Part 3: Responding to complaints
3.1
In this Part, we look at how each section responds to complaints. We discuss:
- how the Ministry sets expectations about complaints and manages complaints for each section;
- the processes for ensuring that the appropriate groups deal with complaints;
- how people are kept informed about the progress of their complaints; and
- whether people are informed of decisions about their complaints in a timely and appropriate way.
Summary of our findings
3.2
There is a Ministry-wide focus on acknowledging and resolving complaints as quickly as possible, at the appropriate organisational level. Most people surveyed and interviewed felt that the staff who dealt with their complaints were helpful and professional, and took their complaint seriously.
3.3
Most people surveyed felt that the matter was resolved and that the final decision was fair.
3.4
However, only 36% of those surveyed were satisfied with the way the Ministry handled their complaint. Most of those surveyed felt that the Ministry had not kept them well informed about the progress of their complaint and that the length of time it took to resolve the matter was not reasonable.
3.5
The Ministry sets people's expectations and manages complaints inconsistently. In our view, the Ministry's standards and processes for managing complaints – especially the Ministry's time frames for responding to complainants – could be made more transparent to people who have complained. The Ministry needs to do more to keep people better informed about what the next steps will be and the progress of their complaint, as well as communicating the outcome of their complaint.
Inconsistent setting of expectations about managing complaints
3.6
The Office of the Ombudsman suggests that, to help complainants better understand their rights and responsibilities, organisations should adopt a set of ground rules for accessing their services. These rules should clearly identify the rights and responsibilities of the main parties to the complaints process. The rules should be made publicly available – for example, on a website and in leaflets and brochures displayed in reception areas. Organisations should also ensure that complainants are aware of these rules when they make a complaint (and respond to any questions about the rules):
It is essential [to] test and manage complainant expectations at the earliest possible opportunity to minimise the likelihood for disappointment, anger or frustration.
3.7
Some of the Ministry's sections have internal standards about how to manage a complaint. For example:
- For Work and Income, Doogle states that complaints must be acknowledged within 24 hours if unresolved within that time. Complaints must be fully investigated and resolved within five working days, unless there is a good reason for the delay. If there is a delay, the person must be kept informed of progress.
- StudyLink is expected to acknowledge complaints by telephone within 48 hours.
- Replies to Ministerial correspondence must be ready to be signed by the Minister within 20 working days.
3.8
These internal standards differ from the service standards published on the Ministry's websites and in pamphlets. All of the Ministry's sections have service standards or charters. The service standards do not set out the process for managing complaints.
3.9
The Work and Income pamphlet on making a complaint shows the complaints process in a diagram (see Figure 1). However, this diagram is not provided on the website, and the pamphlet does not give any time frames or information about who is responsible for managing the complaint.
3.10
The Ministry's website tells people that the Ministry will try to:
… resolve your complaint immediately. If we need to work with others to resolve your complaint it may take longer. You will always be advised in writing when your complaint has been received.
3.11
The Work and Income and StudyLink websites have similar statements. The Senior Services website does not set out a separate complaints process.
3.12
By contrast, the Child, Youth and Family website gives people a clear time frame for a response:
We'll contact you within one week of receiving your complaint to talk with you about how we'll manage it. We try to resolve any formal complaint within six weeks of receiving it – if it will take longer, we'll let you know.
3.13
In our view, the internal standards for managing complaints should be more transparent, especially about reasonable time frames, to set people's expectations and minimise the possibility that people will become disappointed, angry, or frustrated.
Clear roles and responsibilities for dealing with complaints
Work and Income
3.14
Doogle explains what roles and responsibilities Work and Income staff have. All complaints recorded in the Ministry's Here is Your Answer (HIYA) information management system are automatically assigned to a designated staff member. That person is responsible for managing the complaint until it is resolved. Designated people are:
- in a service centre, the Service Centre Manager or Assistant Service Centre Manager;
- in a regional office, the Regional Director;
- in a contact centre, specifically assigned managers; and
- in the National Office, usually the National Client Manager.
