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NORTH LANARKSHIRE COUNCIL
REPORT AGENDA ITEM No ........%.....,
Date: 28 February 2008
COMMITTEE
Ref: CE/LJ/AR
Subject: NEW COMPLAINTS, COMMENTS AND COMPLIMENTS POLICY AND PROCEDURE
From: CHIEF EXECUTIVE
1.
1.1
2.
2.1
3.
3.1
3.2
3.3
3.4
Introduction
The purpose of this report is to update committee on the introduction of a new council wide complaints, comments and compliments policy and procedure including details of the new management system and the implementation timetable.
Background
In October 2006, the corporate management team set up a corporate working group to review the handling and management of complaints made to the council with a view to improving the current guidance, practices and systems. They were to produce proposals for a new policy, procedure and the development and implementation of a council wide complaints management system.
Proposals
The working group includes officers from every service and following investigation, consultation and cooperation, the group has produced a new policy and procedure for a council wide complaints system, this was broadened out to also include comment and compliment recording. These proposals have been agreed by the corporate management team and are attached in appendix 1.
A new IT management module is being developed as part of the new customer relationship management software and will enable information on complaints, comments and compliments to be captured council-wide.
The new policy and procedure will be implemented across all council services on 1 April 2008. The customer relationship management system module will be implemented in three phases, with the first phase scheduled for May, the second phase the beginning of July and the final phase in December. Appendix 2 lists the services and the implementation dates.
The development of a training plan, guidance notes and publicity material are underway. Training in the new policy will be carried out under the direction of the corporate training section and IT system training will be undertaken by Lagan (the supplier) using a core group of officers who will then train staff within their services.
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3.5 The introduction of the new procedure will result in clearer guidelines for complainants; quicker timescales to resolve complaints; consistent handling of complaints across all services; and better information to improve council services.
4. Recommendations
4.1 It is recommended that the committee approve the content of this report.
Chief Executive
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Appendix 1 Draft NL complaints, comments and compliments policy 2008
1. INTRODUCTION
North Lanarkshire Council is committed to providing the best services and making sure our service users are satisfied. We want to improve the quality of our services and our service users’ experience of them.
We welcome our residents’ and service users’ views. Complaints, comments and compliments are important to us in providing insight into what we are doing well and where we need to focus improvements. We record this feedback, regularly monitoring what our service users tell us, and using the information within our planning processes to help us shape services that meet their needs.
We have introduced a sensitive, fair, consistent and effective complaints policy and procedure to ensure all feedback received is handled in an efficient manner.
This document sets out how we manage and respond to complaints, comments and corn pl iments.
2. COMPLAINTS, COMMENTS AND COMPLIMENTS RECORDING
The system used to record service user feedback is the Customer Relationship Management (CRM) software known as Frontline.
In the first instance it records information to track complaints and their progress. It records comments and compliments and can produce management information to monitor service performance, highlight areas of service failure, gaps in provision and feed into the processes for identifying areas for service improvement.
Information will be reported to the Corporate Management Team, service committees and used in performance publications.
We are committed to providing high quality services to all. To help us tackle discrimination and promote equal opportunities, we will ask complainants to include in the complaints form their gender, ethnic origin and any disability. We will carry out periodic equality monitoring exercises to assess whether there are any equalities issues behind the issues raised by corn plai nants.
3. COMPLAINTS
3.1 Definition of a complaint
A complaint is a criticism or dissatisfaction about a service. Complaints can also be made about a service as the result of a policy decision.
Example:
“I reported a problem with my door entry system and was told it would be repaired over a week ago, it still hasn’t been repaired.”
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3.2 Who can complain?
Anyone dissatisfied with our services, our actions or lack of actions or someone acting on their behalf, and with their consent, can use the complaints procedure. At stage one, we will accept complaints in person, by telephone, or in writing (by letter, fax or e-mail), however at stage two and three all communication must be in writing. Any staff member may accept complaints and anonymous complaints / comments may be acted upon at our discretion especially where it affects the welfare of vulnerable people.
We encourage our staff to seek to resolve issues at the first stage. We will make sure that we provide contact information for people needing support and we will also give assistance to people who have difficulty with written or spoken English or whose first language is not English and to disabled people who require assistance.
3.3 What type of complaints does the policy deal with?
The policy deals with complaints about our service delivery, the way our staff deliver the services, the policies we develop, or the decisions that we take.
