Guidance to support the DWP 2 Tier Complaints Resolution Process

Transcription

1 Guidance to support the DWP 2 Tier Complaints Resolution Process Purpose This guidance is for all DWP staff that are following the 2 tier complaints resolution process, except those working in a Contact Centre. Contact Centre staff should see the Contact Centre Line Manager s Briefing here (under guidance ) for their process. This guidance provides in-depth information and detail regarding each stage of the process map (see page 6), as well as describing the specific activities required, including handoffs, for each step of the process. Background The new complaints resolution process was developed following recommendations in a National Audit Office report that the Department for Work and Pensions (DWP) should seek staff and customer opinions on the existing complaints process, and use the findings to consider improvements. The new process also supports requirements outlined within the Parliamentary and Health Service Ombudsman s Principles and the DWP Customer Charter. Following extensive research with customers and intermediaries, and a number of workshops with DWP Operational staff, the findings were used to develop a new complaints resolution process. A Lean expert was involved in the development, ensuring that the new process eliminated unnecessary waste and was the optimum process for the Department and our customers. Following a successful test, the new process was rolledout across all Disability and Carers Service and Pension Service sites, concluding in December A Working Age Pathfinder within Merseyside also successfully tested the new process, and in March 2012 the Operational Executive Team confirmed roll-out across the rest of the Working Age estate. This was completed in December Providing excellent service to our customers is vital. Customers who are treated well will confidently engage with our staff and our processes. Feedback, in the form of compliments, suggestions and complaints, is valuable information on how customers perceive our services and what they expect from it. It tells us how we are doing, what we can improve on and what we do well. It is important we record feedback so we can act on it and improve the quality of our service. A high level process map has been developed outlining the DWP 2 tier complaints resolution process. A link to this process map can be found on page 6. Journey path 1 telephone resolution, short written response by exception: Step 1 Front-line telephone/ face2face complaints, what is/ is not a complaint, Once & Dones & unresolved complaints (FOR ALL FRONT-LINE STAFF EXCEPT THOSE WORKING IN A CONTACT CENTRE) Step 1a Capturing and recording complaints information from step 1 on Feedback Handler Step 2 Complaint Resolution Manager (CRM), unresolved front-line telephone/ face2face complaints, letters of complaint & complaints Step 2a Capturing and recording complaints information from step 2 on Feedback Handler Step 3 Involving management/ experts in CRM unresolved complaints Step 4 CRM final call to customer to attempt resolution

2 Step 4a Capturing and recording resolved complaints at step 4 on Feedback Handler Step 5 Escalating complaints to the Chief Operating Officer s Correspondence Unit (COO) Step 6 Capturing and recording complaints information following escalation to COO on Feedback Handler Step 7 Drafting short written response to complaint following telephone resolution Step 7a QA of draft short written response Step 7b Sign-off of short written response Step 7c Issuing the short written response Journey path 2 no contact made by telephone, full written response required: Step 8 No telephone contact can be made full written response required Step 9 CRM investigating the complaint when no telephone contact can be made Step 10 Drafting, QA & issuing the full written response Step 11 CRM contact details to be included for full written response Step 12 Capturing and recording complaints information from Journey path 2 on Feedback Handler Annexes 1 - Special Payments process flow, 1a - Guide to completing RM1 Client Payment Authority, 1b - Authorising an RM1 following a Special Payment award, and Delegated Financial Authority (DFA) limits 1c - Special Payment Checklist for Complaint Resolution Manager (CRM) and RM1 Authorisers, 2 - Suggested Telephone Scripts, 3 - Signpost paragraphs for letters, 4 - Special payments paragraphs, 5 - Dealing with MP complaints received directly at a Centre/ Unit 6 - What is/ is not a complaint 7 - Dissatisfaction with DWP Policy 8 - Single Point of Contact (SPOC) role 9 - Substantive holding responses 10 - Provider complaints 11 - Some reminders of good practice DWP Complaints Resolution Process Map The high-level process map for the new DWP complaints resolution process can be found here

