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Flora Fernandes

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INDEX
SR NO

TOPICS

INTODUCTION TO COMPLAIN HANDLING

PRINCIPLES OF GOOD COMPLAIN HANDLING

GOLDEN RULES OF COMPLAINT HANDLING

HOW TO HANDLE COMPLAIN

STEPS TO HANDLE COMPLAIN

Guidance to Scottish Government staff on the

Complaints Handling Procedure (CHP)

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
Ombudsmans 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 right
2.Being customer focused
3.Being open and accountable
4.Acting fairly and proportionately
5.Putting things right
6.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 plan
Have 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 handling
Give 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 authority
Staff 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 source
Nowadays 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 firstLetting 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 mistakeDon'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 complaintDo 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 exampleIt'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 Understand

First, 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. Empathize
Once 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 Solution
Offer 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 Solution
Solve 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 Ombudsmans 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 Governmentspolicy
*.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 1
provides 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 2
gives 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 1
for 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
Governments 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 customers 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 Governments
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 1
gives 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 3
provides 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, highrisk 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 Governments 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.
Timelines
The 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 timeline
Not 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 youre 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 owners 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 Ive 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. Ive learned its
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 youre 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, Ive found its 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.