Customer Feedback Management

Policy

Document No: Version No: 1 Date: August 2010

Contact: Anthony Lean General Counsel Legal Services Branch Legal and Governance 9372 8010 anthony.lean@services.nsw.gov.au

Document No: Version 1 August 2010 ii

Table of Contents

1 Policy Statement 1

1.1 Objectives 1

2 Scope 2

2.1 DSTA divisions and related entities in scope 2

2.2 DSTA related entities out of scope 2

3 Overview 3

3.1 Effective customer complaints management 3

3.2 Access to DSTA’s feedback system 4

3.3 Training 4

3.4 Ethical Conduct 4

4 Customers and feedback 5

4.1 Who are DSTA’s customers? 5

4.2 What is customer feedback? 5

4.3 How is feedback received? 5

4.4 Compliments and suggestions 6

4.5 Customer complaints 6

5 Responsibilities 8

5.1 General statement of principle 8

5.2 Terminology 8

5.3 DSTA’s customer feedback management system 8

5.4 Complaints management 9

5.4.1 Days 1 – 4 Registration and contact 9

5.4.2 Days 5 – 20 Finalise the complaint 10

Document No: Version 1 August 2010 iii

5.4.3 Communicating resolution 11

5.4.4 Report complaint resolution 11

5.4.5 Flowchart: DSTA customer feedback process 12

6 Reporting and use of feedback 13

6.1 Feedback data 13

6.2 Feedback data template 14

7 Related Policies & Documents 15

8 Document Control 16

8.1 Document Approval 16

8.2 Document Version Control 16

8.3 Review Date 16

Document No: Version 1 August 2010

1 Policy Statement

Customer feedback is an important and inexpensive source of information about how an

organisation is operating. Just as importantly, feedback is an indicator of how an

organisation is perceived to be operating by its customers. Complaints and constructive

criticism may identify systemic and other issues that concern the customers of an

organisation’s services, as well as indicate gaps in communication strategies.

Customer feedback can be used to amend mistakes made, improve services where

required, and better manage customers’ expectations where necessary. It is also important

to take note of positive feedback, which can be used to reinforce work practices and

procedures and boost morale.

The Department of Services, Technology and Administration (DSTA), together with all New

South Wales government agencies, is required to comply with Premier’s Memorandum

M2010 -11 Improving Client and Customer Satisfaction with Public Services.

A customer feedback management policy is one of a number of strategies that agencies

have been asked to implement as a means by which they are able to measure, report on

and improve customer satisfaction with agency services.

1.1 Objectives

The key objectives of the DSTA Customer Feedback Management Policy (the policy) are:

• To affirm and support the right of customers of DSTA to provide feedback, and to

have any dissatisfaction with DSTA’s services dealt with fairly, consistently and

confidentially

• To enable customer satisfaction levels to be measured and to provide a source of

information and feedback for improving DSTA’s services

• Service delivery improvement through better customer satisfaction outcomes.

Document No: Version 1 August 2010 2

2 Scope

2.1 DSTA divisions and related entities in scope

All divisions of DSTA are covered by the policy.

The following of DSTA’s related entities are also covered by the policy:

• Builders Insurers Guarantee Corporation (BIGCorp)

• Fair Trading Administration Corporation (FTAC)

• Financial Counselling Trust Fund

• NSW Government Telecommunications Authority

• Motor Vehicle Repair Industry Authority

• Rental Bond Board.

• State Records Authority of NSW

In this policy the term “DSTA” includes reference to all the in-scope divisions and related

entities described above.

2.2 DSTA related entities out of scope

The following of DSTA’s related entities are not covered by this policy:

• Australian Centre for Advanced Computing & Communications Pty Ltd

• Consumer, Trader & Tenancy Tribunal (including the Tribunal Registry)

• Internal Audit Bureau

• NSW Architects Registration Board

• State Contracts Control Board

• Teacher Housing Authority of NSW.

