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• Flora Fernandes -12

• Insha Ghashwala -13

• Misba Kasmani -14

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• Akib Khan -17

• Yusuf Khan -18

• Owaiz Khan -19

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INDEX

SR NO TOPICS

1 INTODUCTION TO COMPLAIN HANDLING

2 PRINCIPLES OF GOOD COMPLAIN HANDLING

3 GOLDEN RULES OF COMPLAINT HANDLING

4 HOW TO HANDLE COMPLAIN

5 STEPS TO HANDLE COMPLAIN

6 Guidance to Scottish Government staff on the Complaints Handling Procedure (CHP)

7 SIX STEPS DEALING WITH CUSTOMER COMPLAIN

Introduction of Good complaint handling

This document gives our views on the Principles of Good Complaint Handling. We want public bodies and complainants to understand what we mean by good complaint handling and tobe clear about what we expect from public bodies when dealing with complaints. We will also apply the Principles to any complaints made to us about our own service.

These Principles of Good Complaint Handling should be read in conjunction with ourPrinciples of Good AdministrationandPrinciples for Remedy. Everyone has the right to expect a good service from public bodiesand to have things put right if they go wrong. When things do go wrong,   publicbodies should manage complaints properly so customers’ concerns are dealt with appropriately. Good complaint handling matters because it is an important way of ensuring customers receive the service they are entitled to expect. Complaints are a valuable source of feedback for the public body; they provide an audit trail and can be an early warning of failures in service delivery. When handled well, complaints provide an opportunity for public bodies to improve their service and reputation.

We understand there is often a balance between responding appropriately to complaints and acting proportionately within available resources. However, prompt and efficient complaint handling can save the public body time and money by preventing a complaint from escalating unnecessarily. Learning from complaints can reduce the number of complaints in the future.The public bodies within our jurisdiction are many and varied, and sometimes complainants will be individuals and sometimes organisations. Accordingly, the systems that public bodies have in place for handling

complaints will depend on their own circumstances. However, certain Principles should be common to all.

Good complaint handlingshould be led from the top, focused on outcomes, fair and proportionate, and sensitive to complainants’ needs. The process should be clear and straightforward, and readily accessible to customers. It should be well managedthroughout so that decisions are taken quickly, things put right where necessaryand lessons learnt for service improvement. In many of the complaints investigated by the Ombudsman we have found that poor complaint handlingitself constituted maladministration or service failure leading to an injustice or hardship for the complainant. This was so even in cases in which we did not uphold the original complaint.

The Principles set out here are intended to promote a shared understanding of what is meant by good complaint handling and to help public bodies in the Parliamentary and Health Service Ombudsman’s jurisdiction deliver first-class complaint handling to all their customers.

Principles of Good Complaint Handling

The Principles of Good Complaint Handling were first published on 28November 2008, following a consultation that took place during the summer.Thereport of that consultation can be found here. The Principles of Good Complaint Handling were reprinted with minor amendments on 10 February 2009.Good complaint handling means:

1.Getting it right2.Being customer focused3.Being open and accountable4.Acting fairly and proportionately5.Putting things right6.Seeking continuous improvementRead the full document

Golden rules of complaints handling

Although no one likes receiving a complaint, they present you with an opportunity to identify and rectify specific problems with your current systems or product. They can also help you to develop your relationship with your customer by allowing you to demonstrate that you value their trade by taking their concerns seriously and dealing with their complaint

Develop a strategic planHave a clear, flexible, welcoming and open policyon complaintsA complaint is a gift and you should consider yourself lucky that a customer is prepared to giveup valuable time to help you improve your organisation.

Train your staff and management in complaints handlingGive them confidence to tackle the difficult customers and support in their actions. Excellent complaint handling isn't easy and can sometimes be stressful and feel unrewarding. Confirm its importance in providing greatcustomer service.

Give complaining enough priority and authorityStaff should be aware that complaints are a top priority item for your operation, and ANYONE whodeals with them must have sufficient authority to resolve them completely.

Ensure that you can process complaints from all sourceNowadays there are four main ways to complain - in person, by email/internet, by telephone or by mail - and your organisation must be able to handle all of these efficiently.Set up a process to log and analyse all complaints and share with everyoneOne can learn so much about problems with internal processes, training, specific employees/managers, and product - free.

How to handle complaints

There are several key stages when handling a complaint:

Thank the customerfor complaining- You should consider yourself lucky that the customer is prepared to give up their time and money to

let you know they have a problem, instead of just walking away - a complaint is a gift.

