TS Customer Administrative Complaints Handling
Procedure
Version 6
Updated 1.05.08
Released 1.05.08
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Contents
Foreword by Customer Strategy Unit ……………………………. ....4
1.
Introduction ………………………………………………………6
What is a complaint? ....................................................................................... 6
Identify ............................................................................................................. 7
Investigate ....................................................................................................... 7
Consider .......................................................................................................... 8
Resolve ............................................................................................................ 8
Remedy ........................................................................................................... 8
2.
The Complaints Procedure: Roles and Responsibilities.......9
2.1
The Tribunal Manager ………………………………………………….11
Response Targets .........................................................................................12
Telephone/Minicom or Counter .................................................................... 12
E-mail or letter/fax.......................................................................................... 13
Claims for Compensation .............................................................................. 13
Legal advice................................................................................................... 13
Correspondence from MPs and Peers .......................................................... 13
Complaint file ................................................................................................. 13
File construction .............................................................................................14
2.2 Area Manager…………………………………………………………….15
Response Targets .........................................................................................16
Telephone/Minicom or Counter ..................................................................... 16
E-mail or letter/fax.......................................................................................... 16
Claims for Compensation .............................................................................. 16
Legal advice................................................................................................... 16
Correspondence from MPs and Peers .......................................................... 17
Complaint file ................................................................................................. 17
2.3 Chief Executive ………………………………………………………....19
Response Targets .........................................................................................20
Claims for compensation ............................................................................... 21
Legal advice................................................................................................... 21
Complaint file ................................................................................................. 21
Annexes
A - Handling Complaints in Person ................................................................23
B - Handling Telephone Complaints ............................................................. 26
C - Handling Written Complaints ................................................................... 30
D - Admission of Liability ............................................................................... 32
E - Recommended acknowledgement ...........................................................34
F - Recommended acknowledgment to MP/MEP etc.....................................35
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G - Recommended holding letter ...................................................................36
H - Recommended holding letter to MP .........................................................37
I - Escalation paragraph – First contact to Step 1 ..........................................38
J - Escalation paragraph – Step 1 to Step 2 ..................................................39
K - Escalation paragraph – Step 2 to Step 3 .................................................40
L - Escalation paragraph – Step 3 to Ombudsman ........................................41
M - Recommended letter referring complaint to another agency ...................42
Annex N – Complaints handling process flowchart – First Contact ...............43
Annex O – Complaints handling process flowchart – Step 1 .........................44
Annex P – Complaints handling process flowchart – Step 2 .........................45
Annex Q– Complaints handling process flowchart – Step 3...........................46
Annex R – Customer Strategy Unit organisational chart and contact details.47
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Foreword by Customer Strategy Unit
The effective handling of complaints is critical to our drive to put the customer
first. Each customer’s complaint is ‘free’ consultancy to us. We should aim to
learn something from it and improve our practice so that where possible the
customer never has to suffer from that particular complaint again.
The continuing transformation of our organisation provides a number of
challenges to how well we look after our customers. One of these challenges
is achieving a consistent approach to complaint handling across the Tribunals
Service. To integrate the different approaches to complaints handling, so that
customers see us as an organisation that is competent, fair and consistent in
dealing with their complaints. The procedure has been changed to reflect the
change from jurisdictional based structure to the new regional structure of the
Tribunals Service. Another ongoing challenge is ensuring that from the
customer’s point of view we arrange to have any complaint dealt with that
relates to the hearing or the outcome of a hearing. Such a complaint is not
administrative and falls outside of this procedure and needs to be referred to
the appropriate judicial procedure.
How effectively we handle complaints is a good test of our commitment to our
customer. We must react quickly to customer concerns; no matter how small
they might seem to us, they matter enormously to the customer. We need to
listen carefully and understand their perspectives - not think defensively about
our own. We must also demonstrate honesty and integrity at all levels in how
we respond, whether in person, on the telephone, or in writing. As well as
putting things right, when they have gone wrong, we must apologise. If
financial loss has occurred as a result of a mistake we have made, we should
offer reasonable financial redress as soon as possible.
The procedure contains useful and important reference material, written in
plain English, on many aspects of complaints handling, including:
Procedures to follow when a complaint is received
Advice and tips on how to deal with different types of complaints; for
example those that might need to be handled outside of the administrative
complaints procedure, those relating to the listing of cases, general
administrative delays, etc.
Best practice guidance
Boxed “quick guides” for speed referencing
Standard letters to use in some circumstances
Standardised paragraphs to escalate the complaint to the next step in the
procedure
Complaints handling process maps
Contact details for the Customer Strategy Unit (CSU) and elsewhere for
further help
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CSU are responsible for maintaining this guidance which will continue to
develop over the coming months with amendments being made in line with
customer feedback and continuous improvement.
Changes will be
announced in real time via the weekly Tribunals Service Email Bulletin with
links to the procedure on the intranet. We welcome your feedback about the
guide. Please tell us whether the instructions are clear or you have any
suggestions for improvements or additional information that you would like
included in the guidance. The CSU organisational chart and contact details
are included at Annex S.
Customer Strategy Unit
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1.
Introduction
What is a complaint?
The Tribunals Service definition is:
‘Any clear expression of dissatisfaction within the
administrative service or facilities where a response is required’
Independent Charter Mark assessors agree with this definition. All complaints
start by being justified from the customer’s perspective and can originate at
any time and from any situation. It will always be difficult to avoid complaints
being made. But when a complaint is lodged we need to know how to deal
with it in the most appropriate and efficient way and aim to satisfy the
complainant on the spot as far as possible.
