International best practice International best practice approaches to complaints handlingapproaches to complaints handling

Dr. Richard Boyle

Senior Research Officer

Institute of Public Administration

Dublin

Presentation at HKEU seminar 11th December 2008

IntroductionIntroduction

Complaints handling often misunderstood and under appreciated

Primary focus of the presentation is on internal complaints handling

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 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

McMillan, 2007

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

TelephoneIn personCustomer comment cardMailEmailLink from the websiteBlogs and chatrooms

Encouraging complaintsEncouraging complaints

People often don’t know how to complain. They need to be encouraged:

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 flexible distribution strategies: email, face-to-face,

mail-outs, libraries, government and community agencies

promotional ‘goodies’: fridge magnets, pens

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 clients 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 clients who lodge a complaint

Staff may also have concerns

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

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 public

A standardised 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 Web 2.0Not forgetting the computer illiterate

and those without access

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

The complaints ladderThe complaints ladder

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

Second stage: When clients 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.

Ensuring lesson learningEnsuring lesson learning

Promoting system-wide lesson learning in good practice

Variety of players – central agencies, Ombudsman and Audit offices

ConclusionConclusion

We must expect dissatisfied customers. We have choices about how the public 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 and the people who use this apparatus (House of Commons Public Administration Select Committee)