Document No: Version 1 August 2010 3

3 Overview

DSTA is committed to making it easy for our customers to provide us with their views on

our work, whether positive, neutral or negative, and the efficient and fair resolution of any

complaints.

This policy provides information about:

• DSTA and the related entities covered by the policy

• What is classified as a customer complaint

• How to make a complaint

• How DSTA will manage complaints, including who in DSTA will have responsibility

for the complaint

• How long it will take for a complaint to be responded to and resolved

• What will be done with the information provided in customer feedback.

3.1 Effective customer complaints management

The NSW Ombudsman identified customer complaints handling as a vital component of

public accountability, and the Government requires that agencies comply with the

Ombudsman’s guidelines. These include Effective complaint handling and Public Sector

Agencies fact sheet No 8 – Handling complaints.

One of the key features of an effective customer complaints management system is for an

agency to have clear delegations to staff that define their responsibility for dealing with

complaints and their ability and limits on remedies they can authorise.

A further important feature identified by the Ombudsman is to ensure that there is an

adequate system for aggregating complaint data and performing trend analysis. If

information on complaints is captured, classified and analysed, systemic and recurring

problems will be more easily identified and rectified.

An effective complaints system will benefit the agency in four important ways:

• Creating a second chance to provide service and satisfaction to dissatisfied

customers

• Identifying areas that need improvement

• Providing opportunities to strengthen customer support for the agency, and

Document No: Version 1 August 2010 4

• Assisting in planning and allocation of resources.

This policy has been designed to comply with the Ombudsman’s guidelines, as well as

Australian Standard AS ISO 10002- 2006: Customer satisfaction – Guidelines for

complaints handling in organizations.

3.2 Access to DSTA’s customer feedback system

As recognised by the NSW Ombudsman, a complaint system must be both visible and

easily accessed by the public. Customers need to be told that they have a right to make a

complaint and how to do it. This applies equally to compliments and suggestions, and

information about DSTA’s customer feedback system is included on all DSTA websites,

including those maintained by the divisions and related entities, in easy to access

locations.

Brochures, feedback forms and other information mechanisms are also utilised throughout

the Department, including translated versions where appropriate.

3.3 Training

For the effective implementation of DSTA’s customer feedback system, staff in identified

positions are required to undertake training about the system and in the skills of listening,

problem solving and conflict resolution.

The NSW Ombudsman provides additional guidance on customer complaint management

in the publication Managing Unreasonable Complainant Conduct Practice Manual.

3.4 Ethical Conduct

All activities are conducted in an ethical and transparent manner and comply with the

values, principles and articles in DSTA’s Code of Conduct.

Document No: Version 1 August 2010 5

4 Customers and feedback

4.1 Who are DSTA’s customers?

DSTA’s customers are the external individuals, firms, organisations and agencies, or their

representatives, who use DSTA’s services. Customers may be from the private or public

sector.

4.2 What is customer feedback?

Customer feedback is an expression of customers’ views on the way any part of DSTA

provides its services. It relates to the work done by any officer, consultant, contractor and

outsourced service provider for, or on behalf of, DSTA.

Positive and neutral feedback (compliments and suggestions) are elements that, as much

as complaints, contribute to the measure of our customers’ satisfaction in accordance with

Premier’s Memorandum M2010 -11.

Feedback may be anonymous.

4.3 How is feedback received?

Customers may provide their feedback to DSTA or individual officers in many ways. This

includes:

• by letter

• over the telephone

• on an electronic or hard copy feedback form

• by e-mail

• by facsimile

• face-to-face.

Assistance should be provided, where required, to help customers formulate and lodge

feedback, including by telephone or face-to-face. Officers who receive oral customer

feedback should endeavour to accurately record the feedback and ensure that it is

recorded in accordance with this policy. The list of current language aides is available on

the DSTA Intranet for customers who require assistance with the English language.