The policy does not deal with complaints about the actions or conduct of councillors. Councillors are required to comply with a Councillors Code of Conduct, details of which are available at http://www.scotland.sov.uk/Publications/2002/04/14492/2559. Complaints that a Councillor has breached the code can be made to the Chief Investigating Officer at the Standards Commission for Scotland, Forsyth House, lnnova Campus, Rosyth KYI 1 2UU.
The policy does not deal with objections or representations as part of a statutory consultative mechanism. Examples include:-
. the ability to object or make representations as part of the planning process; . alcohol and gaming before the licensing board; and . the housing benefits or council tax process to name but a few.
Objections or representations made against any of the Council’s statutory processes will only be deemed a “complaint” if supported by evidence that service standards have not been met. Representations made against a statutory service will follow the appeals process for that service.
3.4 Making a complaint
We aim to make sure that we will deal with complaints as quickly as possible and in a fair, consistent, sensitive and confidential manner.
Service users can complain in the following ways:-
’ in person; by letter; by email; by telephone; . by fax; . completing a complaints form; . completing a web form on www.northlan.aov.uk; or
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by contacting Northline.
We want to resolve complaints as early as possible and the majority of complaints received will be resolved quickly and at the point of service delivery. At this point services will be responsible for investigating their own complaints and where appropriate, recording the details in the Customer Relationship Management system.
Head of Service reviews the decision.
The table below outlines the stages of North Lanarkshire Council’s complaints procedure for non statutory complaints:-
Head of Service
Stage
Stage 1 - Complaint
Stage 2 -Appeal Non-statutory complaints
Stage 3 - Review
Stage 3 - Social Work only
appropriate officer
reviews decision
Acknowledgement - 5 calendar days.
Response - 14 calendar days Acknowledgement - 5 calendar days
Response (interim or final) - 28 calendar days Acknowledgement - 5 calendar days.
Response - 28 calendar days
However, a complaint about Social Work Services reaching this stage would allow the complainant the opportunity to request a Complaints Review Committee which will be convened through the appropriate channels.
Should the Chief Executive receive complaints about services, the Corporate Service Improvement Team will acknowledge the complaint, record the details in the Customer Relationship Management system and send the details of the complaint to the service within the agreed timescales.
3.5 Timescales
Services should, where appropriate, respond to complaints in advance of the maximum response time stated in section 3.4.
In the event that investigations require a longer period of time, the responding officer must contact the complainant outlining the reason for the delay and detailing the expected final response date. All information must be recorded in the Customer Relationship Management system.
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3.6 Complaints about more than one service
When a complaint involves more than one service, the service which is the main focus of the complaint will be responsible for co-ordinating a single response to the complainant. If the complaint is received by the Chief Executive the Corporate Service Improvement Team will identify a lead service to co-ordinate the response.
4. COMPLAINTS PROCEDURE
4.1 Stage One - Complaint
The complaints process follows three key stages. The first stage is the one where most complaints should be resolved. Where possible we aim to resolve the complaint close to the original point of service user contact, quickly and amicably.
The officer responsible for dealing with the complaint should make sure that they respond within the timescales. The Customer Relationship Management system should be updated with the date of the response and any other details it requires. The response must be made in writing within 14 calendar days of receiving the complaint.
Acknowledging a stage one complaint
The officer dealing with the complaint should send an acknowledgement within five calendar days from the date we receive the complaint. The acknowledgement letter should contain a complaint reference number and the actual date that the complainant should receive their response by. A copy of the complaints procedure leaflet should also be included. The Customer Relationship Management system must be updated with the relevant information.
Responding to a stage one complaint
The officer dealing with the complaint should investigate the complaint and send a response within 14 calendar days. This response can be emailed if we have the complainant's email address.
The response should contain:
0 details of the investigation and the outcome - upheld, partially upheld or not upheld;
0 action to be taken (e.g. apology, offer of redress, action undertaken, why the council is unable to assist); and
0 information on stage 2 of the procedure should the complainant not be happy with the decision and the contact details for the 3" Tier Officer.
The Customer Relationship Management system must be updated with the relevant information.
4.2
The complainant or their representative will have 28 calendar days to write back to the 3" Tier Officer stating they are dissatisfied with the stage one response. The Officer will then
Stage Two - Appeal. 3" Tier Officer reviews complaint
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undertake an investigation. The Customer Relationship Management system must be updated with the relevant information and the response made in writing within 28 calendar days of receiving the appeal.
Acknowledging a stage two appeal
The 3rd Tier Officer will acknowledge an appeal letter within five calendar days of receiving the appeal request. This will include the actual date that the complainant should receive their response by. The Customer Relationship Management system must be updated with the relevant information.
