Complaints Resolution Framework March 2009

What is a Complaints Resolution Framework? The International Standard on complaint handling ISO 1002 directs our attention to development of the following to form our framework: Commitment Policy Responsibility and Authority

Commitment Shown by, and promoted by senior management –Actively utilising knowledge gained through complaints management to improve –Reflected in policy and procedures for resolution and adequately resourced (including training)

Policy Explicit policy developed that is made available to, and known by, all personnel Made available to all key stakeholders – staff, students, patients, customers… Supported by procedures and objectives for each function and personnel role included in the process

Responsibility and Authority Top Management – approving and supporting the framework, providing resources, receiving significant complaints Complaints Manager – developing the framework, developing the processes, reporting, linking complaints with changes, reporting, supporting staff managing complaints Other Managers – liaising with the Complaints Manager, informing the framework and processes, utilising and promoting All staff – in contact with possible complainants - to be trained, to comply with the framework and processes, demonstrate effective interpersonal skills All personal – to be aware of the framework and process, to be aware of initial responses/recording of complaints and aware of who to refer complaints to.

Current Priorities Developing the Complaint Management System – what fits into the framework – the policies, procedures etc. Introduction of the Complaint Handling System which requires: –Identification of people to have access and training –Finalise a list of categories – currently at 300 and needs to reduce –Have the CHS filled with all other meta-data and enhanced to meet our needs

The Complaint Handling System (CHS) A key element of the Complaint Management System, CHS –Is a software tool to support complaint management and to frame a case management approach –Will be the central repository for all UWA complaints except for protected disclosures –Complaints can be generated by staff and prospective staff, students and prospective students, members of the public, and the University itself

Functionality of the CHS The next several screens show the progress of entering a complaint, determining if it is a complaint, progressing a compliant with information about the respondent entered and provides a quick view of what is possible within the system.

CHS Entry Screen…

Please note that on the following screen shots that a false case has been created within the test environment.

If the steps identified have not been taken, then the issue is deemed to be at pre- complaint stage and the user is taken to a new page. The first step is identification of the lodging of the issue/matter.

Complaint details are then recorded…

At this point, there is no further date entry with a pre-complaint. The information is stored as below and the user has the opportunity to print the pre-complaint details, including the pre-requisites for the complainant. The pre-complaint process - Designates a pre-complaint number (can be linked to TRIM reference) - Inputs the information and allows advice regarding steps to be taken to be provided - Does not collect any respondent information as it is not a complaint - Enables a quick action to escalate to a complaint if required.

A pre-complaint can be escalated to a complaint simply at the bottom of the record sheet – when “Escalate to a Complaint” is selected, the user is now taken through more detailed screens to record information about the incident/s and the person/people involved.

Complainant details are now entered including the date, time and location/s of the incidents they wish to complaint about – most of these are in drop-down menu format.

Text boxes are provided to allow them to record the reason for the complaint and their desired outcome.

Final Points The system - Will enable better tracking of complaints Will better support a case management approach Will interface with TRIM (details to be determined) Links to other primary systems to reduce typing Tracks activities on cases and simplifies change of case management Will enable better reporting and consideration of the number and type of complaints and case history for resolutions.