Say that you are sorrythat the problem has happened -This is NOT an admission of guilt onyour part, it's just good manners.Put yourself in the place of the customer -This will instantly give you an advantage, as you not only will have more empathy with the customer, but also you know your business better than them and so can hopefully see the solution quicker.

Start with the view that the customer has a validpoint, not that they are trying to rip you off -It is true that there are some professional complainers out there, but they are in the minority, and, if you are a local store, you probably know them anyway. Accepting that thecustomer may well have a point, even internally,may well trigger off ideas for an acceptable resolution.

Get all the facts first-Letting the customer give you all of the information helps you fully understand the situation AND, if they are emotional, will give them time to calm down.

Correct the mistake-Don't leap straight to the"free gift" route. While it's very tempting to give the customer a gift, or vouchers, too often it is done INSTEAD of solving the problem. This can lead to more complaints about the same thing in the future because the problem hasn't been hasn't been fixed.Make sure that your definition of the right fix is the same as the customers.

Learn from every complaint-Do something! Fix the process; train staff in the issue; eliminate the fault.

Wherever possible let the complaining customer know that they have helped you resolve a problem - they'll feel great and come back again and again (and will probably tell their friends!).

Minimise reasons for complaints -Do you have a continuous improvement culture? Do you check customer (and employee) satisfaction regularly? Do you check the quality of the goodssold in your organisation?

Always respond -Make sure that EVERYONE who complains on the telephone, by letter, or by email gets a rapid and appropriate response.

Listen to your staff -They nearly always care about your company and doing a good job. They are also much closer to the customers than you are. Ask their views regularly and make changes when they are sensible. Make sure THEIR complaints are handled too.

Lead by example-It's not that your staff DON'T listen to what you say, it's that they DO listen, somake sure that you are always setting the right example, and giving complaints your personal priority. Reward good complaints handling.

Remember - it costs at least five times as much to gain a new customer than keep an existing one. Keeping a complaining customer should be the top priority, and at these cost ratios you can afford to be generous in your time and effort.

Steps of handling a complaint

How you handle a customer complaint is acritical component in the longevity of your business. If you think about it, in one accusatory sentence the employee 1) failed to listen to a customer's concern, 2) insulted the customer by effectively calling her a thief, 3) lost the entire sale to that customer and at least one other customer, and 4) lost the entire future revenue stream from that customer as the Mrs. will never shop there again. Wow. All that in one misguided response.

So don't make a mistake that costs your business its business. Teach all your employees how to handle complaints like a pro:

1. Listen and UnderstandFirst, always listen to the customer. They are concerned about an aspect of your services. Let go of the temptation to respond in any quick fashion. Take the time to listen and truly understand what is driving their concern

.2. EmpathizeOnce you have listened to their concern immediately empathize with their position to create a bond between you and the customer so that they know you have heard their concern and are going to work with them to resolve the issue.

3. Offer a SolutionOffer a solution to their problem. In this regard, always focus on what you can do as opposed to what you cannot. There is always a solution.

It may not be exactly what they are asking for, but if you focus on what you can do versus denying them their requested remedy you have still offered a solution and often merely havinganother option is sufficient to remedy the situation.

4. Execute the SolutionSolve their problem be it with their originally requested resolution or an alternative you have proposed.5. Follow-UpOnce you have gone through the first four steps, make sure to follow-up with them tomake sure that they are satisfied with the solution and that you have taken care of their concern

Guidance to Scottish Government staff on the Complaints Handling Procedure (CHP)This document explains to staff how to handle complaints.  The [insert link] provides information for customers on the CHP.  Together, these form our complaints handling procedure.It is designed to be adopted as an internal document.  It contains references and links to more details on parts of the procedure, such as how to record complaints, and the criteria for signing off and agreeing time extensions. Theseexplain how to process, manage and reach decisions on different types of complaints.When using this document, please also refer to the 'SPSO Statement of Complaints Handling Principles' and best practice guidance on complaints handling from the Complaints Standards Authority at the SPSO

What is a complaint?The Scottish Public Sector Ombudsman’s definition of a complaint is:'An expression of dissatisfaction by one or moremembers of the public about the organisation's action or lack of action, or about the standard of service provided by or on behalf of the organisation.'A complaint may relate to:*.failure to provide a service*.inadequate standard of service*.dissatisfaction with the Scottish Government’spolicy

*.treatment by or attitude of a member of staff*.disagreement with a decision where the customer cannot use another procedure (for example an appeal) to resolve the matter*.the Scottish Government's failure to follow the appropriate administrative process.This list does not cover everything.

