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Customer Feedback and Complaints Team Annual Report 2015-16
Customer Feedback and Complaints Team
Annual Report 2015-16
2
Contents Section
Page
Purpose of Report
The Corporate Services Feedback Procedure
What is a Complaint?
The Role of the Customer Feedback and Complaints Team
The Process
Administering
Other Types of Feedback
Collation of Data
Customer Contact Channels
Overview of Feedback Received 2015-16
Comparison with Previous Year
Complaints by Service
Economy, Infrastructure and Skills
Finance & Resources
Families and Communities
Strategy, Governance and Change
Stage 2 Review
Local Government Ombudsman
Remedies and Learning From Complaints
Compliments
Analysis
Conclusion
Purpose of Report This report provides information on feedback received by Staffordshire County Council for the period April 2015 to March 2016 that has specifically been dealt with under the Council’s Corporate Complaints Procedure under Stage 1 – Local Resolution, Stage 2 Review and complaints that have been investigated by the Local Government Ombudsman.
The Corporate Complaints Procedure The Council welcomes feedback from its customers, service users and their families. By giving our residents a voice, we can use the feedback we receive to inform, review and improve the services that we provide or commission. The Council aims to provide a high standard of service, however there are occasions where customers may feel that this standard has not been met. We want to hear about these experiences so that we can:
learn from our customer’s experience
put things right where needed
resolve complaints as soon as we possibly can The aim of the Corporate Complaints Procedure is to make sure that:
a simple and straightforward mechanism is available for customers to raise any concerns
customers feel that they are being listened to
complaints are dealt with to a fair and consistent standard
the Council responds to complaints in a reasonable timescale
outcomes from complaints are documented and shared throughout the Council
a ‘do it once do it right’ approach is taken to complaints
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The Council has based its complaints procedure on guidance set out in the Local Government Ombudsman’s ‘Guidance on Running a Complaints System 2009’. Within this guidance the Ombudsman explains the principles underpinning a successful complaints procedure.
‘We do not consider that management of complaints is an uncomfortable addition to service provision but an integral part of that provision. Complaints systems are not mechanisms for apportioning blame but an important part of a council’s learning and development. Complaints can be a rich source of information and learning about how a council’s performance is perceived and how it can be improved. What we recommend is a clear, accessible and flexible process that forms part of service provision and does not overwhelm individuals, departments or other council processes.
The purpose of a complaints system is to put right what has gone wrong and learn from it.’
What is a Complaint? An expression of dissatisfaction about a council service (whether that service is provided directly by the council or by a contractor or partner) that requires a response.
Guidance on Running a Complaints System – Local Government Ombudsman March 2009
The Customer Feedback and Complaints Team do not treat first time requests for service as a complaint, even if the customer has identified it as such. Objections and feedback on consultations are also not dealt with as a complaint.
The Role of the Customer Feedback and Complaints Team The Customer Feedback and Complaints Team are responsible for recording and coordinating all feedback received by the Council and operates specific statutory and corporate policies and procedures to manage this. A comprehensive reporting timetable ensures that data on the types of feedback is shared within the Council. This valuable information provides insight into the views of our customers and can be used to inform future service planning. The team directs complaints to the appropriate service area, monitoring its progress to ensure that a response is provided to the customer in a timely manner. All complaints are screened to identify the most appropriate way in which the Council should respond. The Customer Feedback and Complaints Team do not usually provide a response to complaints unless in exceptional circumstances. This is to provide the customer with the confidence that the team offers an impartial service that can support them in making representation to the Council. The team provides advice to persons wishing to use these procedures and we also offer staff members support and guidance on how to appropriately handle and respond effectively to complaints about the Council.
The Corporate Complaints Procedure Corporate Complaint - Stage 1: Local Investigation The first stage of the process is when a senior member of staff or manager of the service being complained about, is given the opportunity to investigate and respond to the complaint. The timescale for a response is 15 working days. The response at this stage represents the Council’s final position. Corporate Complaint – Stage 2: Review On receipt of a request for further consideration of the complaint, the Customer Feedback and Complaints Team will screen the request to ascertain if the complainant has provided sufficient evidence to support a further review. If the request is accepted, the Internal Review will be allocated to a Senior Manager for investigation and response. The timescale for a review is 25 working days.
