Responding to
Customer Complaints,
Comments and Compliments
Corporate Policy Document
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Responding to Complaints, Comments and Compliments
Contents
Page
1. Introduction
3
2. Complaints, comments and compliments – definitions
3
2.1 Complaint
3
2.2 Comment
3
2.3 Compliment
4
3. Complaints process
4
4. How we are organised
6
4.1 Resolving complaints crossing more than one service provider or authority
6
5. Reporting and acting on complaints, comments and compliments
7
6. Unreasonable and vexatious complaints
7
7. Anonymous complaints and comments
8
8. Confidentiality
8
9. Scope
8
10. Exceptions
9
11. Role Descriptions
9
11.1 Corporate Complaints and Compliments Manager 10
11.2 Directorate Complaints and Compliments Manager 11
11.3 Service Area Complaints and Compliments Officer 12
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Responding to Complaints, Comments and Compliments
1. Introduction
Essex County Council (ECC) is committed to “Putting our customers first” by improving
the quality of our services and our customers’ experience of them.
We welcome our customers’ views. Complaints, comments and compliments are
important to us in providing insight into what we are doing well and where we may
need to focus improvements. We record this feedback, regularly monitoring what our
customers tell us, and using the information within our planning processes to help us
shape services that support our customers. We also seek to manage and respond to
customer feedback in a consistent and professional manner.
This document sets out how ECC manages and responds to complaints, comments
and compliments.
2. Complaints, comments and compliments - definitions
2.1 Complaint
A
complaint is a criticism or a direct expression of dissatisfaction. A complaint may
be about the standard of service, actions or lack of actions by ECC, its staff or
contractors, affecting an individual or group of customers.
Example:
I have reported to your highways department that road surfaces within the Basildon
area have a number of pot holes which are likely to cause an accident. To date
nothing has been done. Can I enquire why?
2.2 Comment
A
comment can be described as a personal opinion or belief, feedback or remark
expressed by a customer. Unless specifically requested, there is not an automatic
assumption that ECC will reply to comments. However, where it is felt appropriate or
where the customer indicates they expect a reply, this should be sent within 10
working days.
Example:
I am concerned at the proposed plans for installing an electronic system for
borrowing books into Essex Libraries. Whilst this will no doubt speed the process for
some, I wonder how those who do not cope with new systems will manage.
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Responding to Complaints, Comments and Compliments
2.3 Compliment
A
compliment is defined as a customer statement of positive recognition or praise
for a service or individual.
Example:
I am writing to thank you for the excellent care provided to my mother following her
fall last week. The speed of the response and exemplary care have been a great
help during a very difficult and worrying time for our family.
3. Complaints process
The complaints process follows three key stages, the first of which is informal. The
second and third stages are for complaints which are classed as formal. These stages
require more senior management involvement in investigation and recording
procedures.
In all circumstances when a customer complains, we will show genuine regret that
they have felt it necessary to complain. We will be courteous, honest, helpful and
open. Where necessary, we will provide support to our customers in helping them to
make their complaint effectively. We will provide support to our staff to enable them to
deal with complaints in a sensitive, professional and constructive manner.
Stage 1 - Informal
Most complaints can be resolved quickly and amicably by our front line staff.
Wherever possible, we aim to resolve the complaint close to the original point of
customer contact, usually, but not always, by the person or team already dealing with
the customer. Where this is the case, the complaints are treated as informal and not
recorded.
We aim to resolve the complaint close to the original point of customer
Stage
contact, as quickly and amicably as possible.
1
If the complaint is resolved immediately no recording or response is required. This will be
reviewed annually.
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Responding to Complaints, Comments and Compliments
Stage 2 and 3 - Formal
Formal complaints will always be recorded by nominated complaints and
compliments staff on the corporate complaints recording system.
A complaint will enter the formal stage if the complainant advises that they either:
•
are not satisfied with the result at the informal stage; or
•
wish to make a formal complaint (they can do this without going through the
informal stage).
All complaints will be acknowledged within three working days from the date of
receipt for letters and within 24 hours for all other forms of communication. At the
point of acknowledgement, customers will be provided with a contact name and
number, details of our procedure (timescales) and a complaint reference number.
Stage
The complaint will be investigated by a manager within the service.
2
Following the investigation a response will be sent to the customer in writing within 10
working days from the receipt of the formal complaint. (Unless the complaint is governed
by statutory legislation, see page 8, and is of sufficient complexity to warrant an alternative
timescale. In these circumstances, the customer will always be advised when they can
expect a response.) In the response to the complaint the customer will also be advised of
their right to appeal to Stage 3.
If the complainant advises that they are not satisfied with the result at Stage 2 the
complaint will be escalated to Stage 3. At this stage the customer must submit the
complaint in writing.
The complaint will be investigated by a senior manager (with delegated
Stage
powers) or a head of service or director or our Information
3
Appeals Panel if the complaint relates to Data Protection,
Freedom of Information or other information legislation.