Appendix 1provides a range of examples of complaints we may receive, and how these may be handled.A complaint isnot:*.a routine first-time request for a service*.a request for compensation only*.issues that are in court or have already been heard by a court or a tribunal*.disagreement with a decision where a statutory right of appeal exists*.an attempt to reopen a previously concluded complaint or to have a complaint reconsideredwhere we have already given our final decision.You must not treat these issues as complaints, and should instead direct customers to use the appropriate procedures.

Appendix 2gives more examples of 'what is not a complaint' and how to direct customers appropriately.An observation, however passionately felt or personally motivated, on Government policy or its implementation is not a complaint that can be dealt with under this process (although a failure to respond, courteously, adequately and in a timely way, to such an observation may legitimately give rise to complaint). Those dissatisfied with decisions of the Scottish Government or its associated bodies should normally follow formal appeal or review processes where such exist (in these cases, a formal complaint, if upheld, is likely only to result in the complainant being redirected back to that appeal process) or through their elected representative. The complaints handling process is designed to deal with those cases where no other route for addressing a concern isavailable within the Scottish Government.

Handling anonymous complaintsWe value all complaints.  This means we treat all complaints including anonymous complaints seriously and will take action to consider them further, wherever this is appropriate.  Generally, we will consider anonymous complaints if there is enough information in the complaint to enableus to make

further enquiries.  If, however, an anonymous complaint does not provide enough information to enable us to take further action, we may decide not to pursue it further.  Any decision not to pursue an anonymous complaintmust be authorised by a Deputy Director.If an anonymous complaint makes serious allegations, we will refer it to a senior officer immediately.If we pursue an anonymous complaint further, we will record the issues as an anonymous complaint on the complaints system.  This will help to ensure the completeness of the complaints data we record and allow us to take corrective action where appropriate.

What if the customer does not want to complain?If a customer has expressed dissatisfaction in line with our definition of a complaint but does not want to complain, tell them that we do consider all expressions of dissatisfaction, and that complaints offer us the opportunity to improve services where things have gone wrong.  Encourage the customer to submit their complaint and allow us to deal with it through the complaints handling procedure.  This will ensure that the customer is updated on the action taken and gets a response to their complaint.If, however, the customer insists they do not wish to complain, record the issue as an anonymous complaint.  This will ensure that the customer's details are not recorded on the complaints database and that they receive no further contact about the matter.

It will also helpto ensure the completeness of the complaints data recorded and will still allow us to fully consider the matter and take corrective action where appropriate.Please refer to the example in

Appendix 1for further guidance.Who can make a complaint?Anyone who receives, requests or is affected by our services can make a complaint.  Sometimes a customer may be unable or reluctant to make a complaint on their own.  We will accept complaints brought by third parties as long as the customer has given their personal consent.

Complaints involving more than one service or organisationIf a complaint relates to the actions of two or more of the Scottish

Government’s services, youmust tell the customer who will take the lead in dealing with the complaint, and explain that theywill get only one response covering all issues raised.If a customer complains to the Scottish Government about the service of another agency or public service provider, but the Scottish Government has no involvement in the issue, the customer should be advised to contact the appropriate organisation directly.  However, where, a complaint relates to a serviceprovided by the Scottish Government and the service of another agency or public service provider, (for example a regulator, commissioneror a government department), and the Scottish Government has a direct interest in the issue, you must handle the complaint about the Scottish Government through the CHP.  If you need to make enquiries to an outside agency in relation to the complaint always take account of data protection legislation and our guidance on handling our customer’s personal information.

The Information Commissioner has detailed guidance on data sharing and has issued a datasharing code of practice.Such complaints may include:*.unexpected additional costs to householder to allow the installation of a heating system under the Scottish Government’s Central Heating Programme*.dissatisfaction with a service provided by an NDPB/Agency or the handling of a complaint under the organisations own complaint process.Example: road safety issues; staff terms and conditions; delays in processing applications; non provision of information.

The complaints handling processOur complaints handling procedure aims to provide a quick, simple and streamlined processfor resolving complaints early and locally by capable, well-trained staff.Our complaints process provides two opportunities to resolve complaints internally:*.frontline resolution, and*.investigation.For clarity, the term 'frontline resolution' refers tothe first stage of the complaints process.  It does not reflect any job description within the Scottish Government but means seeking to resolve complaints at the initial point of contact where possible.

