Valuing Complaints Principles of Good Complaint Management

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Valuing ComplaintsPrinciples of Good Complaint
Management

• QAA Conference
• 18 September 2007
• Sarah E.M Bogunovic,
• Outreach Officer

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Overview

• Background the SPSO
• Further / higher education remit
• Valuing Complaints initiative
• Learning from complaints
• Questions

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Scottish Public Services Ombudsman Act 2002

• One Stop Shop
• bringing together
• Local Government Ombudsman for Scotland
• Parliamentary and Health Service Ombudsmen for
  Scotland
• Housing Association Ombudsman for Scotland
• new areas (mental health, Enterprise bodies)
• 3 October 2005 - Further and Higher Education
  (Scotland) Act 2005 extended SPSO remit to
  include FE / HE institutions

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The bodies under our jurisdiction

• Further and Higher Education Institutions
• Local Authorities
• National Health Service
• Parliamentary Corporation
• Scottish Government departments, agencies,
  NDPBs
• Scottish Public and Cross-Border Authorities
• Registered Social Landlords

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SPSO Main Functions

• Handle unresolved complaints
• - when a member of the public claims to have
  suffered injustice or hardship as a result of
  maladministration or service failure
• Increase public awareness of the role of the SPSO
• Promote good administrative practice
• - good complaint handling
• Contribute to improvement in the delivery of
  public services

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We cannot normally investigate complaints

• that have not been through the bodys own process
• if it is more than 12 months since the aggrieved
  person found out about the matter
• when there is a right of appeal through e.g.
  tribunals or the courts

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Complaints from (not just!) Students

• Can look at-
• Student Contract
• Admissions
• Welfare
• Supervision
• Discipline
• Human rights/Discrimination
• Support for students with particular needs
• Academic judgement appeals process
• Cant look at-
• academic judgement
• personnel matters
• contracts and other commercial transactions
• the Open University in Scotland
• the merits of a discretionary decision taken
  without maladministration

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Example - Higher Education Complaints 2006/07
(received by subject)
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Valuing Complaints Why?

• Experience across public sector in Scotland -
  issues with general complaint handling (attitude
  and approach as well as processes)
• Give support and guidance to public bodies
• Share best practice in complaint handling across
  the public sector not just in Scotland!
• High number of premature complaints to SPSO
• Use complaints to drive improvement in the
  delivery of public services
• To be clearer with public bodies about the
  standards of complaint handling the SPSO expects

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What do people want when things go wrong?

• 34 want an apology or explanation
• 23 want an enquiry into the causes
• 16 want support in coping with the consequences
• 11 want financial compensation
• (Data from MORI Survey commissioned by the
  Department of Health in
• England, 2001)

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Why do complaints escalate?

• Poor communication
• Over complicated complaints processes
• Poor customer / service user focus
• Lack of empowerment of front-line staff
• Defensive attitudes

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Attitude to complaints version 1
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Attitude to complaints version 2

• Complaints are jewels to be treasured

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So..

• Establish right systems and processes
• and..
• right attitudes, behaviour, approach and
  culture (equally important)

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Valuing Complaints

• A complaint is the expression of
  dissatisfaction with an organisations
  procedures, charges, employees, agents or quality
  of service. Complaints should be valued. Having
  an effective process for managing complaints not
  only benefits the complainant, it can have real
  benefits for the organisation..
• Professor Alice Brown, Scottish Public
  Services Ombudsman

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Valuing Complaints
Unique website www.valuingcomplaints.org.uk
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What is Good Complaint Management?

• An organised and effective way of receiving,
  responding to, remedying, recording and using
  complaints to improve administrative actions and
  service provision.
• A public service organisation needs good
  complaint management in order to
• Effectively deal with and resolve an individual
  complaint and
• Use the learning from the complaint to make
  improvements.

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An Effective Complaint System Will...

• Create a second chance to provide service and
  satisfaction to dissatisfied customers / service
  users
• Identify areas that need improvement (through
  proper recording and reporting measures,
  identifying underlying causes, trends etc)
• Provide opportunities to strengthen public
  support for an organisation and,
• Assist in the planning and allocation of
  resources
• A complaint handling system can also act as an
  extra satisfaction measurement tool it gives
  free market research

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Valuing Complaints - Process Design

• Informal Resolution
• Trained and empowered front line staff
• Empathy / freedom to apologise
• Formal Internal Investigation
• Trained and empowered investigative staff
• An impartial and transparent process
• Flexible / proportionate
• Clear lines of accountability and authority
• Appeal
• Transparent and independent review
• Referral to SPSO or other independent adjudicator
• Statutory duty to inform complainant
• Clear and published entitlement

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Key Points in Stages 1 to 3

• The body to resolve and provide redress
• Complaint recorded and used to drive improvement

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Process Characteristics Attitude as well as
approach
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Guidance
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Learning from Complaints

• Monitor and analyse complaints
• Include locally resolved complaints complaints
  that escalate through the system and complaints
  going to the Ombudsman
• Report trends to senior management (standing
  agenda items for Board meetings)
• Share learning with staff across departments
• Identify common themes / issues
• Use feedback from complaints to improve services
• Demonstrate publicly how complaints have helped
  to improve policy, procedures and services

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End quote

• When complaints are freely heard, deeply
  considered and speedily reformed, then is the
  utmost bound of civil liberty attained that wise
  men (sic) look for
• John Milton Areopagitica, 1644

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• Discussion and Questions

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• 4 Melville Street
• EDINBURGH
• EH3 7NS
• Phone [phone]
• Email ask_at_spso.org.uk
• Website http//www.spso.org.uk