Corporate slide master With guidelines for corporate presentations Complaints Handling: For ‘Front-line’ Staff Welsh Government Please click the arrow

Corporate slide masterWith guidelines for corporate presentations

Complaints Handling:For ‘Front-line’ Staff

Welsh Government

Please click the arrow to move on

How to navigate through the course

This button will take you back to the ‘Home’ page i.e. first page of the course

This button will take you to the next slide in the sequence

This button will take you back to the start of the section

This button will take you to the previous slide in the sequence

Please Note: This training

package is based on the “Model

Concerns and Complaints Policy

for adoption by Public Services

Providers in Wales” issued by the

Welsh Government and produced

in conjunction with the Public

Services Ombudsman for Wales.

The contents of this package

should be read in conjunction with

the complaints handling policies or

procedures produced by your own

organisation.

Who is this training aimed at?

.‘Front-line’ staff in a wide variety of Welsh public organisations will find this e-learning training package useful preparation to help them deal successfully with customer complaints

Please click here to see a copy of the full Model Complaints policy. (Opens in a new window)

http://www.ombudsman-wales.org.uk/~/media/Files/Documents_en/Model%20Complaints%20Policy%20Final%20PSOW.ashx

Course Objectives

On completion of this training package you will be able to:

• Understand the Model Complaints Procedure, roles and responsibilities when handling complaints

• Recognise the skills & behaviours required when handling customer complaints

• Use a flexible, customer focussed approach when handling complaints

Structure of this course

This training package is in 2 parts. You can view each part

in turn or go straight to the section that is of most value.

• Principles of Model Complaints Procedure, roles and responsibilities when handling complaints

• Key skills & behaviours required when handling customer complaints

Methods of Complaint• Customers can express their concerns in a number of ways.

– via your organisation’s website; – through an e-mail – by writing a letter– by telephone– in person

• Sometimes complaints may be made to you by a customer with whom you’ve had dealings in the past – even though the complaint does not relate to your area of work.

• If the matter is not one you can deal with, you should offer to pass on the service user's details to the right person in your organisation.

What is a Complaint? an expression of dissatisfaction

either written, spoken or other communication method

made by one or more members of the public

about a public service provider’s action or lack of action

or about the standard of service provided

communication which requires a response

What it is not…..

a first time request for a service

a challenge to a ‘properly made decision’ where there is a statutory right of appeal

a means to seek legislative change

a mechanism for lobbying

Good complaints handling matters!• When complaints are handled badly, the public’s

confidence and trust in your services are eroded.

• Cheaper: complaints resolved successfully at the frontline stage incur far less cost to the organisation than those resolved at the final stage.

• Takes staff less time: a 2010 OFWAT report estimated it took 15 minutes to resolve a complaint at the frontline and 70 hours for a final stage complaint.

• Fewer repeat complaints: when quick action is taken a repeat problem is less likely

• Less stressful for staff: takes less time and allows you to focus on the key aspects of your job.

Complaints Handling Stages:

• Stage 1: Informal resolution.– Key features of the process and some examples of complaints that

can be resolved at this level can be found by clicking this arrow

• Stage 2: Formal Internal Investigation– Some examples of complaints that should be escalated to this level

can be found by clicking this arrow

NB Responsibility for the 'Formal Investigation' stage rests with your organisation's complaint officer(s) and senior management. However, you might find it useful to familiarise yourself with your organisation’s complaints policy.

Informal Complaint Resolution: First Steps

Get to know your organisation’s complaints handling

documentation. Does it have?

– A form for logging relevant complaints at informal stage;

– Template letters e.g. acknowledgement letter, apology which you can tailor to the circumstances of the complaint

Informal Complaint Resolution: the process

• ensure that you are clear about what you personally are able to resolve and when you should refer to a more senior member of staff.

• find out how the customer would like you to communicate with them and establish whether they have any particular requirements, such as a disability

• assure the customer that you will deal with their concern in an open and honest way.

Informal Complaint Resolution: the process (cont’d)

• Stress that any other dealings with your organisation will not suffer just because they have expressed a concern or made a complaint

• If necessary you should advise complainants how to progress their complaint to the formal stage;

• Complainants may wish to be ‘fast tracked’ to the Formal stage which is their right;

The following slide shows some examples of complaints that could have been resolved informally:

Informal Resolution: examplesAn appointment was made for a boiler to be fixed and the tenant complains that no -one turned up on the appointed day

Informal Resolution: examples

• Someone complains that their bin hasn’t been emptied by the refuse collection service when it should have been.

An appointment was made for a boiler to be fixed and the tenant complains that no -one turned up on the appointed day

Informal Resolution: examples

• Someone complains that their bin hasn’t been emptied by the refuse collection service when it should have been.