The guidance is designed to help you consider and address complaints
quickly, with the aim of resolving the complaint at source and where possible
without the customer being passed from pillar to post. This procedure
provides more detailed help to resolve complaints that are more complicated
or that can’t be resolved directly.
The standards and principles of complaints-handling remain the same at any
level of the organisation, whether you are talking directly to a customer at a
hearing or on the telephone, or investigating a claim for compensation. The
standards we set ourselves are that:
We will take a positive approach to complaints and encourage customers
to tell us what they think
We will undertake to treat all complaints seriously, whether we believe
them to be justified or not
We will respond to a complaint promptly by whatever means will provide
the best service to the customer
We will consider and respond to all the issues raised by the customer’s
complaint
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We will at all times be polite, courteous, open and honest in our complaints
handling procedure
We will apologise for any inconvenience and, if appropriate, give a full and
clear explanation and provide compensation where appropriate.
We will attempt to put things right at the earliest opportunity
We will learn from our mistakes, spread best practice to our colleagues
and if appropriate alter our systems so that the mistake does not reoccur
We will keep the customer informed about the progress of their complaint
We will treat people as they – and we ourselves - would wish to be treated
To achieve those standards we must follow these basic principles:
Identify
It sounds obvious but the first step is to be aware of when a complaint is being
made. Listen to and read communications from customers with care.
Sometimes the expression of dissatisfaction will not be made clear or it will
not be made very forcefully. A letter or telephone call from a customer might
also highlight a problem before the customer himself or herself is aware of it.
If the cause of a complaint can be identified early, we should take action to
resolve the situation. This should minimise the customer’s dissatisfaction and
the extra work and delay that can arise when a complaint has been
aggravated by the customer feeling ignored.
Investigate
If it is not possible to prevent the complaint occurring, we must take thorough
action to establish the cause of the complaint. Only once we know and fully
understood the cause of the problem can we take a decision on how best to
resolve the situation for the customer. If we offer inappropriate redress
because we have not understood or established the real cause of a complaint,
we can exacerbate the complaint and extend the time it takes to resolve the
problem, thereby causing further dissatisfaction. Fully knowing the cause of a
complaint also allows us to understand how we can correct our systems and
procedures to avoid the problem occurring again.
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Consider
Having identified the complaint, the issues it raises, and investigated to find
the cause of the problem, you can consider how best to resolve the situation
for the customer. If the complaint cannot be resolved with positive action to
correct the problem, it is possible that some form of redress will need to be
offered to the customer. This might be an apology or if actual financial loss
has occurred it might mean some financial compensation.
Resolve
With these three principles established, you can decide the best way to
resolve the complaint. In the case of a simple error, it might be possible to
achieve a quick resolution by picking up the phone to the customer and
apologising. Consider sending an e-mail, if that facility is an option and it is
appropriate. Often it will be necessary to write a letter in order to detail the
events that have occurred. Think about how to respond and what method to
use because it can be as important as the resolution you are trying to achieve.
Remedy
Having identified, investigated, considered and resolved the complaint, we
must ensure that the same problem cannot occur again. We must take all
remedial action necessary to correct our procedures and systems or the way
in which we are dealing with our customers
and then communicate what we
have learned to our colleagues. The most important part of handling a
complaint is to give a satisfactory response to the customer. The second is
learning and trying to make sure it cannot happen again. The best solution to
a complaint is to stop the complaint happening in the first place or if that is not
possible, to resolve it quickly with early remedial action and prevent
reoccurrence.
Dealing with customers who have complaints is not easy! Help is always at
hand from colleagues in your own line management and from staff in the
Customer Strategy Unit (CSU). Following correct complaints handling
procedure is essential to achieving our goal of customer service excellence.
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2.
The Complaints Procedure: Roles and
Responsibilities
Quick Guide
Complaint received (First Contact) - the person initially receiving the
complaint, whether by telephone, letter or in person should try to
resolve it. If it cannot be resolved to the customer’s satisfaction the
customer must be told how to instigate our internal complaints
procedure. Whatever the outcome the customer should be sent a letter
summarising what was said or agreed, giving details of how to
complain at Step 1 of the escalation process
(please use Annex I) and
enclosing a copy of the ‘A positive step forward’ leaflet.
Always aim to resolve the complaint
completely – it will only be
escalated through the procedure if you cannot successfully resolve it
Our internal stepped complaints procedure operates on three levels
1. Tribunal Manager (for EAT the Deputy Registrar)
2. Area Manager (for EAT the Registrar)
3. Chief Executive (Complaint handling will be managed by the
Customer Feedback Team who will manage the complaint process
and obtain a draft response from the relevant Area Manager or
Registrar)
Replies to any correspondence about compensation must be approved
by your next senior officer following an investigation to establish
whether the customer has suffered any actual financial loss
Offers of compensation should continue to be dealt with under the
legacy jurisdictional procedure.
All cases requiring legal advice should be referred to your Area
Manager’s office who
will obtain advice from the Department’s lawyers.