Responding to an appeal
The 3" Tier Officer should review the decision made and carry out any further investigations that they feel are necessary, sending a response within 28 calendar days of receiving the appeal letter. This response can be emailed if we have the complainant's email address.
The response should contain:
0
0
0
details of the review/ further investigation; action to be taken (e.g. apology, offer of redress, action undertaken, why the council is unable to assist); and information on stage three of the procedure should the complainant be dissatisfied with the outcome.
The Customer Relationship Management system must be updated with the relevant information.
4.3 Stage 3 - Review by Head of Service
If the complainant is still dissatisfied with the outcome of the complaint or about the way we have dealt with their complaint, there is a final stage in our complaints procedure. The complainant must respond to the Head of Service in writing within 28 calendar days of receiving the outcome of their appeal.
The Head of Service will carry out a full review of the complaint and the actions taken. At this stage, in accordance with the statutory obligations that govern the handling of social work complaints, social work complaints will be scheduled to be heard by the Complaints Review Committee.
Acknowledging a stage three review
The Head of Service will acknowledge an appeal letter within five calendar days of receiving a stage three request and detail the date the complainant should receive their response by.
Responding to the stage three review
The Head of Service should review the decision of the officer dealing with the original complaint and carry out any further investigations that they feel are necessary, sending a response within 28 calendar days of receiving it. The response should contain:
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0 details of the review/ further investigation; 0 the outcome of the review; and 0 information about the Scottish Public Sector Ombudsman
The Customer Relationship Management system must be updated with the relevant information.
Where complaints are made about a Head of Service or Executive Director the Council will put in place a two stage procedure to ensure independent review of such complaints.
5. INDEPENDENT APPEAL
After Stage 3 - Review has been completed and the complainant is still not satisfied with the outcome of their complaint, the complainant or their representative has the right of independent appeal through Scottish Public Services Ombudsman, 4 Melville Street, Edinburgh, EH3 7NS. Tel no : 0800 377 7330 or email : [email protected]
6. COMMENTS
6.1 Definition of a comment
A comment can be described as a personal opinion or belief, feedback or remark expressed by a customer.
Example:
“Regarding the closure of Shawhead Roundabout, I think they should close it after 10Dm to carrv out essential reDairs”
Comments will be recorded in the CRM and reviewed as part of continuous improvement processes. A letter of acknowledgement should be sent to the person making the comment. This will be done in accordance with our service standards for responding to general correspondence.
All comments and suggestions received will be recorded in the Customer Relationship Management system.
7. COMPLIMENTS
7.1 Definition of a compliment
A compliment is defined as a service user 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 father following his injury last week”
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When services receive a compliment the details will be logged in the Customer Relationship Management system and the staff concerned advised of the details of the compliment by their line manager.
A letter of acknowledgement should also be sent to the person making the compliment. This will be done in accordance with our service standards for responding to general correspondence.
8. DATA PROTECTION AND HUMAN RIGHTS
We will ensure that the principles of the Data Protection Act 1998 and the Human Rights Act 1998 are adhered to in relation to retaining personal information and providing a fair and accessible procedure.
9. UNACCEPTABLE ACTIONS BY COMPLAINANTS
There may be circumstances where a complainant persists in pursuing a complaint (or series of complaints) when North Lanarkshire Council has taken all the reasonable actions in response.
In such cases continuing correspondence should be checked to ensure that it does not contain new issues which merit a response. A review of the complainant’s case should be carried out and the matter drawn to the attention of the relevant Head of Service or Executive Director whereby the appropriate course of action will be agreed. This may include:-
informing the complainant that no further action can be taken by the authority in response to their complaint and advising them that only new or substantive issues will receive further response; and nominating a single point of contact for any further communication.
Persistent complainers should also be informed of how they can progress their complaint further (eg through the Local Government Ombudsman).
Violent or abusive behaviour towards our staff will not be tolerated. Please refer to the Authorities policies and reporting guidelines relating to Health and Safety and Violence at work for more information.
10. COMPLAINTS CROSSING MORE THAN ONE PUBLIC BODY OR ORGANISATION
If a complaint relates to a partner organisation the complaint will be recorded and forwarded to the relevant contact and the customer informed of the action.
Where a third party supplies services on our behalf, the supplier will deal with complaints through its own complaints procedure.
11. PUBLICITY AND INFORMATION
There will be one standard North Lanarkshire Council complaint leaflet and poster to publicise the complaints procedure. Services will not develop their own publicity material.