• Painting contractors working for the public service provider left paint splashes on the pavement which were carried into a local shop, staining the floor covering

An appointment was made for a boiler to be fixed and the tenant complains that no -one turned up on the appointed day

Informal ResolutionAll 3 of these complaints could have been informally resolved by:

1.Apologising

TOP TIP :

Detailed guidance on how

to make an apology can be

found by clicking here.

(opens as Word document)


1.Apologising

2.Quickly establishing what has gone wrong

TOP TIP :






1.Apologising

2.Quickly establishing what has gone wrong

3.Offering a new appointment, early collection or visit to assess the damage caused

TOP TIP :





Formal Resolution

The are 2 reasons why a complaint would need to go to formal resolution:

1.It has not been possible to resolve the matter locally (e.g. the complainant remains dissatisfied)

2.The nature of the complaint means that it needs to be progressed immediately to Formal Resolution stage.

Formal Resolution

The are 2 reasons why a complaint would need to go to formal resolution:

1.It has not been possible to resolve the matter locally (e.g. the complainant remains dissatisfied)

2.The nature of the complaint means that it needs to be progressed immediately to Formal Resolution stage.

Please remember it is front line staff’s responsibility to explain the Formal Resolution stage and either put the service user in touch with the organisation's complaints officer or pass the

complaint on for them.

Formal Resolution: examples• The complainant has grievances about failures by the local health board and the council to meet their duties to provide care to a member of the family, which has led to serious consequences and will also need a single co-ordinated response


• The concern involves issues where it appears a service failure has occurred due to an obvious

systemic problem within the organisation.


• The concern involves issues where it appears a service failure has occurred due to an obvious

systemic problem within the organisation.

• A complaint is made about the action taken following an apparent breach of planning rules.

Skills of Complaint Handling:

• Please click on the arrow to go directly to the relevant section:

– Establish Rapport

– Listen

– Ask Questions

– Resolve the Complaint

– Handling difficult or challenging situations

– Responding to written complaints

TIP: On the telephone up to 45% of your message is lost because the other person cannot see your expression and body language. You need to work much harder to get your point across

TIP: On the telephone up to 45% of your message is lost because the other person cannot see your expression and body language. You need to work much harder to get your point across

Remember that complaints can be made in a variety of ways both verbally and in writing. These skills are useful in a variety of complaints handling scenarios

Remember that complaints can be made in a variety of ways both verbally and in writing. These skills are useful in a variety of complaints handling scenarios

Establish Rapport (i)

Put yourself in the customer’s shoes; think how you would feel if the problem happened to you.



Use the customer’s name when talking to them.




Always listen first and ask questions second to be sure you have understood the problem properly.


• Smile! Again, even thought they cannot see you, the smile will carry over in your tone and be felt by the person on the other end of the phone call

• Show empathy “I can see why you feel that way”, “I understand” etc.



Always listen first and ask questions second to be sure you have understood the problem properly.

Establish Rapport (ii)

• Make noises to show you are listening especially if taking notes



• Repeat key words and phrases as used by the customer




• Remember your body language. Even if you’re on the phone it will affect your tone of voice.




• Remember your body language. even if you’re on the phone it will affect your tone of voice.

• Ask Questions (click here to go straight to this section) ‘

Establish Rapport (iii)



• Remember your body language. even if you’re on the phone it will affect your tone of voice. Standing up will also help keep you ‘on your toes’ when on the phone.

• Ask Questions (click here to go straight to this section) ‘

TIP No.1:

Standing up will also help

keep you ‘on your toes’

when on the phone. Its

often a good tactic when

dealing with an angry caller

TIP No.2 Make a record of your conversation either at the time or soon after as this may be useful at a future date, particularly if the complaint progresses to the Formal Resolution stage.

Listen……actively!• Stressed or upset customers may need to let off steam

• if they are frustrated – interrupting them will only

• make them more stressed.

Listen……actively!• Stressed or upset customers may need to let off steam

• if they are frustrated – interrupting them will only

• make them more stressed.

• To understand what the customer is complaining about we need to get

all the facts. Before we start asking questions we need to listen.

• It is tempting to jump in and ask questions or to leap to a solution

because we think we know what the problem is and how to fix it.

• Always listen first and ask questions second to be sure you have

understood the problem properly.

Listen……actively!

Types of Questions

• Open Questions

• Closed Questions

• Probing Questions

• Leading Questions

Open Questions• An open question asks the customer for his or her

knowledge, opinion or feelings.

Some examples of open questions can be seen on the graphic opposite

"Tell me“, “Explain” or “Describe" are other examples of open questions.

Open Questions

Open questions are good for: – Developing the conversation: "What happened

next?“– Finding out more detail: "What else do we need to

do to resolve the problem?" – Finding out the other person's opinion or issues:

"What do you think about that suggestion?“

Closed Questions

• A closed question usually receives a single word e.g "Yes" or "No"; “or a factual answer e.g. someone’s address.