Following the investigation a response will be sent to the customer in writing within 20
working days from the receipt of the Stage 3 complaint. (Unless the complaint is governed
by statutory legislation, see page 8, and is of sufficient complexity to warrant an alternative
timescale. In these circumstances the customer will always be advised when they can
expect a response). The customer will also be advised of their right to take the matter to
the Local Government Ombudsman, or Information Commissioner (for complaints relating
to the Data Protection Act, Freedom of Information Act or Environmental Information
Regulations), or to the Office of Public Sector Information (for complaints relating to the
Re-use of Public Sector Information Regulations), should they remain dissatisfied.
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Responding to Complaints, Comments and Compliments
4. How we are organised
The Corporate Customer Service Development Team are responsible for oversight of
ECC’s Complaints, Comments and Compliments Policy, recording and reporting of
customer feedback, and managing overall quality monitoring. The team also collate
cross organisational reports for the Strategic Management Board.
Each directorate has nominated complaints and compliments staff who are
responsible for managing the process within their area. This will include co-ordinating
responses, ensuring appropriate recording and reporting systems, and preparing any
necessary responses for Law and Administration on complaints that have been
escalated beyond Stage 3 to the Local Government Ombudsman. In the Adults,
Health & Community Wellbeing and Schools, Children & Families services the
Complaints and Compliments Manager will also fulfil statutory responsibilities.
More detail on the roles and responsibilities of these staff is outlined at section 11.
4.1 Resolving complaints crossing more than one service provider or authority
a
Complaints requiring the co-operation of more than one directorate or authority to
manage their resolution will be treated as one complaint.
b
The Complaints and Compliments Officers for the two or more directorates or
authorities involved will agree who is responsible for monitoring and communicating a
joined-up response to the customer covering all aspects of the complaint resolution
and meeting the customer standards.
c
Where a third party supplies services on our behalf, the supplier will deal with
complaints through its own complaints procedure. The supplier is required to ensure
that the complaint is thoroughly investigated and a copy of the resolution or outcome
of the complaint, together with any correspondence, is forwarded to the complainant
and ECC. The supplier should also advise the complainant that, if they are not
satisfied, they may also complain directly to ECC.
d
If a complaint relates to another authority or a public body, such as the NHS, the
complaint will be recorded and forwarded on to the relevant contact and the customer
informed of the action.
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Responding to Complaints, Comments and Compliments
5. Reporting and acting on complaints, comments and compliments
Quarterly reports are made to the Strategic Management Board in order to inform the
planning and delivery of new and existing services that support our customers.
These reports include quantitative data (volumes of new complaints, status of
complaints at each stage, compliance with customer standards, etc.).
Qualitative feedback will also be gathered by the Corporate Customer Services
Development Team via a rolling survey of closed complaints. Feedback from recent
complainants on the speed and style of ECC’s response will be gathered and reported.
The Complaints, Comments and Compliments Policy will be reviewed on an annual
basis or when statutory requirements change to ensure its ongoing relevance.
6. Unreasonable and vexatious complaints
There may be circumstances when a complainant persists in pursuing a complaint (or
series of complaints) when ECC has taken all reasonable actions in response, or
where another recognised process should be (or has been) undertaken.
In such cases, Complaints and Compliments Officers will prepare a written briefing for
the relevant director. This report will summarise the history of the complainant’s
contact with the Authority and will also make a recommendation for action by the
director which may include:
• informing the complainant that no further action can by taken by the Authority in
response to their complaints and advising them that only new or substantive issues
will receive a further response;
• nominating a single point of contact for any future communication.
Violent or abusive behaviour towards our staff will not be tolerated. Please refer to the
Authority’s policies and reporting guides relating to health and safety and violence at
work for more information.
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Responding to Complaints, Comments and Compliments
7. Anonymous complaints and comments
Complaints and compliments staff will review anonymous complaints and comments.
Where these relate to individuals or issues of significant service delivery, these staff
will decide whether to log and investigate the complaint in line with the general policy.
Any complaint or comment that relates to vulnerable people or those who might be at
risk will be investigated and acted upon immediately.
Please also refer to the Authority’s whistle blowing policy.
8. Confidentiality
ECC will maintain the confidentiality of all personal customer information, and not
disclose it outside ECC without the permission of the customer, unless legally obliged
to do so.
9. Scope
This policy applies to all services within ECC.
It should also be noted that there are special circumstances where ECC has a duty to
follow statutory regulations and these are listed below (please refer to the appropriate
policy and guidance documents):
9.1 Children and Young People - The Children Act 1989 and 2004
A statutory duty falls under this Act requiring that we operate a three-stage procedure
when dealing with representations from or on behalf of service users who are children
or young people. This applies to complaints, comments and compliments about a
wide but specific range of children’s social care functions.
In addition, statutory processes are in place to deal with appeals for the following:
• school admissions;
• exclusions; and
• special educational needs.
Complaints relating to school admission appeals and exclusion appeals go direct to
the Local Government Ombudsman, whilst complaints relating to special educational
needs fall within the scope of this policy.
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Responding to Complaints, Comments and Compliments
9.2 Social Care Services - Health and Social Care (Community Health and
Standards) Act 2003
The Local Authority Social Services Complaints Regulations 2006. (Addendum to
current Social Care Complaints Procedures for adults Dated 1999)
The above provide regulations about how local authorities consider and respond to
complaints relating to the provision of adult social services functions.
