Complaints handling and recording

Complaints procedure

We take all complaints seriously and have an effective, easy to use complaints procedure - see page 'how to make a complaint'.  We are committed to continually improving our service and take all feedback seriously. We have a leaflet 'Are you happy with our service?' which is available on request from any of our offices, which clearly outlines what do do if you have a complaint.

Complaints as management information

Complaints have the potential to provide very useful management information. However, this can only happen if all complaints are recorded. The methods of recording complaints currently vary across the organisation.

A low incidence of complaints can mean either that:

• we have perfect services, or
• customers have little faith in our ability to put things right.

A high incidence of complaints can mean either that:

• there is a severe impact of failure on customers, or
• we have a reputation for being a listening organisation.

Complaint data integrated into the regular management process can be used to initiate improvements. However, this will work best if the process deals with any dissatisfaction, not just formal or official complaints. Historically, informal complaints have tended not to be captured. Emphasis has been on resolving individual problems rather than securing service improvements.

Scottish Public Services Ombudsman’s approach

The Scottish Public Services Ombudsman replaced the HIE’s external complaints adjudicator in October 2002 and we now have some experience of the SPSO’s approach to complaints handling.

The SPSO’s guiding principles include the following:

• An aspiration to be modern and open
• Screening in of dissatisfaction, not screening out because not formal complaint
• Emphasis on early, pre-investigation of complaints
• Giving discretion to staff

There is a clear move in the approach of the SPSO from a 'blame/adversarial' model of accountability to a 'trust/partnership and joint responsibility' model of accountability.

The SPSO has made it clear that, while the ‘right’ systems and processes are important, attitudes, behaviours and culture are equally important.

Legal requirement

The Scottish Public Services Ombudsman Act 2002 places a legal obligation on HIE to provide prescribed information relating to the Ombudsman in any document issued by HIE in response to a complaint by any person who might be entitled to make a complaint to the Ombudsman.

To satisfy this requirement staff need to recognise complaints and handle them correctly.

Staff guidance:  how to deal with complaints

The attached ‘Staff guidance: how to deal with complaints’ has been issued to all staff in order to:

• Assist staff with this key area of performance
• Gather information on informal complaints not historically recorded in order to initiate necessary improvements
• Reflect the approach of the SPSO in HIE’s approach to complaints handling
• Ensure that we meet the legal requirement in relation to the SPSO

When this guidance is issued to staff, team leaders will discuss with their teams any training needs in this area and identify these on individual personal development plans. HIE's HR group can then take an overview of relevant training needs throughout the agency. Client handling training was recently provided to our area office staff.

Team leaders will also have a role to play in discussing with their individual teams the effect of these guidelines.