• Closed questions are good for: – Testing your understanding, or the other person's:

"So. You’ve waited for someone to visit on 3 occasions, without anyone coming?"

– Concluding a discussion or making a decision: "Now I know the facts, are you happy for me to follow this up with my manager?"

Probing Questions

• Asking probing questions is a strategy for finding out more detail or clarification., "When do you need this by?”, “What exactly did he say?

• An effective way of probing is to use the “5 Whys” method, which can help you quickly get to the root of a problem.

• Probing questions are good for: – Gaining clarification to ensure you have the whole

story and that you understand it thoroughly.

Leading Questions

• which would resolve the complaint. Letting the complainant choose between “A” or “B” will make them feel part of the solution - not part of the problem!

Use leading questions with care. If you use them in a self-servingway or in one that harms the interests of the other person, thenthey can, quite rightly, be seen as manipulative

When resolving a complaint, leading questions can be useful to give the customer a choice between two options, both of

Asking Questions

Resolving the ComplaintOnce you fully understand what the complaint is about

- and what the customer would like to happen:

• Seek agreement from the customer to • your proposed solution

• Say exactly what you propose • to do – and by when.

• Do what you promised!

Handling Challenging Situations

• Basic Assertiveness Technique

• Broken Record

• Empathetic Assertion

• Negative Feelings Assertion

• Consequences Assertion

Basic Assertiveness Technique

• A straightforward (unemotional) statement expressing your wants, needs, opinions, beliefs or feelings. 'I need to discuss your complaint with you.' 'I will be able to do that later today.'

• Use this technique at the beginning of a conversation or whenever you need to raise a new issue or to end a conversation –’I need to move on to your other complaints now.' ‘I need to end this call now so I can look into your complaint and get back to you.’

Broken Record Technique• Calmly repeating what you want again. This is a very

useful way of overcoming resistance or the complainant’s unwillingness to listen to what you have to say



• Normally three repetitions are enough, although you may wish to change the words slightly each time



• Normally three repetitions are enough, although you may wish to change the words slightly each time

It is hard for the other person to keep going but if it doesn’t work you may need to try another technique.

Empathetic Assertion

• A statement that contains an element of empathy but at the same time still expresses your own needs or wants.

Empathetic Assertion• A statement that

contains an element of empathy but at the same time still expresses your own needs or wants.

• Use this technique when the other person holds a different view to you and feels very strongly about his/her view. You are letting them know that you appreciate their position.

Empathetic Assertion• A statement that

contains an element of empathy but at the same time still expresses your own needs or wants.

• Use this technique when the other person holds a different view to you and feels very strongly about his/her view. You are letting them know that you appreciate their position.

'I do appreciate that this is a very difficult situation for you Miss Fernandez. I am trying to help you by arranging a call-out as soon as possible.'

Negative Feelings Assertion

• This technique is a way of expressing your own concerns or apprehensions about the situation without blaming the other party or appearing vulnerable yourself.



1. State your position clearly.




2. Say how you feel.





3. State what you want to happen

'Mr Davies, please do not use abusive language. It makes me feel uncomfortable and is preventing us coming to a solution. I need you to stop now.'





3. State what you want to happen

Consequences Assertion

• Be cautious that this technique can come over as brinkmanship or aggressive or threatening. It is generally saved for the times when other techniques have been tried without success

Make this a positive statement to begin with rather than a negative one. e.g “If you stop swearing at me, I can help you and we can resolve this calmly and quickly.”

Consequences Assertion

• Be cautious that this technique can come over as brinkmanship or aggressive or threatening. It is generally saved for the times when other techniques have been tried without success

Make this a positive statement to begin with rather than a negative one. e.g “If you stop swearing at me, I can help you and we can resolve this calmly and quickly.”

TIP: if that doesn’t work you may need to revert to a negative statement e.g. “If you don’t stop swearing then I will put the phone down”

Responding to Written Complaints

• Thank the letter writer for complaining. They could have chosen a more damaging way of expressing their dissatisfaction e.g. through the media.

• Show empathy with the complainant and the impact the error has had on them

• Include an apology for the error or fault (if it is your organisation’s fault)

• The letter seeking to resolve the complaint should be sent within 10 working days

TOP TIP :






• If you were not at fault or if the complaint is not justified a sensitive choice of language will avoid a chain of further correspondence.

“Whilst I can understand your frustration, ...”

“ I understand how disappointing it can be when your expectations are not met.”

Always include a concluding paragraph aiming at retaining the goodwill of the customer.

“ Once again, thank you for bringing this matter to my attention”“If you have any further queries please contact me by telephone / email / address below…”


Corporate slide masterWith guidelines for corporate presentations

You have now completed the course:

“Complaints Handling:For ‘Front-line’ Staff”

Welsh Government