3 Journey Path 1 Step 1 Front-line telephone face2face complaints, what is/is not a complaint, Once & Dones & unresolved complaints (FOR ALL FRONT- LINE STAFF EXCEPT THOSE WORKING IN A CONTACT CENTRE) Audience - All customer-facing staff. EXCEPT THOSE WORKING IN A CONTACT CENTRE STAFF SHOULD SEE HERE UNDER GUIDANCE FOR THEIR PROCESS. Important information: This step refers to complaints received by telephone and face2face. It is important that you do everything you can to resolve complaints with the customer at the first point of contact, including team leader/ manager involvement where necessary. DO NOT ASK THE CUSTOMER TO PUT THE COMPLAINT IN WRITING. Overview: A telephone call is received or a customer sees you face2face; you identify a complaint and attempt to resolve it there and then during the call or whilst talking with the customer. If you are able to resolve - at the end of this step you will capture brief details of the complaint and then arrange for it to be recorded on Feedback Handler. You will ensure that the complainant knows what to do if they later change their mind. If full resolution is not possible (including after team leader/ manager involvement) - at the end of this step you will capture details of the complaint and then pass the details on to the team of Complaint Resolution Managers. What happens? a) A telephone call is received. or someone talks to you face2face. b) During the course of the conversation it becomes clear that the customer is dissatisfied with the level of service that they have received. c) Think is this a complaint? From April 2011, the standard definition of a complaint, as agreed across DWP is: an expression of dissatisfaction about the service received. Complaints may be made or received in a variety of ways, for example verbally (either in person or on the telephone) in writing (via , letter, fax or through feedback forms), or through other routes such as a request for a reconsideration or an appeal. If the complaint is about the service of a Provider then this should be passed straight to the Provider for them to answer. The only exception is where the complaint is about both a provider and the service provided by the Department s businesses. This is known as a mixed-complaint (SEE ANNEX 10 FOR FURTHER INFORMATION AND LINKS TO THE RELEVANT GUIDANCE ). The agreed definition of an appeal is, a request to change a benefit/pension decision that you think is wrong. If a customer is dissatisfied with a benefit/ pension decision then they should be advised that they can ask for an appeal or reconsideration. Dissatisfaction with a benefit/pension decision is not classed as a complaint. It is important that any

4 customer dissatisfaction with a decision is dealt with quickly and passed to the appropriate operational area for action. Customer dissatisfaction with policy or legislation is not classed as a complaint. The customer should be provided with the standard line to take where available. They should not be offered an escalation route as these are not complaints. The DWP Briefing Hub, available on the DWP intranet, is a useful source for policy and legislation lines to take. SEE ANNEX 7 FOR MORE INFORMATION ON HOW TO HANDLE POLICY ISSUES. Where a standard line to take is not available, or does not answer the customer s enquiry fully, policy colleagues should be approached for a contribution to the response. If the customer remains dissatisfied with the line to take/ policy contribution, and wants a further route to take their issues, as a final step you can advise the customer that their only recourse is to approach their local MP to raise their concerns. Even though dissatisfaction with policy is not treated as a complaint within the DWP definition of a complaint, it is important that you capture the fact that the customer is dissatisfied, and which policy they are unhappy about. The information should then be passed to the Complaint Resolution Manager/ Feedback Handler user for them to record on Feedback Handler as dissatisfaction with a Policy issue. This data will enable the Department to obtain a picture of any trends/ issues with regard to customer dissatisfaction with policy. SEE ANNEX 6 FOR FURTHER INFORMATION ON, AND EXAMPLES OF, WHAT IS AND WHAT IS NOT CLASSED AS A COMPLAINT. d) If it is a complaint about the service received, you will identify and attempt to resolve the issues with the caller during the telephone call or with the customer face2face. First, check that you and the customer have the same understanding about the grounds for the complaint. You will then try to resolve the issues by, for example: providing an explanation of what has happened, providing an assurance that everything has been done appropriately (if this is the case), providing information as necessary, apologising for anything that we have done wrong, speaking to your team leader/ manager to see what can be done, providing information on what you will do to make things right and when you will do it by. e) What is the outcome? i) Complaint resolved, caller satisfied and no further action necessary (called a ONCE & DONE)

5 If you are able to resolve the issues during the telephone call or face2face, and the customer confirms that they are satisfied with your response to their complaint; During the call or whilst speaking face2face: thank them for their feedback, ask if there is anything else that you can do for them, wrap-up the conversation, and advise the customer that if they change their mind at a later date then they should contact us again and ask to speak to a Complaint Resolution Manager, (see suggested script at annex 2,). DO NOT OFFER TO WRITE TO THE CUSTOMER. Telephony is now the preferred channel for resolving complaints. You should not ask the customer to put their complaint in writing, or offer to respond to the customer in writing, unless specifically requested to do so, or you are unable to contact the customer by telephone. If the customer requires a letter in Braille or large font, then please follow existing guidance. If the customer insists on a written response then this should be done by the frontline, not passed to the Complaint Resolution Manager. See STEP 7 for some hints and tips on how to write this short response. After the call or face2face conversation Capture complaint information on a telephone message/ message capture form/ complaint or feedback template, to include: name of complainant/ name of customer (if different) NiNo a brief summary of the complaint confirmation of what you did to resolve the issues confirmation that you have advised of the next steps necessary in case of any further concerns contact number/ It is also important that you consider whether a special payment may be appropriate. Pass the completed message (or a copy of the message if the conversation involved other issues as well as the complaint) to the Complaint Resolution Manager for them to record on Feedback Handler. Copy in your line manager. END of STEP 1 ENTER STEP 1a (and exceptionally STEP 7) ii) Complaint resolved, caller satisfied but further action necessary If you are able to resolve the caller s issues during the telephone call, and the caller confirms that they are satisfied with your response to their complaint, but there are further actions to take following the call; If you are able to resolve the issues during the telephone call or face2face, and the customer confirms that they are satisfied with your response to their complaint, but there are further actions to take; During the call or whilst speaking face2face thank them for their feedback, confirm the complaint is resolved, explain what further action will happen,