All court proceedings issued against Tribunals Service or the Ministry
of Justice should be handled by your Director’s office
Tribunal Managers
can reply direct to correspondence received at their
offices from Members of Parliament complaining on behalf of their
constituents
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Guidance on handling any complaint can be obtained from the
Customer Feedback Team (CSU)
The Ombudsman (PCA) can choose to investigate a complaint at
any
stage
Customer Feedback Team (CSU) are the contact point for PCA and
will contact the relevant office if information is needed by PCA. In the
event that PCA contacts an office direct they should be referred to the
Customer Feedback Team (CSU)
The tribunal office will usually be a customer’s first point of contact with the
Tribunals Service. A complaint might be made to anybody within the tribunal
and might be received face to face, over the telephone, by e-mail, or by fax or
letter. If after the initial complaint (for DCAFé logging purposes known as
First Contact) has been dealt with, the complainant remains dissatisfied they
should be advised to follow the steps in our administrative complaints
procedure. If the advice is given by telephone you should follow this up by
summarising the conversation in writing to the complainant and enclosing the
leaflet ‘A positive step forward’. Annex I should be used as a template for this
letter.
Good communication between all levels is essential to ensure that complaints
are handled correctly. Please encourage all staff to know the procedure so
that complaints go swiftly to the correct person.
The aim must always be to resolve a complaint at source. However, this
might not always be possible. The customer might remain dissatisfied with an
offer of redress or it might be necessary for legal advice to be sought before a
full response to the complaint can be provided.
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2.1 Step 1 - Tribunal Manager
Quick Guide
Try to resolve a complaint
immediately wherever possible
We aim to resolve and respond to all complaints within
10 working
days of receipt.
Keep customers informed (i.e. within 10 days) of the progress of their
complaint
A complaint file should be opened at this stage. The file should
conform to the format described at page 13 -14
Follow the standards and principles set out in this procedure when
dealing with all types of complaint
Correspondence about compensation should be dealt with under the
current procedure in place in your Tribunal.
Cases requiring legal advice (such as failure to make a reasonable
adjustment under the Disability Discrimination Act) should be referred
to your Area Manager who will obtain advice from the Department’s
lawyers.
The Tribunal Manager should reply to any correspondence that fits the
criteria of a complaint received from Members of Parliament. Any
member of staff can respond to a general enquiry.
Always close your letter by referring to the next step in the complaints
procedure (use the template at Annex J)
You must ensure that all complaints are recorded in the Customer
Analysis and Feedback System – DCAFé Further guidance can be
obtained from the CSU if you or your Area Manager are unsure of what
to do with any particular complaint.
The flowchart at Annex O shows the complaints handling process at
Step 1
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Response Targets
If we can resolve a complaint straight away, on the spot - our aim is to do
so.
If we are not able to do so, we will try to resolve and respond to all
complaints within 10 working days of the complaint being received at a
Tribunal office.
Note -
The Tribunals Service target is to resolve and reply to 90% of
complaints within 10 working days at each Step of the procedure.
The 10 day target time runs from the date a complaint is received by a
Tribunals Service member of staff.
We must keep customers informed of the progress of their complaints.
If it becomes clear that there will be a delay in replying to the customer,
contact the customer immediately and explain the reason for the delay. This
must be a substantive reason, e.g. you have to send papers to another office
to seek the input of other colleagues. If there are any issues that can be
addressed you should do so at this stage and tell the customer when you
expect to send the final reply. There are holding letter templates at Annexes G
and H which may be adapted to fit the circumstances.
Telephone/Minicom or Counter
If a customer complains in person, by telephone or Minicom, follow the
standards and principles set out in Annex A and B of this procedure and take
the necessary action there and then to resolve the situation. Remember to
collect a record of all complaints and enter them onto the DCAFé system.
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E-mail or letter/fax
If a complaint cannot be resolved straight away and needs a written reply,
follow the guidance in Annex C.
Claims for Compensation
Any correspondence from a customer about actual financial loss should be
dealt with under the current procedure in place in your Tribunal.
Legal advice
There may be occasions when it is clear that legal advice is required. This
might be because a customer believes that a reasonable adjustment has not
been made under the Disability Discrimination Act. You may find that you
have a complaint on a novel or controversial topic that needs careful handling.
If you are unsure what to do, consult the CSU.
Correspondence from MPs and Peers
Some customers write directly to their Member of the House of Commons
(MP), Member of the Scottish Parliament (MSP), Member of the European
Parliament (MEP), Member of the Welsh Assembly or a Member of the House
of Lords. Some tribunals might also occasionally receive correspondence
from the Mayor of London, a Member of the Greater London Authority or other
similar body.
Tribunal Managers should reply directly to MPs, MSPs or
MEPs
If the complaint is particularly complex, the CSU is available to advise on
handling.
Complaint File
As well as replying directly to complaints you will also have to open a
complaint file. It is important that the case is presented clearly and that files
are correctly constructed. In the event that the complaint is escalated further
this should help the TS Area Manager, Customer Feedback Team and Chief
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Executive assimilate what are often complex issues and reduce the time
needed to prepare cases should referral to other units be necessary, for
example, to Solicitors Branch or Parliamentary Business Unit.
File construction
There must be a clear background to the case and all documents relating to
the case must be
filed in chronological order with the response being the
final document on the left hand tag.
The file should contain, on the
left hand side of the file, attached in date
order
internal correspondence
a full summary of the main points of the case
a chronological history of the action taken to date (cross referred to the
relevant documents in the file)
Right hand side
A numbered schedule cross referenced to: -
Copies of complaints letters or transcript of telephone call/meeting
when complaint lodged.
Any supporting evidence filed in chronological order with the
earliest documents first.
Be objective in all your replies to customers. It is better to accept
responsibility for poor service, where justified, than defend our position on
weak grounds only to be overturned later at a more senior level.
Remember that the customer is expecting a reply by the target date. If
there is a delay in replying, keep the customer informed. In addition, any
delay in providing a report or replying to a complaint above the target time will
be reflected in the tribunal’s performance.