Stage one:  frontline resolution

Frontline resolution aims to quickly resolve straightforward customer complaints that require little or no investigation.  Any member of staff may deal with complaints at this stage.The main principle is to seek early resolution, resolving complaints at the earliest opportunity and as close to the point of service delivery as possible.  This may mean a face-to-face discussion with the customer, or asking an appropriate member of staff to deal directly withthe complaint.

Appendix 1gives examples of the types of complaint we may consider at this stage, with suggestions on how to resolve them.In practice, frontline resolution means resolving the complaint at the first point of contact with the customer, either by the member of staff receiving the complaint or other identified staff.In either case, you may settle the complaint by providing an on-the-spot apology where appropriate, or explaining why the issue occurred and, where possible, what will be done to stop this happening again.  You may also explain that, as an organisation that values complaints, we may use the information given when we review service standards in the future.A customer can make a complaint in writing, in person, by telephone, by email or online, or by having someone complain on their behalf.  You must always consider frontline resolution, regardless of how you have received the customer's complaint.  This may arrive via the Central Enquiry Unit, Ministerial CorrespondenceUnit or Ministerial Private Office.What to do when you receive a complaint1        On receiving a complaint, you must first decide whether the issue can indeed be defined as a complaint.  The customer may express dissatisfaction about more than one issue.  Thismay mean you treat one element as a complaint,while directing the customer to pursue another element through an alternative route

(seeAppendix 2).2        If you have received and identified a complaint, contact the internal mailboxSGComplaintsto arrange for the details to be on our complaints system.

3        Next, decide whether or not the complaint is suitable for frontline resolution.  Some complaints will need to be fully

investigated before you can give the customer a suitable response.  You must escalate these complaints immediately to the investigation stage.

4        Where you think frontline resolution is appropriate, you must consider four key questions:*.What exactly is the customer's complaint (or complaints)?*.What does the customer want to achieve by complaining?*.Can I achieve this, or explain why not?*.If I cannot resolve this, who can help with frontline resolution?

imelinesFrontline resolution must be completed withinfive working days, although in practice we would often expect to resolve the complaint much sooner.You may need to get more information from other services to resolve the complaint at this stage.  However, it is important to respond to thecustomer within five working days, either resolving the matter or explaining that their complaint is to be investigated.

Extension to the timelineIn exceptional circumstances, where there are clear and justifiable reasons for doing so, you may agree an extension of no more than five working days with the customer.  This must onlyhappen when an extension will make it more likely that the complaint will be resolved at the frontline resolution stage.When you ask for an extension, you must get authorisation from the team leader or branch head, who will decide whether you need an extension to effectively resolve the complaint.

  Examples of when this may be appropriate include staff or contractors being temporarily unavailable.  If, however, the issues are so complex that they cannot be resolved in five days, it may be more appropriate to escalate thecomplaint straight to the investigation stage.  You must tell the customer about the reasons for the delay, and when they can expect your response.If the customer does not agree to an extension but it is unavoidable and reasonable, a senior manager must decide on the extension.  You must then tell the customer about the delay and explain the reason for the decision to grant the extension.It is important that such extensions do not become the

norm.  Rather, the timeline at the frontline resolution stage should be extended only rarely.  All attempts to resolve the complaint at this stage must take no longer thanten working daysfrom the date you receive the complaint.The proportion of complaints that exceed the five-day limit will be evident from reported statistics.  These statistics must go to the Improvement Board on a quarterly basis.

Appendix 3provides further information on timelines.Closing the complaint at the frontline resolution stageIt is recommended that you inform the customerof the outcome in writing.  You must ensure that our response to the complaint addresses all areas that we are responsible for and explains the reasons for our decision.  It is also importantto keep a full and accurate record of the decision reached and given to the customer.  The complaint should then be closed and the complaints system updated accordingly.When to escalate to the investigation stageA complaint must be escalated to the investigation stage when:*.frontline resolution was tried but the customer remains dissatisfied and requests an investigation into the complaint.  This may be immediately on communicating the decision at the frontline stage or could be some time later*.the customer refuses to take part in the frontline resolution process*.the issues raised are complex and require detailed investigation*.the complaint relates to serious, high-risk or high-profile issues.When a previously closed complaint is escalated from the frontline resolution stage, thecomplaint should be reopened on the complaints system.Take particular care to identify complaints that might be considered serious, high risk or high profile, as these may require particular action or raise critical issues that need senior management's direct input.  The SPSO defines potential high-risk or high-profile complaints as those that may:*.involve a death or terminal illness*.involve serious service failure, for example major delays in providing, or repeated failures to provide, a service*.generate significant and ongoing press interest*.pose a serious risk to the Scottish Government’s operations*.present issues of a highly sensitive nature, for example concerning:*.immediate homelessness*.a particularly vulnerable person*.child protection.Stage two:  investigation