6 explain (if appropriate) that you will be passing the complaint on to the relevant team to arrange for completion of the actions, agree timescale(s) for completion of actions (if possible), check correct telephone number held, and obtain agreement for call-back. DO NOT OFFER TO WRITE TO THE CUSTOMER. Telephony is now the preferred channel for resolving complaints. You should not ask the customer to put their complaint in writing, or offer to respond to the customer in writing, unless specifically requested to do so, or you are unable to contact the customer by telephone. If the customer requires a letter in Braille or large font, then please follow existing guidance. If the customer insists on a written response then this should be done by the frontline, not passed to the Complaint Resolution Manager. See STEP 7 for some hints and tips on how to write this short response. After the call or face2face conversation - Capture complaint information on telephone message/message capture form/complaint or feedback template, to include, name of complainant/ name of customer (if different) NiNo a brief summary of the complaint confirmation of what you did to resolve the issues the outstanding actions that still need taking and who will be carrying them out any timescales agreed with the complainant for completion of the outstanding actions any timescales agreed with the complainant for a call-back (and confirmation of number) Initiate any actions that require completion It is also important that you consider whether a special payment may be appropriate, Pass the message (or a copy of the message if the conversation involved other issues as well as the complaint) to the Complaint Resolution Manager for, recording on Feedback Handler, and to monitor the agreed outstanding actions (if appropriate) Copy message to your line manager. END of STEP 1 ENTER STEP 1a (and exceptionally STEP 7) iii) Complaint not resolved There may be a number of reasons why you are unable to resolve the caller s complaint during the telephone call or face2face it is too complex it would take too long to resolve during the call or face2face the customer is dissatisfied with your attempt at resolution (and your team leader s/ manager s attempts, where appropriate) you are not able to resolve.

7 If any of these scenarios apply, you must send the complaint to the Complaint Resolution Manager. During the call or whilst speaking face2face: thank them for their feedback, apologise and explain why you are unfortunately not able to personally resolve their complaint, explain that you will pass the complaint on to a specialist Complaint Resolution Manager who will telephone the customer back to discuss the complaint, check correct telephone number held, and obtain agreement and day/ time for callback. If the caller asks to speak to your line manager then you should still let them do so (before telling them that you will be passing the complaint to the Complaint Resolution Manager). It may be that by speaking to your manager, the issues can be resolved. If your line manager is unable to resolve the issues, and the customer remains dissatisfied, then you (or your line manager) need to explain that the complaint will be passed to the specialist Complaint Resolution Manager. After the call or face2face conversation Capture complaint information on telephone message/message capture form/complaint or feedback template, to include: Name of complainant/ name of customer (if different) NiNo a brief summary of the complaint why you were unable to resolve the complaint confirmation of any action you took to try to resolve the issues (if appropriate) details of what the customer was asking for by way of resolution (if appropriate) any agreed time for the Complaint Resolution Manager to call back (and confirmation of number) Pass the message (or a copy of the message if the conversation involved other issues as well as the complaint) to the Complaint Resolution Manager for them to: record on Feedback Handler, and to deal with the complaint. Copy in your line manager. END of STEP 1 ENTER STEP 2 (Via STEP 1a) iv) Some aspects of the complaint resolved, but some aspects unresolved - It may be that you are able to resolve some of the issues during the conversation, but the customer remains dissatisfied because you are not able to resolve all of the issues even after speaking to your team leader/ line manager; During the call or whilst speaking face2face - thank them for their feedback apologise that you are not able to fully resolve the complaint to their expectations confirm the parts of the complaint that have been resolved and those which remain outstanding

8 if appropriate, explain what further action will happen to address the issues which you have agreed are resolved, agreeing timescales for completion explain that you will pass the unresolved aspects of the complaint on to a specialist Complaint Resolution Manager who will telephone the customer back to discuss the complaint check correct telephone number held, and obtain agreement and day/ time for callback. After the call or face2face conversation: Capture complaint information on telephone message/message capture form/complaint or feedback template, to include: Name of complainant/ name of customer (if different) NiNo a brief summary of the complaint why you were unable to resolve the complaint fully confirmation of which aspects are resolved, any action required to complete the resolved issues and who will be carrying them out which issues remain unresolved and, if possible, what the customer expects by way of resolution for these any agreed time for the Complaint Resolution Manager to call back (and confirmation of number) Initiate any actions that require completion. Pass the telephone message/ message capture form/ complaint or feedback template (or a copy of the message if the conversation involved other issues as well as the complaint) to the Complaint Resolution Manager for them to, record on Feedback Handler to monitor the agreed outstanding actions on the resolved aspects of the complaint (if appropriate) to deal with the unresolved aspects of the complaint. Copy in your line manager. END of STEP 1 ENTER STEP 2 (Via STEP 1a) Step 1a Capturing and recording complaints information from Step 1 on Feedback Handler Audience:- Complaint Resolution Managers / Feedback Handler users Important information This step refers to the action required by the Complaint Resolution Managers / Feedback Handler users to record complaints on the Feedback Handler database that have been referred to them by the front-line. It is important that we capture feedback so that we can learn from it and use the information to improve our services. Overview