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2.2 Step 2 - Area Manager
Quick Guide
Try to resolve a complaint straight away wherever possible
Resolve and respond to complaints within
10 working days of receipt
Keep customers informed of the progress of their complaint
Follow the standards and principles set out in this procedure when
dealing with all types of complaint
All claims for compensation should be dealt with under your current
procedure.
Refer to complaint file
Ensure all complaints are recorded in the Customer Analysis and
Feedback System, DCAFé
Always close your letter by referring to the next step in the complaints
procedure (use standard paragraph in Annex K)
Consult the CSU if you are unsure of what to do about a complaint.
The flowchart at Annex P shows the complaints handling process at
Step 2
If a customer complains to the Area Manager it might mean there is an issue
that could not be resolved at a lower level, or that the customer also wishes to
claim compensation.
The complaint might be made by telephone, in writing or in person. In all
cases, it is likely that the customer’s frustration or dissatisfaction with the
service they have received has increased. It becomes even more important
that you make every effort to resolve the complaint as
quickly as possible.
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Response Targets
If we can resolve a complaint straight away our aim is to do so
If we cannot do so, the Area Manager will try to resolve it and respond
within 10 working days of receipt;
The 10 day target time runs from the date a complaint is received at a
Tribunals Service office. The target time includes any time taken to
transfer a piece of correspondence internally between the tribunal and
the Area Manager’s office.
We must keep customers informed of the progress of their complaint. If
it becomes clear that there will be a delay in replying to the customer, write to
the customer immediately and say that there will be a delay. The holding
letter template at Annex G should be used as a guideline.
Telephone/Minicom or Counter
If a customer complains in person, by telephone or Minicom, follow the
standards and principles set out in Annex A and B of this procedure and take
the necessary action there and then to resolve the situation. Remember to
collect a record of all complaints and enter them onto the DCAFé system.
E-mail or letter/fax
If a complaint cannot be resolved straight away and needs a written reply,
follow the guidance in Annex C.
Claims for Compensation
Claims for compensation should be dealt with under the current procedure in
place for your Tribunal.
Legal advice
There may be occasions when it is clear that legal advice is required. This
might be because a customer has been denied a reasonable adjustment
under the Disability Discrimination Act, or cites a breach of Human Rights.
16
You may find that you have a complaint on a novel or controversial topic that
needs careful handling. Ask the CSU
if you are unsure what to do.
Correspondence from MPs and Peers
Some customers write directly to their MP, MSP, MEP, Member of the House
of Lords or a Member of the Welsh or Scottish Assemblies. You might also
occasionally receive correspondence from the Mayor of London or a Member
of the Greater London Authority, or other similar body.
The Area Manager who receives such a letter from the Member of
Parliament should reply to the letter direct.
Remember that further guidance can be obtained from the CSU if you are
unsure of what to do.
Complaint file
Obtaining accurate information is essential to the investigation of a complaint.
Remember, your file can be copied to other offices, including the Ombudsman
and so will need to be as complete as possible.
You must:
Provide the tribunal member of staff with a clear complaint file request,
outlining all the issues you need answered and a
target date for reply.
That target date should be set at least 3 working days ahead of the
request and should give you sufficient time to consider the report, liaise
with the tribunal member of staff on any issue and still reply within the
target period
The complaint file must contain an up to date chronology of events
Obtain the comments of the tribunal member of staff on the issues of
complaint raised by the customer and whether they are justified
Obtain documentation in support of the report. If an order, judgment,
decision or a list is referred to or central to the issue, a copy of that order
or list must be obtained.
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Communication is key. You must provide clear report requests to the
tribunal but you must also ensure that the appropriate information is obtained
and within a reasonable time. Speak to the tribunal member of staff as
necessary about the progress of the report.
Be objective in all your replies to complaints. It is better to accept
responsibility for poor service, where justified, than defend our position on
weak grounds only to be overturned later at a more senior level.
Remember that the customer is expecting a reply by the target date. If
there is a delay in replying, keep the customer informed. In addition, any
delay in providing a report or replying to a complaint above the target time will
be reflected in the tribunal’s performance.
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2.3 Step 3 - Chief Executive
Quick Guide
The Customer Feedback Team (CSU) will immediately send any
complaints received by the Chief Executive to the relevant Area
Manager for a draft response
The Area Manager should supply the draft to the Customer Feedback
Team
within 5 working days.
The Area Manager must inform the Customer Feedback Team if it is
not possible to meet the deadline for the draft.
Follow the standards and principles set out in this procedure when
dealing with all types of complaint
All claims for compensation should be dealt with under your current
procedure.
Refer to complaint file
The Customer Feedback Team will ensure all complaints at Step 3
are recorded on the Customer Analysis and Feedback System,
DCAFé
The Customer Feedback Team will ensure that all relevant parties
are copied into the final response
Consult the CSU if you are unsure of what to do about a complaint.
The flowchart at Annex Q shows the complaints handling process at
Step 3
If a customer complains to the Chief Executive it might mean there is an issue
that could not be resolved at a lower level, or that the customer also wishes to
claim compensation.
It is likely that the customer’s frustration or dissatisfaction with the service they
have received has increased. It becomes even more important that every
effort is made to resolve the complaint as
quickly as possible.
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Response Targets
The Chief Executive’s office aim to send the Customer Feedback Team
the complaint immediately
The Customer Feedback Team will issue the complaint to the relevant
Area Manager or Registrar immediately, requesting a draft response
Customer Feedback Team requires the Area Manager’s/Registrar draft
within 5 working days from the date the complaint is received.