If the screening process identifies that no evidence has been provided by the complainant to support the carrying out of further investigation, the Customer Feedback and Complaints Team will inform the complainant of this decision. The complainant will be advised why this decision has been made and that they can refer their concerns to the Local Government Ombudsman.
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Corporate Complaint – Stage 2: Independent Review Depending on the complexity and severity of the complaint, it may be necessary for the Customer Feedback and Complaints Manager to appoint an approved Independent Investigating Officer to investigate a complaint and then report on their findings. The findings are then summarised in a review response by a designated senior member of staff within the service area. The two stage process reflects the Councils wish to adopt a ‘do it once, do it right’ approach to complaints. The procedure will enable a complainant to refer their concerns to the Local Government Ombudsman after the first stage of the process, therefore reducing the length of time the complainant has to spend escalating their concerns through the Councils complaints process. Further benefits include a focus on ensuring that the initial complaint response under Stage 1 Local Resolution is robust and of a high standard. By providing a high quality response to complaints, the Council can demonstrate to its customers that it takes concerns seriously.
Administering Complaints Following receipt of feedback, the Customer Feedback and Complaints Team will analyse the content to determine how to most appropriately proceed with the matters raised. As part of the screening process, the Customer Feedback and Complaints Team will define the issues that require investigation from the information submitted by the complainant. Defining complaints or statement of complaints has a number of benefits including •Assists the allocated Investigating Officer in identifying the key issues that require investigation •It ensures that each complaint is considered separately and provides the complainant with a clear decision as to whether their complaint has been upheld or not •Captures themes and trends for reporting purposes Each screened complaint will be signed off by either a Complaints Officer or Customer Feedback and Complaints Team Leader to ensure that the areas for investigation have been correctly identified and that they have been entered into the most appropriate procedure. The procedure requires complaints to be responded to at the point of service delivery. This gives the service area subject of the complaint the opportunity to respond to any concerns raised about it. The manager of the service is also best placed to provide a knowledgeable and comprehensive response to the complaint. They can identify where things have gone wrong and propose a suitable remedy to the complainant.
Collation of Data Complaints are collated on a bespoke database that records details of the service subject of the complaint, the nature of the complaints raised, the outcome and remedies/learning.
Customer Communication Channels The Corporate Complaints Procedure is accessible in a number of ways. The following chart illustrates the channels used by customers to directly access this process.
47
25
3
5
11
53
60
0 10 20 30 40 50 60 70
Letter
In Person
Complaints Form
Telephone
Telephone via Contact Centre
On Line Form
Ch
ann
el
Channels Direct to Team 2015-16 The chart indicates that customers preferred method of contact when
making a complaint is electronic There is little uptake in respect of
the freepost complaints forms that are widely available.
11 complaints were received via external organisations.
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District
Overview of Feedback The chart below provides a general overview of the total amount of feedback which has been recorded by the Customer Feedback and Complaints Team
Complaints By Service The following chart provides data on the number of complaints that were dealt with under the formal procedure broken down by service. Comparative data has not been provided due to the reconfiguration of services during the reporting year.
21
31
9
22 18
50
27
19
13
5
0
10
20
30
40
50
60
Cannock EastStaffordshire
Lichfield Newcastleunder Lyme
Stafford SouthStaffordshire
StaffordshireMoorlands
Tamworth OutsideStaffordshire
Not Known
Complaints by District
214
17 0
153
10 0
305
24 15
215
23 13
0
50
100
150
200
250
300
350
Stage 1 LocalResolution
Stage 2 ReviewRequests
Local GovernmentOmbudsman
2012-13
2013-14
2014-15
2015-16
28
6
150
31
2 2
18
1 0
20
40
60
80
100
120
140
160
Finance & Resources Strategy, Governance &Change
Economy, Infrastructure &Skills
Families & Communities
Formal Complaints by Service
Stage 1 Stage 2
There has been an overall decrease in complaints during 2015-16 compared
to the previous reporting year.