9 A complaint has been received by telephone or face2face and now needs to be recorded on Feedback Handler. The Complaint Resolution Manager/ Feedback Handler user receives a completed message or template from the front-line, and then inputs the data onto the Feedback Handler database. The Complaint Resolution Manager may also need to monitor (and perhaps arrange) for any outstanding actions to be undertaken. If the complaint has not been fully resolved by the front-line, the Complaint Resolution Manager will then go on to investigate and attempt to resolve the complaint. What happens? You receive a completed telephone message/ message capture form/ complaint or feedback template from the front-line; Complaint resolved, caller satisfied and no further action necessary (also called a ONCE & DONE. Check the message/template to see whether it captures all the information necessary to enable inputting of the complaint into Feedback Handler. If not, you will need to refer to computer system records and/ or customer file (or possibly contact the front-line) to gather the missing information. When you have all the necessary information you will then input the data into Feedback Handler and close the complaint. Refer to the Feedback Handler User Guide for how to input the information. Ensure brief details regarding receipt/outcome of the complaint are captured in computer system notepad. END of STEP 1a END OF COMPLAINTS RESOLUTION PROCESS ii) Complaint resolved, caller satisfied but further action necessary (also called a ONCE & DONE )- Check the message/template to see whether it captures all the information necessary to enable inputting of the complaint into Feedback Handler. If not, you will need to refer to computer system records and/ or customer file (or possibly contact the front-line) to gather the missing information. When you have all the necessary information you will then input the data into Feedback Handler. Refer to the Feedback Handler User Guide for how to input the information. If there are follow-up actions to be completed, you will check that you understand what is being done (obtain clarification from the front-line if necessary) consider setting a BF (you may use Feedback Handler) to monitor the follow-up actions consider calling-back the customer once actions are completed consider keeping the customer informed if the actions will take longer than agreed (if appropriate).

10 Once all the actions are completed you will update Feedback Handler (if appropriate) and close the complaint. Ensure brief details regarding receipt/outcome of the complaint are captured in computer system notepad. STEP 7 Note: if the follow-up action required is to provide a written response, then go to END of STEP 1a (possibly via STEP 7) END OF COMPLAINTS RESOLUTION PROCESS iii) Complaint not resolved - Check the message/template to see whether it captures all the information necessary to enable inputting of the complaint at this stage into Feedback Handler. If not, consider whether you should refer to computer system records and/ or customer file (or possibly contact the front-line) to gather the missing information (but see below). Note: You may only have limited information on the complaint available at this point until you have spoken with the customer. You need to consider whether the message/template provides you with enough information to be able to proceed to step 2; investigating and resolving the complaint. When you have all the necessary information you will input the data into Feedback Handler. Refer to the Feedback Handler User Guide for how to input the information. Ensure brief details regarding receipt/outcome of the complaint are captured in computer system notepad. END of STEP 1a ENTER STEP 2 iv) Some aspects of the complaint resolved, but some aspects unresolved - Check the message/template to see whether it captures all the information necessary to enable inputting of the complaint at this stage into Feedback Handler. If not, consider whether you need to refer to computer system records and/ or customer file (or possibly contact the front-line) to gather the missing information. If there are follow-up actions to be completed on the resolved aspects of the complaint, you will, check that you understand what is being done (obtain clarification from the front-line if necessary), set a BF (you may use Feedback Handler) to monitor the follow-up actions, arrange to call-back the customer once actions are completed, keep the customer informed if the actions will take longer than agreed (if appropriate).

11 When you have all the necessary information you will input the data into Feedback Handler Once all the outstanding actions are completed you will update Feedback Handler (if appropriate). Refer to the Feedback Handler User Guide for how to input the information. Ensure brief details regarding receipt/outcome of the complaint are captured in computer system notepad. You also need to consider whether the message/template provides you with enough information to be able to proceed to step 2; investigating and resolving the outstanding issues. END of STEP 1a ENTER STEP 2 Step 2 CRM unresolved front-line telephone/face2face complaints, letters of complaint & complaints Audience: Complaint Resolution Managers (CRM) Important information Complaint Resolution Managers will attempt to resolve all complaints by telephone. They will receive all complaints that cannot be resolved in the telephone call or face2face conversation at step 1. The Complaint Resolution Managers will also directly receive all written complaints (including s) and all face-to-face complaints that have not been resolved by the front-line contact (e.g. during a DWP visit). As telephony is the preferred channel for resolving complaints, you must always remember to ask the necessary security questions to confirm the identity of the person you are speaking with. Overview The Complaint Resolution Manager will receive unresolved complaints from the front-line and all written complaints. They will investigate the complaint and then telephone the customer to attempt resolution. If resolution is successful - at the end of this step you will complete the complaint record and close it on Feedback Handler (and, exceptionally, provide a short written response). If no resolution is possible - at the end of this step you will go on to reconsider the complaint with your manager. What happens? Telephone & face2face complaints that could not be resolved by the front-line