Customer Feedback Team will quality check the draft. If they require
any clarification they will contact the Area Manager/Registrar
immediately.
Customer Feedback Team aim to send the completed draft to the Chief
Executive’s office within 4 working days of receiving the draft response
from the Area Manager/Registrar.
We must keep customers informed of the progress of their
complaint - If it becomes clear it will not be possible to provide the
Customer Feedback Team with the draft within 5 working days the
Area Manager/Registrar should contact them immediately with a draft
holding letter to send to the customer explaining why a response
cannot be given within the time limit. The holding letter template at
Annex G should be used as a guideline.
The 10 day target time runs from the date a complaint is received at a
Tribunals Service office. The target time includes any time taken to
transfer a piece of correspondence internally between the tribunal and
the Chief Executive’s office.
If it becomes clear that there will be a delay in replying to the customer,
construct a holding letter using the template at Annex G and forward this to
the Customer Feedback Team
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Claims for Compensation
Claims for compensation should be dealt with under the current procedure in
place for your Tribunal.
Legal advice
There may be occasions when it is clear that legal advice is required. This
might be because a customer has been denied a reasonable adjustment
under the Disability Discrimination Act, or cites a breach of Human Rights.
You may find that you have a complaint on a novel or controversial topic that
needs careful handling. Ask the CSU
if you are unsure what to do.
Complaint File
Obtaining accurate information is essential to the investigation of a complaint.
Remember, your file can be copied to other offices, including the Ombudsman
and so will need to be as complete as possible.
You must:
Provide the Customer Feedback Team with a complete file and a
summary report outlining all the issues you have identified
Provide an up to date chronology of events
Include your comments on the issues of complaint raised by the customer
and whether they are justified
Include documentation in support of the report. If an order, judgment,
decision or a list is referred to or central to the issue, a copy of that order
or list must be included
Communication is key. You must provide a comprehensive and up to date
complaint file with a clear summary report to the Customer Feedback Team.
Be objective in all your reports and draft replies to complaints. It is
better to accept responsibility for poor service, where justified, than defend
our position on weak grounds only to be overturned later at a more senior
level.
21
Remember that the Customer Feedback Team is expecting the draft
reply by the target date. If there is a delay in replying, keep the Customer
Feedback Team informed. In addition, any delay in providing the file or draft
replies to a complaint above the target time will be reflected in the
performance of the Tribunal Service.
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Annex A – Handling Complaints in Person
Be polite and professional in your approach
Speak clearly, in a polite, professional and helpful manner
Accept responsibility for dealing with the customer's concerns - if you are
unable to deal with the matter personally - find someone who can
Empathise - don’t become defensive, even if you disagree with what is
being said
Apologise – especially if we have made a mistake, but even if we are not at
fault, you can say that you are sorry that the customer is unhappy with the
service they have received
Don't keep the customer waiting unnecessarily
- If you need to leave the
customer for any reason, explain what you are doing and why
Consider whether it would be appropriate to hand the customer the leaflet ‘A
positive step forward – your guide to giving feedback’
Establish the facts and clarify your understanding
Listen carefully to what the customer is saying
Focus on the key points by asking appropriate questions
Summarise - to confirm that you have heard and understood and to give the
customer the opportunity to clarify
Take notes of the points raised, the customer's name, case reference and
contact telephone number/address
Decide whether you have the skills and information to deal with the
matter effectively
If you are unsure, seek help from a manager or more experienced colleague
Never attempt to deal with a complaint about yourself
Don't take the risk of giving information that could be inaccurate - ask the
customer to wait and check it out
Note - All enquiries from the press must
be directed to the Press Officer in
Communications Unit
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If you need to refer the complaint to a colleague or manager
Explain who this will be and what their role is
Pass all the details on to the person taking over, so that the customer does not
need to repeat them
If you can resolve the complaint straightaway - Do so!
Thank the customer for bringing the matter to your attention
Tell them what you intend to do to prevent the same thing from happening
again
Keep your promises
If you can't resolve the complaint straightaway - Explain why!
Agree with the customer what action you will take and when
Tell them when you expect to be able to provide a full response
If someone else will contact them, tell them who this will be and what their role
is
Summarise what has been agreed
Take appropriate follow up action
Carry out any action that has been agreed
Record the complaint - complete a complaint recording sheet/ DCAFé log
sheet
Pass the record of the complaint to your manager/ complaints officer for
recording on DCAFé log sheet
24
Handling difficult customers face to face
If a customer becomes abusive/ aggressive
The Tribunals Service does not accept that its staff are required to
tolerate abuse from customers and will support you. These guidelines
should be followed
Remain calm - don't enter into an argument
Be polite but firm
Warn them that you cannot help them if they continue in that manner
If they continue to be abusive / aggressive, and / or you are finding it
difficult to deal with the situation ask a manager or more senior officer
to help, it may also be necessary to call security
Tell the customer what is happening
Pass on the details of the complaint to the person taking over and tell them
about the nature of the abuse
Afterwards
Take deep breaths and sit quietly for a moment
Remember -
Even though it may feel like it at times, abusive customers are
not usually attacking you personally.
- You have not failed if you can't help someone in these circumstances
Record all the details, including the nature of the abuse, on the Complaints
Recording Sheet/ DCAFé log sheet whilst it is fresh in your mind
It may be useful to retain a copy or make a note on the file for future
reference.
Tell your manager about the customer and the nature of abuse.
Complete a Violence at Work Report Form as detailed in the MoJ Security
Handbook.
25
Annex B – Handling Telephone Complaints
Be polite and professional in your approach
Always introduce yourself, even if the call has been transferred to you.