Document No: Version 1 August 2010 6

All DSTA officers are responsible for ensuring that customer feedback which falls within the

ambit of this policy is captured for registration, management and reporting purposes.

Feedback received over the phone or face-to-face and complaints resolved on the spot are

also registered in the customer feedback management system.

Written customer feedback addressed to the Minister is also identified and immediately

referred to the appropriate area within DSTA for management in accordance with this

policy.

4.4 Compliments and suggestions

Compliments and suggestions are registered, allocated and reported in annual statistical

and trend analyses; however, this feedback may be dealt with as considered appropriate by

the recipient division or related entity. For example, if an officer is named as having

provided excellent service, the relevant Deputy Director General or delegate may respond

with a brief letter to the author of the feedback and a letter to the officer concerned.

4.5 Customer complaints

The NSW Ombudsman provides guidance (Effective complaint handling and Public Sector

Agencies fact sheet No 8 – Handling complaints).to government agencies on customer

complaint handling procedures The Department of Premier and Cabinet recommends that

an agency’s procedures utilise the Ombudsman’s guidelines. Consequently, specific

procedures apply to the management of negative customer feedback, which is the subject

of the majority of this policy.

Customer complaints can be about:

• Corporate and divisional policies

• Published administrative procedures

• Administrative decisions (see below for exceptions)

• Non-statutory fees and charges

• Actions of employees or agents

• Quality of service

• Timeliness of service

• Accuracy of information provided

• Accessibility of services.

Document No: Version 1 August 2010 7

The following are not considered customer complaints under this policy:

• Requests for information about policies or procedures

• Complaints dealt with under a DSTA privacy management plan

• Complaints about matters where DSTA has no legislative basis to either change a

decision or become involved

• Complaints about legislation, unless the complaint is about how DSTA administers it

• Appeals against administrative decisions that involve other specific processes and

time frames that are set out in legislation or other departmental policy documents

• Complaints about fraud or corruption. These are dealt with under DSTA's Code of

Conduct and Comprehensive Guide to Reporting Corrupt Conduct, Maladministration

and Serious and Substantial Waste of Public Money

• Staff grievances. These are dealt with under DSTA’s Grievance Policy

Although the latter matters are not registered or handled according to this policy, they

should nonetheless be dealt with promptly and with courtesy according to their own service

guarantees or other relevant procedures.

Document No: Version 1 August 2010 8

5 Responsibilities

5.1 General statement of principle

The general principle to ensure the successful implementation of this policy is, to the

greatest extent that is practicable, that customer feedback is captured, registered, dealt

with in a timely way by authorised officers, analysed and used for continuous business

improvement.

It is recognised that feedback is provided in many different ways, about many disparate

DSTA services. In all cases, however, it is essential that good record management

practices are followed. File notes are created to accurately reflect the key points

discussed and the outcomes of conversations with customers to comply with the State

Records Act 1998 and internal records management policies, to assist other officers who

may later deal with the customer in question and in the event of an application for access

to information under the Government Information (Public Access) Act 2009.

5.2 Terminology

The actual titles of officers with responsibilities in each relevant area within DSTA under

this Policy are those specified in Part 1 Delegate Levels & Conditions in the DSTA

Delegations Manual or within the approved delegations document of each in-scope related

entity. Generic titles are used in this section, as follows:

• Complaints Officer – an officer with at least delegation level 6

• Manager – an officer with at least delegation level 5

• Senior Manager - an officer with at least delegation level 4

• Business Unit Manager - an officer with at least delegation level 3.

5.3 DSTA’s customer feedback management system

Each of DSTA’s divisions and related entities covered by this policy is required to nominate

a Complaints Officer who is responsible for managing feedback relating to the particular

area. Each Complaints Officer is to ensure that feedback is registered, including both

complaints and compliments, in the relevant area’s records management system e.g.

RecFind, TRIM or such other records management system that may be utilised. Each

matter is to be allocated a unique reference number to facilitate tracking of the matter.