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Economy, Infrastructure and Skills
107
29
6
8
0 20 40 60 80 100 120
Within 15 Working Days
Over 15 Working Days
Withdrawn
No Response Provided
Tim
esc
ale
s E, I & S - Timescales
Complaint Themes
Service Related Quality of Service 27%
Service Not Provided 17%
Information/Communication Poor/Lack of Communication 13%
Incorrect Information 1%
122
19
7
2
0 20 40 60 80 100 120 140
Highways & The Built County
Transport & The Connected County
Business & The Enterprise County
Sustainable County
Eco
no
my,
Infr
aatr
ucu
tr &
Ski
lls
E, S & I - Service
88
24 21
6 9 2
0
10
20
30
40
50
60
70
80
90
100
Not Upheld PartiallyUpheld
Upheld Withdrawn No ResponseProvided
Not SCC
E, I & S - Complaint Outcomes
Highways and the Built County continue to receive the highest volume of complaints and this is consistent with previous years. It is reasonable to expect the service to receive this volume in comparison with other corporate services as they are responsible for the majority of roads within Staffordshire therefore having a greater level of contact with residents.
59% of Stage 1 Complaints were found to be not upheld
Service related issues were the most common reason for complaint. These related to residents dissatisfaction with the quality of road repairs or that they felt the standard of service from the Council did not meet residents expectations
71% of complaints were responded to within set performance timescales
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Finance and Resources
19
1
5
3
0 5 10 15 20
Customer Service Centre
Finance
Human Resources
Property
Fin
ance
& R
eso
urc
es
F & R - Service
Complaint Themes Service Related Quality of Service 32%
Service Not Provided 11%
Information/Communication Poor/Lack of Communication 14%
Wrong Information Provided 4%
Staff Related Staff Professionalism 11%
Staff Knowledge 7%
22
6
0 5 10 15 20 25
Within 15 Working Days
Over 15 Working Days
Tim
esc
ale
s
F & R - Timescales
7
9
12
0
2
4
6
8
10
12
14
Not Upheld Partially Upheld Upheld
Outcomes
F & R - Complaint Outcomes
The Customer Service Centre has received the highest number of complaints under this directorate with 68%. However taking into consideration that this service is the first point of contact for residents, this is a low number in comparison to the volume of customer contact and low in contrast with other frontline services within the Council
48% of Stage 1 complaints were found to be upheld
Service related issues have been identified as the most common cause for complaint. Examples of this include dissatisfaction with the Blue Badge application service and difficulties in accessing a service from Staffordshire Cares
79% of complaints were responded to within set performance timescales
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Families and Communities
3
28
0 5 10 15 20 25 30
Rural County
Tourism & The Cultural County
Serv
ive
F & C - Service Complaint Themes
Service Related Quality of Service 16%
Service Removed 3%
Facilities (Libraries Only) Facilities in Public Library 19%
Staff Related Staff Professionalism 29%
Alleged Discrimination 3%
29
2
0 5 10 15 20 25 30 35
Within 15 Working Days
No Response Provided
Tim
esc
ale
F & C - Timescales
11
9 8
2 1
0
2
4
6
8
10
12
Not Upheld PartiallyUpheld
Upheld No ResponseProvided
Withdrawn
Outcomes
F & C - Outcomes
Libraries received the highest volume of complaints with 90% of Stage 1 complaints within Families and Communities. In consideration of the level of usage by residents across Staffordshire 28 complaints is considered moderate
35% of Stage 1 complaints were found to be upheld
The majority of complaints were in respect of staff employed in libraries, with these accounting for 29% of complaints, although the majority of these were found to be Not Upheld
94% of complaints were responded to within the set performance timescale. 2 Stage 1 complaints were not shared with the Customer Feedback and Complaints Team. As such complaints data has not been recorded against these individual cases
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Strategy, Governance and Transformation
4
1
1
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5
Legal Services Unit
Executive Business Support
Members and Democratic Services
Serv
ice
S, G & C - Service
4
2
0 1 2 3 4 5
Within 15 Working Days
Over 15 Working Days
Tim
esc
ale
s
S, G & C - Timescales
Complaint Themes Service Related Quality of Service 17%
Information/Communication Poor/Lack of Communication 50%
Lack of Information 17%
Staff Related Staff Professionalism 17%
4
1 1
0
0.5
1
1.5
2
2.5
3
3.5
4
4.5
Not Upheld Partially Upheld Upheld
Outcomes
S, G & C - Outcomes
Services within Strategy, Governance and Change received the lowest volume of complaints however services within this area are not generally frontline and open to residents
4 of the 6 Stage 1 complaint investigations that took place concluded that the issues raised were Not Upheld
Service related complaints were the most common. These included complaints about the delay in processing and responding to matters regarding amendments to definitive maps and the public rights of way routes
4 out of 6 Stage 1 complaints were responded to within the set performance timescale
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Stage 2 Review The chart below shows the number of Stage 2 Review requests received by the Customer Feedback and Complaints Team during 2015-16.
