand the complaints process performance, to identify and remedy deficiencies.

Link to continual improvement

The complaints process itself should be continually improved and those process should lead to continual product and service improvements

TACTICS TACTICS The seven-step process is delivered as the acronym The seven-step process is delivered as the acronym TACTICS for ease of recall: TACTICS for ease of recall:

Thank youApologise Collect information Take action I will put this rightCheck that the complainant is happy Summary

Activity (Total time: )Activity (Total time: )

Participants work in groups of three to put the formula into use through skills practice.

Each group consists of a complainant, a complaint-handler and an observer, who gives feedback on the use of the TACTICS formula during the skills practice.

Finally, each participant to contribute one useful phrase or technique they have gained from either performing or observing the skills practice.

Quality assuring complaints Quality assuring complaints handlinghandling

Need for quality control measures in the handling of complaints

Tracking a sample of complaints from initiation to closure

Creating a supportive climateCreating a supportive climate

Role of senior managementRelationship between the complaints

manager and chief executiveIntegrating complaints handling with

human resource practices such as performance appraisal and training and development

ConclusionConclusion We must expect dissatisfied customers/employees.

We have choices about how the people can express that dissatisfaction

To the greatest possible extent, complaints should be handled at a local level

Handling complaints effectively is not just about value for money. It is about establishing a responsive relationship between the apparatus of the state/organization and the people who use this apparatus.

Thank you and have a Thank you and have a great day!great day!