Provide a greeting e.g.: "Good morning" followed by your name and location or
role
Speak clearly, in a polite, professional and helpful manner
Accept responsibility for dealing with the call - if you have to pass it on to
someone else - make sure the caller gets to speak to the correct person.
Update your colleague on the reason for the call and any case details
Establish and use the caller's name - title and surname
Empathise - don’t become defensive, even if you disagree with what is being
said
Apologise - especially if we have made a mistake, but even if we are not at
fault, you can say that you are sorry that the customer is unhappy with the
service they have received
Don't keep the customer holding on unnecessarily - if you need time to find
information or the person they need to speak to is not immediately available,
offer to call them back and ensure you, or the appropriate person does so at
the earliest opportunity
Establish the facts and clarify your understanding
Listen carefully to what the customer is saying
Focus on the key points by asking appropriate questions
Summarise - to confirm that you have heard and understood and to give the
customer the opportunity to clarify
Take notes of the points raised, the customer's name, case reference and
contact telephone number/ address
26
Decide whether you have the skills and information to deal with the
matter effectively
If you are unsure, seek help from a manager or more experienced colleague
Never attempt to deal with a complaint about yourself
Don't take the risk of giving information that could be inaccurate - ask the
customer to wait and check it out
Note - All enquiries from the press must be directed to the Press Office in
Communications Unit
If you need to refer the call to a colleague or manager
Tell the caller what is happening
Pass all the details on to the person taking over, so that the customer does not
need to repeat them
If you can resolve the complaint straightaway - Do so!
Thank the customer for bringing the matter to your attention
Tell them what you intend to do to prevent the same thing from happening
again
Keep your promises
If you can't resolve the complaint straightaway - Explain why!
Agree with the customer what action you will take and when
Tell them when you expect to be able to provide a full response
If someone else will contact them, tell them who this will be and what their role
is
Summarise what has been agreed
27
Take appropriate follow up action
Carry out any action that has been agreed
Record the complaint - complete a complaint recording sheet
Pass the record of the complaint to your manager/complaints officer
Handling difficult customers on the telephone
If a customer becomes abusive/ aggressive
The Tribunals Service does not accept that its staff are required to tolerate
abuse from customers and will support you if you have to terminate a call.
These guidelines should be followed:
Remain calm - don't enter into an argument - If you need time to gather your
thoughts you could suggest that you will call the customer back once you have
obtained the file.
But make sure you call them back promptly
Be polite but firm
Concentrate on getting to the root of the problem and make it clear that you
are willing to help
Warn them that you will terminate the call by explaining that you cannot help
them while they are speaking to you in that way
If they continue to be abusive/aggressive
Explain that you have listened to what has been said and that you are trying to
assist the caller with their enquiry but that unless they cease being abusive/
aggressive you will be terminating the conversation
Pause before you put the phone down to see if the point you have made has
had any effect
If the caller continues to be abusive, simply hang up
28
Afterwards
Take deep breaths and sit quietly for a moment
Remember - Even though it may feel like it at times, abusive calls are not
normally a personal attack
- You have not failed if you can't help someone in these circumstances
Record all the details of the call and the nature of the abuse whilst it is fresh
in your mind
It may be useful to retain a copy or make a note on the file to assist if the
caller telephones again
Tell your manager about the call and the nature of abuse
Complete a Violence at Work Report Form as detailed in the MoJ Security
Handbook
29
Annex C – Handling Written Complaints
Before you attempt to deal with any written complaint you must bring it to
the immediate attention of your line manager/complaints officer or
customer service officer. They will decide whether the complaint is
straightforward or requires further investigation and who should take
ownership/responsibility for dealing with it.
All complaints including the ‘First Contact’ must be recorded on the DCAFé
Log. The Customer Feedback Team will record complaints at Steps 3.
A chronology of events surrounding the complaint should be produced when
appropriate, which must be open and honest about what has happened. (You
may be asked to contribute to this report)
Claims for compensation should be dealt with under the procedure currently
used in your Tribunal.
Written responses should be given
where the complaint is complex and
requires investigation.
If the complaint is straightforward and can easily be resolved by
telephoning the customer - consider doing so. Ensure the customer is
satisfied that this has resolved the complaint
Note:
do not send the report or recommendation directly to the customer.
If the complaint needs to be forwarded to another office or department for
a response, do so by scanning the document and emailing it, or send a
copy by fax. It is recommended that Annex M is used to forward
correspondence to other departments.
30
Drafting your written response
Read the complaint thoroughly and ensure you understand fully what is being
complained about.
Put yourself in the customer’s position
Investigate the issues and decide what can be done to resolve the matter -
see the full Complaints Handling Guide. If you are unsure - seek further
advice from Customer Strategy Unit
All letters must be
typewritten and formatted in Arial font size 12
Quote any references and case details
Break down the
issues - make sure you
deal with them all in full
Use plain English - don't use jargon and abbreviations –
consider the
customer
Always apologise, especially if we have made a mistake, but even if you
don't uphold the complaint, you can say you are sorry that they are unhappy
with the service they have received
Use your words carefully - the customer must be satisfied that you have
considered all of the facts and fairly interpreted the complaint
Adopt the right tone and sensitivity - for instance, if there are family issues or
a bereavement
Don't admit
legal liability - never say that we are
responsible or that we are
at fault - these words could indicate an admission of legal liability, which could
seriously compromise the Tribunals Service position. Head all letters ‘Without
prejudice’
Make sure your reply is
factually accurate and fair
Check your spelling and grammar
Take appropriate follow up action
Keep your promises - carry out any action that has been agreed
Circulate information to avoid any repetition
31
Annex D – Admission of Liability
An admission of liability can seriously compromise the legal position of the
Tribunals Service. Letters from the Tribunals Service to customers should not
accept liability and all letters should be headed ‘without prejudice’.