12 You will receive a message/ template from the front-line. This will record a brief summary of the complaint and explain why it could not be resolved during the original call or face2 face conversation. You will always attempt to resolve the complaint by telephone. As telephony is the preferred channel for resolving complaints you must always remember to ask the necessary security questions to confirm the identity of the person you are speaking with. a) The acknowledgement & fact finding call: You will telephone the customer within 48 hours. We call this the acknowledgement & fact finding call. If you are unable to contact the customer by telephone (minimum 3 attempts in 48 hours at different times of the day), then you will need to follow the process for a full written response at STEP 8. You may want to continue attempting to contact by telephone after the 48 hour period if you think you have a good chance of success, and will still have time to draft a full written response. You can also issue a short letter to the customer where appropriate, asking them to ring you to discuss their complaint within 7 days. You have 15 working days in which to fully resolve the complaint to the customer s satisfaction. If you can not resolve the complaint in this timeframe then you should provide a substantive holding response (SEE ANNEX 9). If you are unable to contact the customer by telephone, or the customer is unwilling to have their complaint dealt with over the telephone, or the customer is unable to communicate by telephone because of a disability or communication barrier, then you will need to follow the process for a full written response at STEP 8. If the customer does not answer the telephone you can leave a message on their answer machine. However, you must remember to just leave your name, who you work for (Pension Service, Disability and Carers Service or Jobcentre Plus) and contact number. Do not say that you are ringing about their complaint. YOU MUST NOT LEAVE ANY CUSTOMER PERSONAL DATA ON THE ANSWER MACHINE. During the acknowledgement & fact finding call introduce yourself as a specialist Complaint Resolution Manager and acknowledge receipt of the complaint, apologise for the fact that the complaint could not be dealt with during the previous call or face2face conversation, provide the customer with your contact details, discuss and confirm what the customer s issues are, once you have captured the issues, explain that you will look into them to see what has happened and what can be done to resolve them, agree call-back arrangements.

13 Don t forget to use the skills and behaviours you have learned from your CRM training. It is hoped that in most instances you will be able to resolve the complaint during this acknowledgement & fact finding call. This could be because you have already had a chance within the 48 hour period to look at the information provided by the front-line, and information from the customer s records and have developed some resolution proposals. It could also be because when speaking to the customer you find that the complaint is not as complex or difficult as first thought and you are able to resolve the issues. *****If you are able to resolve the complaint in this call go straight to d)i below***** If you do not have the chance to discuss any resolution proposals, and are therefore unable to resolve the complaint during this call, carry on below After the acknowledgement & fact finding call: fully document the issues raised by the customer on a telephone message or telephone resolution template/ form begin to investigate the issues and decide how/ if you can resolve the complaint. b) Investigating the complaint When investigating the complaint, you will need to (where appropriate): review the information in the original message/template from the front-line review the information you obtained during your acknowledgement & fact finding call with the customer check computer records/ documents check any clerical records, calling the customer s file where appropriate obtain information/ clarification from other teams as to what has been done and why go via your Single Point of Contact (SPOC) where appropriate obtain necessary help/ information from technical experts - go via your Single Point of Contact (SPOC) where appropriate consider whether a special payment is appropriate (see annex 1 for process flow) c) The resolution call Once you are content that you understand the cause of the complaint and have options to resolve the customer s issues, telephone the customer again to attempt resolution. We call this the resolution call. training Don t forget to use the skills and behaviours you have learned from your CRM d) What is the outcome? i) Complaint resolved, customer satisfied with resolution proposals -

14 If the customer agrees that your proposals will address their issues and resolve the complaint, you will, During the resolution call: confirm that your proposals resolve the complaint and that the customer is satisfied including outlining any special payment award(s), if appropriate, outline the outstanding actions that you will take, agreeing timescales for completion, e.g. payment dates, follow-up calls, return of documents etc. agree next contact details (if appropriate), provide details if the customer should later change their mind and wish to escalate. (See suggested script at annex 2,) DO NOT OFFER TO WRITE TO THE CUSTOMER. Telephony is now the preferred channel for resolving complaints. You should not ask the customer to put their complaint in writing, or offer to respond to the customer in writing, unless specifically requested to do so, or you are unable to contact the customer by telephone. If the customer requires a letter in Braille or large font, then please follow existing guidance. If the customer insists that they want a written response - go to STEP 7 After the resolution call complete a telephone message/ telephone resolution template confirming resolution achieved, customer satisfied, and that you have provided details of what they need to do if they later change their mind document any actions that still need to be taken arrange for these actions to be carried out - either do them yourself or, if you cannot, pass to the appropriate area via your Single Point of Contact (SPOC) if appropriate set BFs (you may use Feedback Handler) for completion of actions and call back (if appropriate) if not already done so, consider whether a special payment is appropriate, (see annex 1 for process flow) As there is no requirement for the telephone calls to be recorded, remember to include as much relevant detail as possible in your message/ template so that if the customer does decide to escalate their complaint at a later date, then the COO Correspondence Unit (COO), the Independent Case Examiner (ICE) or the Parliamentary and Health Service Ombudsman (PHSO) will be clear on exactly what was discussed with the complainant and what was agreed. You will then proceed to 2a. END of STEP 2 ENTER STEP 2a (and exceptionally STEP 7) ii) Complaint unresolved, customer dissatisfied with resolution proposals - If the customer is clearly not happy with the proposals you suggest then you will, During the resolution call: apologise that you are not able to resolve the complaint clarify again (if necessary) exactly what the customer expects by way of resolution say that you will speak to your manager to see if anything else can be done