Service Area Review Approved? Outcome
Highways – Community Liaison No – Review Denied N/A
Highways – Community Liaison No – Review Denied N/A
Highways – Community Liaison Yes – Partially Upheld
Highways – Community Liaison Yes Upheld
Highways – Community Liaison No – Alternative Resolution N/A
Governance and Improvement Yes Not Upheld
Governance and Improvement Yes Not Upheld
Highways – Operations Yes Upheld
Highways – Operations No – Review Denied N/A
Highways - Maintenance No – Review Denied N/A
Highways - Maintenance No – Review Denied N/A
Highways - Maintenance Yes Partially Upheld
Delivery Ventures No – Review Denied N/A
Regulation and Governance Yes Upheld
Policy, Planning & Development No – Review Denied N/A
Policy, Planning & Development Yes Not Upheld
Public Protection Yes Not Upheld
Customer Service Centre Yes Partially Upheld
Customer Service Centre Yes Partially Upheld
Tourism Yes Not Upheld
Legal Unit Yes Not Upheld
Legal Unit Yes Not Upheld
County Farms Yes Not Upheld
Of the 15 Stage 2 Reviews that took place the following outcomes were identified:
53% Not Upheld
20% Partially Upheld
20% Upheld
7% Alternative Resolution (No further value in Stage 2 Review however complaint used as case study for opportunity for learning within the service)
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2 1
2 1
2
02468
10121416
Highways Policy, Planning &Development
Public Protection Customer ServiceCentre
Tourism Legal Unit
Service
Stage 2 Review Requests
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Local Government Ombudsman
The Local Government Ombudsman is empowered to investigate where it appears that a Council’s own investigations have not resolved the complaint. Whilst anyone can approach the Ombudsman at any time, the complainant is usually required to first take up their complaint with the relevant Council to allow a local response. However if the complainant remains dissatisfied with the response to their complaint from the Council, they have the right to pursue the matter with the Ombudsman. The table below provides information on the number of complaints that were referred to the Ombudsman and the outcome of the investigation.
Service Area Ombudsman Finding
Business and The Enterprise County No Fault/Injustice 1 Outside Ombudsman Jurisdiction 1 Decision Not To Investigate 1
Highways and The Built County Decision Not To Investigate 3 Outside Ombudsman Jurisdiction 2 No Fault/Injustice 1
The Rural County No Fault/Injustice 1
Transport and The Connected County No Fault/Injustice 1 Outside Ombudsman Jurisdiction 1 Decision Not To Investigate 1
Remedies and Learning from Complaints In line with the Ombudsman’s principle that complaints are a valuable source of learning for authorities, the Customer Feedback and Complaints Team place great emphasis on what improvements to a service or practice have been identified as part of a complaint investigation. It is expected that following an investigation the service informs the complainant of any improvements that have been out in place as a result of the complaint. As part of our recording and monitoring process, the Customer Feedback and Complaints Team ask that the service complete a Learning Action Plan detailing any relevant actions arising from the complaint. The following remedies are offered to complainants following investigation of the issues raised: Apology Explanation Staff Training Improve Communication Re-enforce Existing Policy/Procedure Further, more detailed learning has also been identified:
Comments made by the complainants will be incorporated in future reviews of services in this area (Transport and the Connected County)
Continue to monitor comments about the change in layout of library following complaint (Tourism and the Cultural County)
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Reminder to staff to guard against casual comments to customers in case they are misinterpreted (Sustainable County)
Future consideration given to divert footpath in light of complaint (Sustainable County)
Rota established in the Contact Centre to ensure that Tell Us Once system is checked an completed on a daily basis (Customer Services)
Leaflet revised (Tourism and the Cultural County)
Re-force guidance on noise within libraries (Tourism and the Cultural County)
Consideration given to removing the payment card charge from systems within Contact Centre until more appropriate charging system can be implemented (Customer Services)