It is important to understand that there is a vital distinction between:
Admitting legal liability to pay damages and
Not admitting liability but accepting an error was made and offering
to make a voluntary (or ex gratia) payment in compensation for
maladministration
Admitting
liability will have the following consequences:
The Tribunals Service will have accepted that it owed the customer
a legal duty not to do what it did (or what it failed to do)
It has to pay compensation on the same basis that a tribunal would
fix the damages
It creates an unwelcome legal precedent which may make later
similar claims for more difficult to defend
It denies the Tribunals Service a negotiating position to reduce
compensation on the basis of “risk of litigation” i.e. that if the
customer sued, he might lose altogether
It gives the customer an opportunity to go direct to court solely on
the damages issue if dissatisfied with an offer, rather than resolve
the matter internally, which would significantly add to our costs
If liability is denied, but there is an acceptance of error with an offer of a
voluntary payment, it follows that:
Compensation is based on Treasury guidelines which are more
confined than court awards
32
If a similar error occurs, The Tribunals Service is free to consider
the new case afresh without being bound by the earlier admission
of liability which might have been based on different facts
A dissatisfied customer would have to prove both liability and
quantum in a civil claim with all the risks that carries
It follows that if customers or their solicitors ask the Tribunals Service
to admit liability, you should:
refuse to admit liability and refuse the claim, or
refuse to admit liability but say the Tribunals Service would
investigate if it was a case for an ex gratia or voluntary payment, or
refuse to admit liability but accept an error took place for which the
Tribunals Service will make an ex gratia or voluntary payment
refer the matter for advice to the Customer Strategy Unit.
Never accept liability, even if pressed to do so, but respond to customers or
their solicitors along the lines above.
33
Annex E - Recommended Acknowledgment
Dear [
insert name of complainant]
Thank you for your letter of [
insert date and month] about your [
insert the type
of appeal].
The matters you have raised are being investigated and you shall receive a
reply in due course.
Should you require further information do not hesitate to contact me on
[
insert contact number].
Yours sincerely,
34
Annex F – Recommended Acknowledgement to MP
Dear [
insert name of MP]
Thank you for your letter of [
insert date and month] about your constituent
[
insert name and address] and his/her [
type of appeal/complaint].
The matters you have raised are being investigated and you shall receive a
reply in due course.
Should you require further information do not hesitate to contact me on
[
insert contact number].
Yours sincerely,
35
Annex G – Recommended Holding letter
Dear [
name of complainant]
Thank you for your letter of [
insert date and month] about your [
insert type of
appeal/ subject].
I am sorry that we have not been able to provide a full response. Our
investigations into the issues you raise are not yet complete [
insert reason it is
not possible to reply at this time]. I apologise for the delay, we hope to be in a
position to provide you with a full response within the next 5 working days.
Yours sincerely,
36
Annex H – Recommended Holding letter to MP
Dear [
name of MP]
Thank you for your letter of [
insert date and month] about your constituent
[
insert name and address and type of appeal/ subject].
I am sorry for the delay responding to your letter. My investigation of the
issues raised by your [
insert name of constituent] is taking longer than
expected [
insert reason it is not possible to reply at this time].
I will reply to you in full as soon as possible by [
insert date or within the next 5
working days if appropriate]
Yours sincerely,
37
Escalation paragraphs
Annex I - First Contact escalating to Step 1
Dear [
name of complainant]
Thank you for your letter/telephone call of [
insert date and month] about your
[
insert type of appeal/complaint].
[
Reply to the issues raised and escalation referral to Step 1]
If you do not consider that my reply has satisfactorily dealt with your
complaint, you can write to the Tribunal Manager [
insert name and address].
Please let [
name of Tribunal Manager] know why you are dissatisfied with the
reply that I have given you.
Yours sincerely,
38
Annex J - Step 1 escalating to Step 2
Dear [
name of complainant]
Thank you for your letter of [
insert date and month] about your [
insert type of
appeal/complaint].
[
Reply to the issues raised and escalation referral to Step 2]
If you do not consider that my reply has satisfactorily dealt with your
complaint, you can write to the Area Manager [
insert name and address].
Please let [
name of Area Manager] know why you are dissatisfied with the
reply that I have given you.
Yours sincerely,
39
Annex K - Step 2 escalating to Step 3
Dear [
name of complainant]
Thank you for your letter of [
insert date and month] about your [
insert type of
appeal/complaint].
[
Reply to the issues raised and escalation referral to Step 3]
If you do not consider that my reply has satisfactorily dealt with your
complaint, you can write to Jeanne Spinks, Acting Chief Executive of the
Tribunals Service, 5th Floor, Victory House, 30-34 Kingsway, London, WC2B
6EX. Please let Ms Spinks know why you are dissatisfied with the reply that I
have given you.
Yours sincerely,
40
Annex L - Step 3 escalating to Ombudsman (NB: this Annex
will only be used by the Customer Feedback Team)
Dear [
name of complainant]
Thank you for your letter of [
insert date and month] about your [
insert type of
appeal/complaint].
[
Reply to the issues raised and escalation referral to Ombudsman]
If you do not consider that my reply has satisfactorily dealt with your
complaint, you can ask your Member of Parliament to refer your case to the
Parliamentary Commissioner for Administration (the Parliamentary
Ombudsman) Ann Abraham, (Millbank Tower, Millbank, London SW19 4QP.