Not all complaints are suitable for frontline resolution and not all complaints will be satisfactorily resolved at that stage.  Complaintshandled at the investigation stage of the complaints handling procedure are typically complex or require a detailed examination before we can state our position.  These complaints may already have been considered at the frontline resolution stage, or they may have been identified from the start as needing immediate investigation.An investigation aims to establish all the facts relevant to the points made in the complaint andto give the customer a full, objective and proportionate response that represents our final position.What to do when you receive a complaint for investigationIt is important to be clear from the start of the investigation stage exactly what you are investigating, and to ensure that both the customer and the service understand the investigation's scope.It may be helpful to discuss and confirm these points with the customer at the outset, to establish why they are dissatisfied and whether the outcome they are looking for sounds realistic.  In discussing the complaint with the customer, consider three key questions:

1.What specifically is the customer's complaint or complaints?2.What does the customer want to achieve by complaining?3.Are the customer's expectations realistic and achievable?

It may be that the customer expects more than we can provide. If so, you must make this clear to the customer as soon as possible.Where possible you should also clarify what additional information you will need to investigate the compliant.  The customer may need to provide more evidence to help us reach a decision.

Contact theSGComplaintsinternal mailbox to to arrange for the details of the investigation to be recorded on the system for recording complaints.  Where appropriate, this will be doneas a continuation of frontline resolution.  The details must be updated when the investigation ends.If the investigation stage follows attempted frontline resolution, you must hand over all case notes and associated information to the officer responsible for the investigation, and record thatyou have done so.

TimelinesThe following deadlines are appropriate to cases at the investigation stage:*.complaints must be acknowledged withinthree working days*.you should provide a full response to the complaint as soon as possible but not later than20 working daysfrom the time you received the complaint for investigation.

Extension to the timelineNot all investigations will be able to meet this deadline. For example, some complaints are so complex that they require careful consideration and detailed investigation beyond the 20-day limit.  However, these would be the exception and you must always try to deliver a final response to a complaint within 20 working days.If there are clear and justifiable reasons for extending the timescale, senior management will set time limits on any extended investigation, as long as the customer agrees.  You must keep the customer updated on the reason for the delay and give them a revised timescale for completion.  If the customer does not agree to an extension but it is unavoidable and reasonable, then senior management must consider and confirm the extension.

Six Steps to Dealing with Customer Complaints

At some point, everyone in business has to deal with an upset customer. The challenge is to handle the situation in a way that leaves the customer thinking you operate a great company. If you’re lucky, you can even encourage him or her to serve as a passionate advocate for your brand.

When it comes down to it, many customers don't even bother to complain. They simply leave and buy from your competitors. Research suggests that up to 80 percent of customers who leave were, in fact, "satisfied" with the original company. Obviously, customer satisfaction is not enough. Businesses nowadays need to positively delight customers if they want to earn their loyalty.

It may seem counter-intuitive, but a business owner’s ability to effectively deal with customer complaints provides a great

opportunity to turn dissatisfied customers into active promoters of the business. Here are some customer-oriented tips I’ve learned while working in the business coaching business:

1. Listen carefully to what the customer has to say, and let them finish. Don't get defensive. The customer is not attacking you personally; he or she has a problem and is upset. Repeat back what you are hearing to show that you have listened.

2. Ask questions in a caring and concerned manner. The more information you can get from the customer, the better you will understand his or her perspective. I’ve learned it’s easier to ask questions than to jump to conclusions.

3. Put yourself in their shoes. As a business owner, your goal is to solve the problem, not argue. The customer needs to feel like you’re on his or her side and that you empathize with the situation.

4. Apologize without blaming.When a customer senses that you are sincerely sorry, it usually diffuses the situation. Don't blame another person or department. Just say, "I'm sorry about that.”

5. Ask the customer, "What would be an acceptable solution to you?"Whether or not the customer knows what a good solution would be, I’ve found it’s best to propose one or more solutions to alleviate his or her pain. Become a partner with the customer in solving the problem.

6. Solve the problem, or find someone who can solve it— quickly!Research indicates that customers prefer the person they are speaking with to instantly solve their problem. When complaints are moved up the chain of command, they become more expensive to handle and only add to the customer's frustration.There is no getting around customer complaints, regardless of your industry. However, by employing these steps and taking the time to review the issue with the customer, you can turn challenges into something constructive.