All future interviews regarding Trading Standards to take place in appropriate interview room (Business and The Enterprise County)
Communications with interviewees are to be improved in circumstances where evidence is removed for copying during interviews (Business and The Enterprise County)
The process for dealing with highways claims to be reviewed in order to reduce process and potential for delay (Highways and The Built County)
That the Community Infrastructure Liaison Teams carefully consider the public perception of the democratic process when deciding on the need for and extent of informal consultation of proposals (Highways and The Built County)
Reminder to staff of the need to respond to all correspondence in a timely manner (Highways and The Built County)
Review the standard letters that are sent to members of the public regarding hedges that require cutting back (Highways and The Built County)
Findings of complaint investigation will be shared at the next Community Infrastructure Liaison Managers meeting in order to discuss what organisational measures should be implemented to improve customer satisfaction in relation to the Council’s Highways department. for example: request customer service staff to back up requests or updates to highways offers verbally or through other internal systems, consider how information provided electronically by Community Liaison staff can be interpreted by customer service staff and consider whether any further review is required, alert customer service staff of a potential system issue which prevents some highways officer from receiving electronic notifications, act as a case study for future customer service training (Highways and The Built County)
Compliments Compliments about a service or member of staff are highly valued as they inform the Council of when it is doing something right. The Customer Feedback and Complaints Team record all compliments and will forward it to the relevant service area in order that it can be shared with the staff member or team it relates to. A total of 165 compliments were received from customers during 2015-16. This is a reduction compared to 2014-15 where 396 were recorded. It is the expectation that staff will carry out their duties to the highest standard possible. During 2015-16, the Customer Feedback and Complaints Team have taken the step of filtering out generalised compliments and have instead focused on those that provide examples of staff going above and beyond their duties. The chart below provides information on the number of compliments received.
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Customer Feedback and Complaints Team – Other Activity In addition to holding responsibility for the Council’s Corporate Complaints Procedure, the Customer Feedback and Complaints Team is also accountable for the following procedures: The Children Act 1989 Representations Procedure (England) Regulations 2006 children’s social services The Local Authority Social Services and National Health Service Complaints (England) Regulations 2009 MP Enquiries addressed to the Chief Executive Public Enquiries addressed to the Chief Executive MP Enquiries addressed to the Senior Leadership Team Public Enquiries addressed to the Senior Leadership Team The chart below provides an overview of the team activity during 2015-16.
95
4 5 1
22
4 4
27
2 1 0
10
20
30
40
50
60
70
80
90
100
Tourism andThe Cultural
County
Business andExecutiveSupport
CustomerServices
Finance Highwaysand The
Built County
Member andDemocratic
Services
SustainableCounty
Business andThe
EnterpriseCounty
Rural County Property
Compliments 2015-16
792
116 154
92 81
199 191 236
52
299
432
0
100
200
300
400
500
600
700
800
900
MP
En
qu
irie
s to
CX
O/S
LT
Pu
blic
En
qu
irie
s to
CX
O/S
LT
Gen
eral
En
qu
irie
s
Re-
Dir
ects
Co
mp
lain
t R
efu
sed
Ch
ildre
ns
Soci
al C
are
Co
mp
lain
ts
Ad
ult
s So
cial
Car
e C
om
pla
ints
Co
rpo
rate
Co
mp
lain
ts
Loca
l Go
vern
men
t O
mb
ud
sman
De
alt
Wit
h B
Y C
FCT
Co
mp
lime
nts
Other Activity 2015-16
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The Customer Feedback and Complaints Team have evolved into a central service within the organisation that, during 2015-16 handled over 2000 complaints and enquiries. This can be broken down as follows: Enquiries 1062
Complaints 759
Re-directs 92
Resolved by the Customer Feedback and Complaints Team 299
This information is shared throughout the Council through the team’s comprehensive reporting timetable.