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We will publicise the complaints, comments and compliments procedure using leaflets, posters, the council’s website and the plasma screen network in public areas. Posters advertising the complaints, comments and compliments procedure will be displayed at all public reception points. All publicity materials for the procedure will be presented in plain English and available, on request, in minority languages, audiotape and braille.
12. REPORTING OF COMPLAINTS, COMMENTS AND COMPLIMENTS
The Corporate Service Improvement Team will prepare quarterly reports for the Corporate Management Team detailing:-
volume of new complaints; comments and compliments; 0 status of complaints at each stage; and 0 compliance with customer standards.
Feedback on the complaints procedure will be gathered via a rolling survey of closed complaints.
Details of service improvements made as a result of customer feedback will be gathered by the Corporate Service Improvement Team and will be publicised on www.northlan.aov.uk and in the North Lanarkshire News.
Services will continue to report on complaints through the Performance PottFolios.
The complaints, comments and compliments policy will be reviewed on an annual basis or when statutory requirements change to ensure its ongoing relevance.
13. STAFF TRAINING AND DEVELOPMENT
The policy and procedure will be published to all our staff. Training on the policy and procedure will be built into induction and customer care training.
Managers will have a responsibility to inform, support and monitor staff to ensure that the policy and procedure is properly implemented and to ensure that all staff are aware of the main stages of the complaints procedure and the person responsible for co-ordinating complaints within their services.
14. STAFF RESPONSIBILITIES
Frontline staff and managers are best placed to resolve complaints and it is important for us to support and train these staff to handle and resolve complaints in an efficient manner.
Within each service there will be a nominated officer to co-ordinate with complaints. This officer will be responsible for commenting on the progress of complaints, resolving issues on the progress of complaints and being the contact for information requirements.
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We expect all staff to:
0
0
0
0
0
0
strive to resolve complaints as early as possible and if this is not possible, refer the matter to a senior officer to try and resolve; understand the complaints policy and procedures and the different stages involved; give good advice to people who want to complain about the policy and the procedure make sure that the timescales are met and procedures are followed; and make sure that all details relating to the complaints are logged on Customer Relationship Management system. make sure that the quality and content of the responses to complaints are appropriate, acceptable and use plain English in line with our commitment to the plain English campaign;
We expect officers dealing with complaints to:
0 make sure that the stage 1 process is completed within the timescales and that all information is added to the Customer Relationship Management system;
0 oversee the handling of complaints by their staff; 0 make sure that the quality and content of the responses to complaints are appropriate,
acceptable and use plain English in line with our commitment to the plain English campaign; give advice to staff on the complaints policy and procedure and make sure they receive training if required; and make sure complaint information is kept in accordance with monitoring requirements.
0
0
We expect 3rd Tier Officers to:
0 oversee the handling of complaints by their staff; review and investigate stage two appeals ;
0 make sure that the stage two process is completed within the timescales and that all information is added to the complaints system;
0 make sure that the quality and content of responses to complaints are appropriate, acceptable and use plain English in line with our commitment to the plain English campaign; and
We expect Heads of Service to:
0 review and investigate stage three appeals; 0 make sure that the stage three process is completed within the appropriate timescales
and that all information is added to the Customer Relationship Management system. 0 when required, report details of the performance of complaint management to the
service committee and/or Corporate Management Team.
We expect Executive Directors to:
0 make sure their services comply with the complaints policy and procedure; 0 consider service user information in the planning and improvement of services; 0 in line with our policy for handling unacceptable actions, respond to complainants
whose behaviour is believed to be unacceptable; and 0 respond to compliments and make sure that the appropriate staff receive a copy of the
correspondence.
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We expect the Corporate Service Improvement Team to:
0 log and acknowledge complaints, comments and compliments received by the Chief Executive’s office, update the Customer Relationship Management system with the information and distribute to services for action;
0 report exceptions and any other relevant information to the Corporate Management Team on a quarterly basis;
0 periodically carry out a random sample of responses to make sure that our responses conform to plain English principles;
0 periodically carry out a random sample of response times to make sure that we are meeting the timescales for responses set out in the policy; and
0 identify further improvements to the Customer Relationship Management system and reporting facilities.
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Appendix 2
Implementation timetable
Phase I
AprilIMay 2008
Phase 2
Beginning of July 2008 has
Beginning December 2008
Finance & Customer Services; Corporate Services; Environmental Services - Facility Support (this may be substituted with Protective Services; Learning & Leisure Housing & Social Work - Housing Services only; and Chief Executive's Off ice
Environmental Services - remaining services
Social Work
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