Yours sincerely,
41
Annex M – Recommended letter referring complaint to
another agency
Dear [
insert name of appellant]
Thank you for your letter of [
insert date and month] about [
insert as
appropriate].
Tribunal Service offices can only deal with [
insert relevant information]
I am unable to comment on the matters you refer to as they concern [
insert
name of government dept etc], which is wholly separate from the Tribunals
Service.
I have forwarded your letter and enclosures to [
insert name if possible,
address of First Tier Agency] to consider the issues you have raised.
I am sorry I cannot be of further help
Yours sincerely,
42
Annex N – Complaints Handling Process – First Contact
Complaints Handling Process – First
Contact
Complaint received
(A complaint is any expression
of dissatisfaction that
Judicial
Complaining
requires a response)
about a
judicial
Administrative
decision?
Can it be
dealt with
quickly?
Refer to judicial
No - can we
officer
respond
for advice
within
or explain
Yes
10 day target
further rights
Consider resolving
of appeal
with telephone call
Yes
Complaint
about
Acknowledge
Judicial
Unable to respond
(use template in
conduct?
in target
guidance appendices and
Acknowledge and
Issue ‘A Positive step
Issue ‘A Positive step
forward’ leaflet
forward’ leaflet
Refer to
and indicate when reply
Regional Chairman
will be sent
or Investigating
and reasons for delay
judicial
(use template in
office holder
guidance appendices)
Log on DCAFé
Investigate
•
Resolution
Consider whether
•
Remedy
compensation
•
Apology
Is appropriate
•
Explanation
•
What we will do
•
Tell customer of change to local/national procedure
•
Assurance e.g. staff training instruction
Yes
•
Action taken
Refer to guidance
•
Contact
Sign off by
signposting to
next step
In procedure
(use template in
guidance appendices)
43
Annex O – Complaints Handling Process – Step 1
Complaints Handling Process - Step 1
Complaint received
(A complaint is any expression
of dissatisfaction that
Judicial
Complaining
requires a response)
about a
judicial
Administrative
decision?
Can it be
dealt with
quickly?
Refer to judicial
No - can we
officer
respond
for advice
within
or explain
Yes
10 day target
further rights
Consider resolving
of appeal
with telephone call
Yes
Complaint
about
Acknowledge
Unable to respond
Judicial
(use template in
in target
conduct?
guidance appendices and
Acknowledge and
Issue ‘A Positive step
Issue ‘A Positive step
forward’ leaflet
forward’ leaflet
Refer to
and indicate when reply
Regional Chairman
will be sent
or Investigating
and reasons for delay
judicial
(use template in
Log on DCAFé
office holder
guidance appendices)
Open complaints file
(see guidance)
Investigate
•
Resolution
Consider whether
•
Remedy
compensation
•
Apology
Is appropriate
•
Explanation
•
What we will do
•
Tell customer of change to local/national procedure
•
Assurance e.g. staff training instruction
Yes
•
Action taken
Refer to guidance
•
Contact
Sign off by
signposting to
next step
In procedure
(use template in
guidance appendices)
44
Annex P – Complaints Handling Process – Step 2
Complaints Handling Process – Step 2
Step 2 complaint received by
Judicial
Area Manager
Complaining
about a
judicial decision?
Area Manager to open complaint file and log
on DCAFé. Area Manager will review
complaint dealt with at First Contact & Step 1
Refer to Judicial
Officer
Can the complaint be answered within the
for advice
10 day target
or explain
further rights
of appeal
Complaint
Yes
about
Judicial
•
Investigate
No
conduct?
•
Apology
•
Explanation
Unable to respond in
•
Redress
target
Refer to
•
Tell customer of change to
Acknowledge and
Regional
local/national procedure
indicate when reply
Chairman
•
Assurance e.g. staff training
will be sent
or Investigating
instruction
and reasons for
Judicial
•
Learn from complaint
delay
Office Holder
•
Consider whether compensation
(use template in
is appropriate (refer to guidance
Guidance)
for further information)
Log on DCAFé
(automatically
marked as
“Forwarded” by
DCAFé)
Reply to the complaint & use
template in guidance signposting
complainant to Step 3 if they are still
dissatisfied with the response
Update DCAFé log with the
Final reply date and complete
any other columns
45
Annex Q – Complaints Handling Process – Step 3
Complaints Handling Process – Step 3 (Chief Executive)
Complaint received by
Chief Executive and
Adapt standard
Sent to Customer
template
Feedback Team (CFT)
In Annex of guidance
For dept and forward
Inform appellant
CFT
Not Step 3
Step 3
contact office
Other department
dealing with
Establish
appeal to establish
where for
whether
CFT acknowledge
Step 3
and
register on DCAFé
TS
Acknowledge with template
In guidance Annexes to
explain
CFT
complaints stepped
forward complaint
procedure and that letter
to Relevant
forwarded.
Area Manager
Area Manager (AM) reopens
complaint file and reviews
Drafts response and
Forward to appropriate
send to CFT
contact in area to reply
with complaint file
within 5 working days
CFT review complaint and
AM’s draft
CFT will return to AM
if clarification needed
CFT send draft to
Chief Executive
5 working days
CFT issue final response
Update DCAFé log with the
Chief Executive’s office
to RD, AM and Tribunal
Final reply date and complete
Send CFT copy of final
Manager
any other columns
draft
46
Annex R
CSU Organisational Chart
47
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