Commentary Channels: One of the Councils key corporate priorities is to better utilise digital technology. This can improve access channels for our residents to contact the Council. The majority of complaints are received electronically via the on-line form and email however letters and complaints forms still account for 14% of communication Volume Analysis: During 2015-16 the Council has seen a significant reduction in matters dealt with under Stage 1 of the Corporate Complaints Procedure. It is natural for complaint numbers to fluctuate and it is difficult to predict future volume as this relies on the view of residents and therefore cannot be controlled. The Council provides services to the residents of Staffordshire in a variety of ways throughout the year and as such complaints remain constant. The Council recognises that some complaints require more immediate attention and can be resolved quickly whilst other complaints warrant more in-depth investigation and response. A framework has been developed in conjunction with the Contact Centre to ensure consistent and appropriate handling of informal complaints and a system is in place to escalate the complaint to the formal procedure should the matter not be resolved informally to the satisfaction of the complainant. Therefore complaints which may previously have been recorded under the formal complaints process are now dealt with informally which may contribute to the reduction in numbers. Highways remain the area that receives the highest volume of complaints however it should be recognised that each service within the Council provides a unique provision with a greater or lesser level of direct contact with residents. Those with the greater contact with residents or whose service directly affects a higher percentage of the population of Staffordshire are likely to receive a higher volume of complaints in comparison with other service areas within the Council. Nature: The overall theme for complaints relate to service matters, including complaints about the quality of service received and service not being provided. 20% of complaints about service were Upheld whilst 54% were found to be Not Upheld. A number of complaint investigations identified the requirement for the Council to better manage the expectations of residents rather than a failure to deliver a service. Outcome: 51% of complaints at Stage 1 have been found Not Upheld and overall complaints that relate to service issues were Not Upheld. 20% of complaints were identified as Upheld. In assessing complaints it is important to focus on the outcome of the complaint investigation rather than the number received. 2015-16 demonstrates that the findings of the investigation do not support the concerns that have been raised. There is still evidence that the Council has been at fault and teams are expected to be transparent and open in any complaint investigation, accepting fault and providing the complainant with a remedy to resolve the issues raised. Timescales: 2015-16 has seen an improvement in the overall performance of services when responding to complaints at Stage 1 with the majority of complainants receiving a full response to their complaint
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within 15 working days. A number of complaints did exceed this timescale however it is recorded the allocated investigating officer contacted the complainant to agree an extension to the investigation. Stage 2 Review: Despite the reduction in formal complaints, there has been a slight increase in the number of complainants requesting that their complaint escalate to Stage 2 Review in comparison to 2015-16. 11% of complainants requested that their complaint be subject to a Stage 2 Review. This is a slight increase in escalations compared to the previous reporting year. 8% of Stage 1 Local Resolution complaints escalated to Stage 2 Review in 2014-15. 65% of requests for a Stage 2 Review were approved. The decisions to further escalate the complaints are as follows:
The complainant could provide further points relevant to the complaint that did not form part of the investigation
Poor quality response by the service which did not carry out a comprehensive investigation and response at Stage 1
14% of Stage 2 Reviews determined that the complaint was fully Upheld whilst 50% were found Not Upheld. Local Government Ombudsman: 2015-16 has been a successful year in terms of complaints from the Local Government Ombudsman. There has been a reduction in complainants who have remained dissatisfied following investigation under the Council’s Corporate Complaints Procedure and referred their concerns to the Ombudsman requesting further investigation. In addition only 31% of referred complaints were accepted by the Ombudsman for investigation. Of these, no evidence of fault or maladministration was determined. Service Development for the Customer Feedback and Complaints Team
The team continue to monitor the effectiveness of the Corporate Complaints Procedure. Periodical reviews are undertake to ensure that the process works well for those who need to access it and that it continues to provide a resolution focused outcome
Consider making quality assurance of Stage 1 Local Resolution response letters by the Customer Feedback and Complaints Team mandatory prior to the response being shared with the complainant
Assess the effectiveness of the current mechanism for sharing learning from complaints within the organisation
Build on current reporting strategy to improve sharing of complaints data with other services within the Council
Provide clarity on what constitutes a recordable compliment and ensure that as many as possible are captured so that more evidence is available to demonstrate what the Council is doing well
Sue Hardie Team Leader – Customer Feedback and Complaints Team [email protected]
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