15 agree next contact details. After the resolution call : record the conversation on a telephone message/ telephone resolution template, clearly documenting why the customer was not satisfied and what they expect by way of resolution include call-back details proceed to 3. As there is no requirement for the telephone calls to be recorded, remember to include as much relevant detail as possible in your message/ template so that if the customer escalates their complaint, then the COO Correspondence Unit (COO), and potentially the Independent Case Examiner (ICE) or the Parliamentary and Health Service Ombudsman (PHSO), will be clear on exactly what was discussed with the complainant. END of STEP 2 ENTER STEP 3 (possibly via STEP 2a) iii) Complaint partially resolved, customer satisfied with some but not all resolution proposals - The customer may agree to some of your proposals but still thinks you have failed to address other issues. The complaint is therefore not fully resolved. During the resolution call: apologise that you are not able to fully resolve the complaint to their expectations, confirm the parts of the complaint that have been resolved and those which remain outstanding, clarify again (if necessary) exactly what the customer expects in order to resolve those issues that remain outstanding, say that you will speak to your manager to see if anything else can be done about those aspects of the complaint that remain outstanding, if appropriate, outline the outstanding actions that you will take to address the issues which you have agreed are resolved, and agree timescales for completion, agree next action and contact details. After the resolution call record the conversation on a telephone message/ telephone resolution template, clearly documenting, the issues which are resolved the issues which remain outstanding, and (if possible) what the customer expects by way of resolution for these any actions that still need to be taken to address the issues which you have resolved already arrange for these actions to be carried out - either do them yourself or, if you cannot, pass to the appropriate area via your Single Point of Contact (SPOC) if appropriate set BFs (you may use Feedback Handler) for completion of actions and call-back (if appropriate) if not already done so, consider whether a special payment is appropriate, (see annex 1 for process flow)

16 As there is no requirement for the telephone calls to be recorded, remember to include as much relevant detail as possible in your message/ template so that if the customer escalates their complaint, then the COO Correspondence Unit (COO), and potentially the Independent Case Examiner (ICE) or the Parliamentary and Health Service Ombudsman (PHSO), will be clear on exactly what was discussed with the complainant and what was agreed and what remains outstanding. Then proceed to step 3 to further consider the issues which are not yet resolved. END of STEP 2 ENTER STEP 3 FOR ANY UNRESOLVED ISSUES (possibly via STEP 2a) 2. Letters of complaint - You will receive all letters of complaint you will still try to resolve these complaints by telephone. Upon receipt of the letter of complaint, you should immediately record as much basic information as you can about the complaint on Feedback Handler. As telephony is the preferred channel for resolving complaints you must always remember to ask the necessary security questions to confirm the identity of the person you are speaking with. a) The acknowledgement & fact finding call - You will telephone the customer within 48 hours of receipt of the letter of complaint. We call this the acknowledgement & fact finding call. If you are unable to contact the customer by telephone (minimum 3 attempts in 48 hours at different times of the day), then you will need to follow the process for a full written response at STEP 8. You may want to continue attempting to contact by telephone after the 48 hour period if you think you have a good chance of success, and will still have time to draft a full response. You can also issue a short letter to the customer where appropriate, asking them to ring you to discuss their complaint within 7 days You have 15 working days in which to fully resolve the complaint to the customer s satisfaction. If you can not resolve the complaint in this timeframe then you should provide a substantive holding response (SEE ANNEX 9). If the customer does not answer the telephone you can leave a message on their answer machine. However, you must remember to just leave your name, who you work for (Pension Service, Disability and Carers Service or Jobcentre Plus) and contact number. Do not say that you are ringing about their complaint. YOU MUST NOT LEAVE ANY CUSTOMER PERSONAL DATA ON THE ANSWER MACHINE.