Immediately following registration of a matter, a Complaints Officer is to allocate the matter

Document No: Version 1 August 2010 9

to the relevant officer for resolution and at the same time notify the Manager of the area.

Further components of the system are detailed below at 5.4.

5.4 Complaints management

A step-by-step summary of the complaints management procedure (flowchart) is attached.

References to dates in this section are based on the working day a customer complaint is

received by DSTA, whether in a mail room, a DSTA e-mail box, by telephone, fax or face-

to-face. The day on which a complaint is received, or the first working day if received on a

weekend, public holiday or during a period when DSTA may be closed for business, is

called Day 1.

5.4.1 Days 1 – 4 Registration and contact

Each customer complaint, whether written by the customer or recorded by a DSTA officer,

is forwarded to the Complaints Officer in the relevant division as soon as possible after it is

received.

Within 1 working day the nominated divisional Complaints Officer ensures that:

• the complaint is registered in the Division’s or related entity’s customer feedback

system

• the matter is allocated to the relevant officer for resolution and

• the Manager of the relevant area is simultaneously advised of the complaint.

Registration records must never include the names of officers about whom complaints are

made.

If a named member of staff is accused of a serious matter, the complaint is forwarded on a

confidential basis

Complaints must not be managed or answered by any person who was involved in the

matter leading to a complaint (refer to section 2.2 of the

to the manager of the named officer and access to the complaint

record(s) is restricted to the officer’s manager, the Complaints Officer and others as

approved by the person’s manager.

DSTA Code of Conduct relating to

conflicts of interest).

The officer to whom a complaint is allocated for resolution by a Complaints Officer must

contact the customer by phone or email (as per the channel of receipt or otherwise

indicated by the customer) within the first four working days.

The Manager ensures that, within four working days, the customer is contacted by phone or

email (as per channel of receipt or otherwise indicated by the customer).

Document No: Version 1 August 2010 10

5.4.2 Days 5 – 20 Finalise the complaint

(a) More time required

If the customer has been contacted and more time is required to obtain information to

consider and address the complaint, the Manager retains responsibility for the complaint

management process, and ensures that the matter is resolved within 20 working days. If

still more time is required, the customer is advised and the Complaints Officer notified.

(b) Unable to contact customer

If it has not been possible to contact the customer in the first working four days, the

Manager ensures that a written response with a reasonable resolution of the issue(s) raised

is sent to the customer within 20 working days. Information on alternative complaint

resolution avenues, including contact details where appropriate, are included eg the NSW

Ombudsman, the Administrative Decisions Tribunal or independent legal advice.

(c) Unable to resolve complaint

Where the customer was contacted within the first four working days but does not accept

DSTA’s resolution of the matter, the complaint is referred to the Senior Manager for review.

The Senior Manager:

• assigns an appropriate officer to review and prepare options to address the

complaint

• ensures the review takes no longer than seven working days, unless approved by

an appropriate Business Unit Manager

• agrees on an option with the relevant Manager for immediate action

• notifies the relevant Business Unit Manager of the complaint, if appropriate.

Unless the customer has specified another form of contact, the relevant Manager writes to

the customer advising the revised decision within 20 working days. Information on

alternative complaint resolution avenues, including contact details where appropriate, are

included eg the NSW Ombudsman, the Administrative Decisions Tribunal or independent

legal advice.

If during the course of investigating a complaint it becomes evident that the matter is not

within the scope of this policy, then the matter is to be referred to the appropriate area, e.g.

Audit Branch, and the customer advised and provided with new contact details.

Document No: Version 1 August 2010 11

5.4.3 Communicating resolution

It is expected that complaints will be resolved within 20 working days. The way the

resolution of a complaint is communicated will depend on the customer’s preference:

• If communication is by telephone, e-mail or facsimile, the call, e-mail or fax is

made/sent no later than the 20th working day after the customer’s complaint was

received.

• If communication is by mail, the letter is in Australia Post’s mail system by the 20th

working day after the customer’s complaint was received. This might require getting

the letter to the mail room by the 19th working day.