10. Exceptions
The following exceptions apply to this policy:
• We are normally unable to investigate complaints relating to issues that are
greater than 12 months old unless they concern the service areas listed in 9.1 and
9.2 above.
• This policy excludes complaints by our suppliers and partners regarding our
business relationships or disputes with other public authorities and bodies, which
are dealt with by other procedures.
• Staff complaints about their employment are covered by Human Resources
grievance and whistle blowing policies.
• ECC has no legal right or duty to deal with concerns and complaints about
schools. The first point of contact for such complaints should be the school
concerned. However, where a customer requires more guidance, it will be
provided by the Communications and Information Team of the Schools, Children &
Families Directorate, which also provides guidance in response to written
concerns and complaints about schools received by ECC.
11. Role Descriptions
The following section describes the tasks that Complaints and Compliments
Managers and Officers need to undertake in order to undertake their roles effectively.
These are not necessarily full time roles; rather the activities should be built into
existing job descriptions as necessary.
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Responding to Complaints, Comments and Compliments
11.1 Corporate Complaints and Compliments Manager
Tasks:
1.
To oversee the Authority’s complaints, comments and compliments management
activity.
2.
To ensure that all complaints, comments and compliments are appropriately
recorded and responded to in line with the Authority’s set procedure, and that trend
and learning points from this are understood and acted on by the organisation.
3.
To ensure that Local Government Ombudsman complaints are appropriately
tracked and monitored within the agreed timescale.
4.
To ensure that all standards relating to the Complaints, Comments and
Compliments Policy are regularly monitored.
5.
To provide advice and consultancy to directorates in relation to the Complaints,
Comments and Compliments Policy.
6.
To maintain the Complaints, Comments and Compliments Policy, ensuring its
ongoing relevance, taking into account internal and external developments, such as
local and national government initiatives and changing customer expectations.
7.
System ownership of the complaints, comments and compliments corporate system
including ensuring new users are added, leavers are deleted and the system is
maintained as required.
8.
Ensuring the provision of regular high quality reports to the Strategic Management
Board as defined in the Complaints, Comments and Compliments Policy in order to
drive improvements in customer services.
- Proactively identifying themes, trends and issues, and action as appropriate.
- Ensuring that customer intelligence is collected, collated and translated into
meaningful information and reported appropriately within Essex County Council
to foster and enable continuous improvement.
9.
Providing consultancy to Directorate Complaints and Compliments Managers on
difficult issues or escalated complaints.
10.
Ensuring that up-to-date contact details of Essex County Council and partner
organisation Complaints and Compliments Officers are maintained.
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Responding to Complaints, Comments and Compliments
11.
Working with partners, where appropriate, to ensure best practice and synergy.
12.
Co-ordinating training and staff development activities for staff and Members.
11.2 Directorate Complaints and Compliments Manager
Tasks:
1.
Ensuring the directorate’s complaints, comments and compliments process meets
the Authority’s corporate requirements and any statutory requirements for that
directorate.
2.
Ensuring complaints, comments and compliments are logged in a timely manner.
3.
Regular monitoring and taking action to ensure high quality response to complaints
within the agreed timescales.
4.
Providing regular and ad hoc reports to the Corporate Complaints and Compliments
Manager.
5. Providing
regular
and ad hoc reports to management as required.
6.
Dealing with complaints escalated by Complaints and Compliments Officers to
management for a final response, including consultation with the Corporate
Complaints and Compliments Manager.
7.
Providing advice to Complaints and Compliments Officers on difficult issues or
escalated complaints.
8.
Local Government Ombudsman Complaints
9.
Lead responsibility for preparing a response on behalf of the directorate and
forwarding to Law and Administration.
10.
Chasing responses to Local Government Ombudsman complaints within the
directorate.
11.
(Law and administration only) Responsible for recording, monitoring, tracking and
signing off Local Government Ombudsman complaints across Essex County
Council.
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Responding to Complaints, Comments and Compliments
11.3 Service Area Complaints and Compliments Officer
Tasks:
1.
Timely and effective day-to-day management of service area complaints, comments
and compliments handling.
2.
Ensuring that complaints, comments and compliments are managed in line with the
Authority’s policy, standards, any statutory requirements for that service and
customer standards.
3.
Ensuring that the customer is kept informed on how their complaint is being dealt
with, who they can contact if they need to, when we will respond to their complaint,
and what right of appeal they have.
4.
Managing a case load of complaints, referring to the appropriate team/unit for
comment and/or advice where appropriate.
5.
Identifying issues and trends, and reporting these in a timely manner to the
Directorate and Corporate Complaints and Compliments Managers.
6.
Ensuring that issues and complex complaints are reported to the Directorate
Complaints and Compliments Manager in a timely manner.
7.
Logging all Stage 2 and 3 complaints and their outcome, comments and compliments
on the Authority’s corporate complaints system in a timely manner.
8.
Identifying service activities that may impact on the stage of complaints, comments
and compliments received by the Authority.
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Document Outline