17 If you are unable to contact the customer by telephone, or the customer is unwilling to have their complaint dealt with over the telephone, or the customer is unable to communicate by telephone because of a disability or communication barrier, then you will need to follow the process for a full written response at STEP 8. During the acknowledgement & fact finding call: introduce yourself as a specialist Complaint Resolution Manager and acknowledge receipt of the letter of complaint, provide the customer with your contact details, discuss and confirm what the customer s issues are, attempt resolution if you have already had a chance to consider the complaint, if you have not had a chance to consider the complaint then, once you have captured the issues during the telephone call (and you do not think that you can resolve them during the call), explain that you will look into them to see what has happened and what can be done to resolve them, agree call-back arrangements. Don t forget to use the skills and behaviours you have learned from your CRM training. It is hoped that in most instances you will be able to resolve the complaint during this acknowledgement & fact finding call. This could be because you have already had a chance within the 48 hour period to look at the information provided by the front-line, and information from the customer s records and have developed some resolution proposals. It could also be because when speaking to the customer you find that the complaint is not as complex or difficult as first thought and you are able to resolve the issues. *****If you are able to resolve the complaint in this call go straight to d)i below***** If you are unable to resolve the complaint during this call, carry on below After the acknowledgement & fact finding call: fully document the issues raised by the customer on a telephone message/ telephone resolution template, begin to investigate the issues and decide how you can resolve the complaint. b) Investigating the complaint: When investigating the complaint, you will need to (where appropriate), review the information in the original letter of complaint review the information you obtained during your acknowledgement & fact finding call with the customer check computer records/ documents check any clerical records/ calling the customer s file where appropriate

18 obtain information/ clarification from other teams as to what has been done and why go via your Single Point of Contact (SPOC) where appropriate obtain necessary help/ information from technical experts go via your Single Point of Contact (SPOC) where appropriate consider whether a special payment is appropriate (see annex 1 for process flow) c) The resolution call Once you are content that you understand the cause of the complaint and have options to resolve the customer s issues, telephone the customer again to attempt resolution. We call this the resolution call. Don t forget to use the skills and behaviours you have learned from your CRM training. d) What is the outcome? i) Complaint resolved, customer satisfied with resolution proposals - If the customer agrees that your proposals will address their issues and resolve the complaint, you will, During the resolution call: confirm that your proposals resolve the complaint and that the customer is satisfied including outlining any special payment award(s), if appropriate, outline the outstanding actions that you will take, agreeing timescales for completion, e.g. payment dates, follow-up calls, return of documents etc. agree next contact details (if appropriate), provide details if the customer should later change their mind and wish to escalate. (See suggested script at annex 2,) DO NOT OFFER TO WRITE TO THE CUSTOMER. Telephony is now the preferred channel for resolving complaints. You should not ask the customer to put their complaint in writing, or offer to respond to the customer in writing, unless specifically requested to do so, or you are unable to contact the customer by telephone. If the customer requires a letter in Braille or large font, then please follow existing guidance. If the customer insists that they want a written response go to STEP 7 After the resolution call: complete a telephone message/ telephone resolution template confirming resolution achieved, customer satisfied, and that you have provided details of what they need to do if they later change their mind, document any actions that still need to be taken, arrange for these actions to be carried out either do them yourself or, if you cannot, pass to the appropriate area, via your Single Point of Contact (SPOC) if appropriate, set BFs (you may use Feedback Handler) for completion of actions and call back (if appropriate), agree next contact details

19 As there is no requirement for the telephone calls to be recorded, remember to include as much relevant detail as possible in your message/ template so that if the customer does decide to escalate their complaint at a later date, then the COO Correspondence Unit (COO), and potentially the Independent Case Examiner (ICE) or the Parliamentary and Health Service Ombudsman (PHSO) will be clear on exactly what was discussed with the complainant and what was agreed. You will then proceed to 2a. END of STEP 2 ENTER STEP 2a (and exceptionally STEP 7) ii) Complaint unresolved, customer dissatisfied with resolution proposals - If the customer is clearly not happy with the proposals you suggest then you will, During the resolution call: apologise that you are not able to resolve the complaint, clarify again (if necessary) exactly what the customer expects by way of resolution, say that you will speak to your manager to see if anything else can be done, agree next contact details. After the resolution call: record the conversation on a telephone message/ telephone resolution template, clearly documenting why the customer was not satisfied and what they expect by way of resolution, include call-back details, proceed to 3. As there is no requirement for the telephone calls to be recorded, remember to include as much relevant detail as possible in your message/ template so that if the customer escalates their complaint, then the COO Correspondence Unit (COO), and potentially the Independent Case Examiner (ICE) or the Parliamentary and Health Service Ombudsman (PHSO), will be clear on exactly what was discussed with the complainant. END of STEP 2 ENTER STEP 3 (possibly via STEP 2a) iii) Complaint partially resolved, customer satisfied with some but not all resolution proposals - The customer may agree to some of your proposals but still thinks you have failed to address other issues. The complaint is therefore not fully resolved. During the resolution call: apologise that you are not able to fully resolve the complaint to their expectations, confirm the parts of the complaint that have been resolved and those which remain outstanding, clarify again (if necessary) exactly what the customer expects in order to resolve those issues that remain outstanding, say that you will speak to your manager to see if anything else can be done about those aspects of the complaint that remain outstanding,