5.4.4 Report complaint resolution

Notification of the resolution of each complaint is provided to the Complaints Officer as

soon as practicable, together with the date of resolution and the channel of contact with the

customer and a brief outline of the resolution.

Document No: Version 1 August 2010 12

5.4.5 Flowchart: DSTA customer feedback process

Customer feedback

Complaints Officer ensures registration and allocation

Quarterly internal report

and annual external report

Complaint

Customer contacted within 4 working days

Complaint resolved

Complaint unresolved

Customer could not be contacted

Further consideration and resolution options identified

Resolution communicated to customer within 20 working days

Internal records maintained and required details

notified for reporting

Compliment or suggestion

Feedback noted and response

provided if appropriate

Reasonable resolution established

Document No: Version 1 August 2010 13

6 Reporting and use of feedback

6.1 Feedback data

At the end of each quarter each division or related entity will be required to send to

Ministerial & Executive Services (MES):

1. a summary of all feedback received by that area (see the resolution advice

template below),

2. a trend analysis of customer complaints, and

3. an outline of any changes made to business processes as a result of customer

feedback.

The divisions and related entities will also be required to provide to MES a consolidated

report, including the above three matters, for each 12 month period.

These reports will be presented to the DSTA Executive as part of department-wide trend

analysis for program improvement, planning and statistical reporting.

Document No: Version 1 August 2010 14

6.2 Feedback data template

Division and

Business area

Category Summary of issue

Contact channel

Complaints only

Brief outline of resolution Outcome No. of

working days to resolve

− compliment − suggestion − complaint: basic/unfair

treatment/tone delays denial of natural

justice failure to deal

appropriately with complaint

lack of feedback/response

limits to authority/powers

faulty procedures inaccurate

information/wrong decision

poor customer service other

− phone − email − letter − face

-to-face

Decline after assessment − conduct outside jurisdiction − trivial − remote − commercial matter Preliminary or informal investigation − Substantive advice, information

provided without formal finding of wrong conduct

− Advice/explanation provided where no or insufficient evidence of wrong conduct

− Further investigation declined on grounds of resource/priority

− Resolved to division’s satisfaction − Suggestions/comments made − Consolidated into other complaint − Conciliated/mediated Formal investigation − Resolved during investigation − Investigation discontinued − No adverse finding − Adverse finding NB this list is not exhaustive

− Unjustified − Justified or partly

justified − Some substance

and resolved by remedial action

Document No: Version 1 August 2010 15

7 Related Policies & Documents

Issuer Reference Document Name

NSW Ombudsman June 2004 Effective Complaint Handling Guidelines

NSW Ombudsman March 2004 Public sector agencies fact sheet No. 8 – Handling Complaints

Department of Services, Technology & Administration

June 2005 Grievance Policy and Procedures

Australian Standard AS ISO 10002- 2006

2006 Customer satisfaction – Guidelines for complaints handling in organisations

NSW State Government Plan

2006 NSW State Government Plan

NSW Ombudsman June 2009 Managing Unreasonable Complainant Conduct Practice Manual

Department of Services, Technology & Administration

March 2010 Code of Conduct

Department of Premier and Cabinet

July 2010 M2010-11 Improving Client and Customer Satisfaction with Public Services

Privacy Management Plan

Privacy and Personal Information Protection Act 1998

Government Information (Public Access) Act 2009

State Records Act 1998

DSTA Delegations Manual

Document No: Version 1 August 2010 16

8 Document Control

8.1 Document Approval

Name & Position Signature Date

Anthony Lean General Counsel

August 2010

Peter Duncan Director General

August 2010

8.2 Document Version Control

Version Status Date Prepared By Comments

1.0 Final August 2010 Anthony Lean

8.3 Review Date

This policy will be reviewed in September 2011.

It may be reviewed earlier in response to post-implementation feedback from Business

Units.