20 if appropriate, outline the outstanding actions that you will take to address the issues which you have agreed are resolved, and agree timescales for completion, agree next action and contact details. After the resolution call record the conversation on a telephone message/ telephone resolution template, clearly documenting, the issues which are resolved, the issues which remain outstanding, and (if possible) what the customer expects by way of resolution for these, any actions that still need to be taken to address the issues which you have resolved already, arrange for these actions to be carried out either do them yourself or, if you cannot, pass to the appropriate area via your Single Point of Contact (SPOC) if appropriate set BFs (you may use Feedback Handler) for completion of actions and call-back (if appropriate), if not already done so, consider whether a special payment is appropriate, (see annex 1 for process flow) As there is no requirement for the telephone calls to be recorded, remember to include as much relevant detail as possible in your message/ template so that if the customer escalates their complaint, then the COO Correspondence Unit (COO), and potentially the Independent Case Examiner (ICE) or the Parliamentary and Health Service Ombudsman (PHSO), will be clear on exactly what was discussed with the complainant and what was agreed and what remains outstanding. Then proceed to step 3 to further consider the issues which are not yet resolved. END of STEP 2 ENTER STEP 3 FOR ANY UNRESOLVED ISSUES (possibly via STEP 2a) 3. complaints a) You will receive all complaints. You will still look to resolve these complaints by telephone. Upon receipt of the complaint, you should immediately record as much basic information as you can about the complaint on Feedback Handler. b) If no telephone contact details are held, you will need to the customer back within 48 hours. It is important that you use a new to respond to the customer. DO NOT PRESS REPLY TO THE ORIGINAL AS IT MAY CONTAIN PERSONAL DATA AND WE CAN NOT GUARANTEE WHO MAY PICK UP THE REPLY. In your fresh you will: introduce yourself as a specialist Complaint Resolution Manager and acknowledge receipt of the complaint,

21 ask if you can ring them to discuss their complaint, ask for a convenient time to ring, ask them to confirm telephone contact details. It is very important you do not include any customer personal data within your e- mail response. s from MPs - ing MPs is an exception to the general rule as described above. Where an MP has ed the Department from address, then the CRM is able to reply to that with some customer personal data. However, if the MP has ed from any other address, i.e. not then normal rules apply on personal data disclosure and only general information can be provided. c) What is the outcome? i) Customer confirms that they are happy with telephone contact - If the customer confirms that they are happy to discuss the complaint over the telephone then you will follow the telephone resolution process. ii) Customer does not want telephone contact - If the customer does not want to be contacted by telephone then you will need to consider whether you can respond by or whether a full written response is required. The complaint is of a general nature if you can respond to the complaint without the need to include personal data about the customer then you can respond by . END of STEP 2 ENTER STEP 2a Complaint requires the inclusion of personal data if the response will require you to include personal data relating to the customer, e.g. bank details, NiNo payments etc. then a full written response will be required (but see s from MPs above. the customer to let them know that you are unable to respond by and that you will be writing to them, and provide an appropriate timeframe. Remember, you have 15 working days in which to fully resolve the complaint to the customer s satisfaction. If you can not resolve the complaint in this timeframe then you should provide a substantive holding response (SEE ANNEX 9). END of STEP 2 ENTER STEP 8 Step 2a Capturing and recording complaints information from Step 2 on Feedback Handler Audience: Complaint Resolution Managers / Feedback Handler users. Important information This step refers to the follow-up action required to capture and log complaints which have been dealt with at 2.

22 It is important that we capture feedback so that we can learn from it and use the information to improve our services. Overview The Complaint Resolution Manager has attempted resolution with the customer and will now need to input information (or arrange for input) about the complaint in Feedback Handler. This will depend on the resolution outcome and whether or not information has already been input at 1a. The Complaint Resolution Manager will also need to monitor (and perhaps arrange) for any outstanding actions to be undertaken. What happens? 1. Originally a telephone complaint: If at 2, you were dealing with a telephone complaint which had not been resolved by the front-line (at 1) then by this stage there will already be information on the complaint in Feedback Handler (which was input at 1a). Following your attempt at resolution in 2 it is now likely that you will have further information to input into Feedback Handler. Input the necessary information and: close the complaint if resolved, arrange and monitor any outstanding actions, consider whether any trend/ issue has been identified further analysis required? proceed to 3 if the complaint remains unresolved. Ensure brief details regarding receipt/outcome of the complaint are captured in computer system notepad. END of STEP 2a END OF COMPLAINTS RESOLUTION PROCESS. OR ENTER STEP 3 (if appropriate) 2. Written complaints Written complaints will have come straight to you for investigation and resolution. When you initially received the complaint you will have recorded some basic information on Feedback Handler. Following your attempt at resolution in 2 it is now likely that you will have further information to input into Feedback Handler. Input the necessary information and, close the complaint if resolved, arrange and monitor any outstanding actions, consider whether any trend/ issue has been identified further analysis required? proceed to 3 if the complaint remains unresolved. Ensure brief details regarding receipt/outcome of the complaint are captured in computer system notepad.