3.15
When the complaint has been recorded in HIYA and assigned to a staff member, the system sends an automatic email to inform the staff member that a complaint has been received. In a service centre, the Service Centre Manager or the Assistant Service Centre Manager will go into HIYA to deal with the complaint. An Assistant Service Centre Manager showed us how she monitors HIYA every day.
3.16
The general process is to deal with the complaint as soon as it is lodged. The manager will discuss the matter with the person who complained to understand their perspective and explain the Ministry's perspective and procedures.
Senior Services
3.17
Complaints about Senior Services can be received through the National Office, an 0800 telephone number dedicated to senior clients, members of Parliament or the Minister, the "Ask a question" tool on the Seniors website, or in discussion with the person.
3.18
The Senior Services National Office or Local Services Managers, who deal with all Senior Services matters for their region, can deal with complaints.
3.19
The Local Services Manager will generally investigate each case and talk to the person to understand their perspective and explain the Ministry's perspective and procedures. Any significant complaints are escalated to the National Office.
StudyLink
3.20
StudyLink's Report Writing Team, based in Palmerston North, handles all complaints for StudyLink clients. Any complaints about StudyLink are directed to this team. The team then investigates and follows up the complaint.
Different processes for recording and acknowledging complaints
3.21
Work and Income staff use HIYA to record and manage complaints. The Ministry has been using HIYA for at least 10 years. The Ministry has not always used HIYA as a tool for recording complaints. HIYA's main purpose was to provide an information source for Work and Income's contact centre staff. HIYA became a mechanism to track and trace complaints that were lodged with the contact centre and referred to service centres. Staff also use HIYA to record and manage all reviews of decisions.
Recording a complaint in HIYA
3.22
Any staff member can receive and record a complaint in HIYA. If the complaint is made to the contact centre, contact centre staff will lodge it. If the complaint has come in by letter through the Minister's office or the Chief Executive's office, or by email through the main Ministry website, the Ministerial and Executive Services team will process it. This team sends the complaint to the relevant section. For example, if it is a complaint about Work and Income, the team will send it to the relevant Work and Income region and copy it to the Issues and Risks team in the office of the Deputy Chief Executive, Work and Income. The Issues and Risks team is expected to lodge the complaint in HIYA.
3.23
When any Work and Income staff receive a complaint, Doogle states that it must be recorded in HIYA. Complaints can be written or verbal (in person or over the telephone). A staff member receiving a verbal complaint is expected to record the complaint and tell the person that someone will contact them soon. A staff member receiving a written complaint is expected to scan or copy and paste the document into HIYA.
3.24
Doogle explains how to lodge complaints in HIYA. We observed the process, and it was easy to lodge a complaint. Some fields with drop-down boxes need to be completed. For example, one field is for "complaint type". HIYA as 12 broad types of complaint and staff have to code each complaint. Doogle provides definitions and examples to help staff work out what a complaint is about so that it can be recorded correctly. If the person who complains wants their complaint to be confidential, it can be recorded as secure. Only a service centre manager can see and deal with a secure complaint.
No Ministry-wide tool for recording and managing complaints
3.25
The other sections do not use HIYA. Staff we spoke to had differing perceptions of why HIYA was not more widely used. Their reasons included:
- HIYA did not work for their section.
- HIYA was not cost-effective.
- Their section dealt with more complex information than Work and Income.
3.26
StudyLink has its own database, where all complaints are recorded and managed. The database is not integrated with the Ministry's systems. Senior Services National Office maintains a manual complaints register in a spreadsheet. Senior Services has no tool or consistent process for managing complaints.
3.27
Work and Income staff record complaints in HIYA inconsistently. The contact centre has a more consistent process. Service centres seem to have more discretion and flexibility about whether to lodge complaints in HIYA. There were several reasons for this.
3.28
For example, although Work and Income has a formal definition of a complaint, some staff remain uncertain about what an inquiry – as opposed to a complaint – is. Part of this involves whether the complaint has been made verbally or in writing.
3.29
Most service centres consider complaints raised verbally, particularly during an interview, as inquiries that can be resolved straight away before they escalate. Staff do not see the need to record these in HIYA unless follow-up action is needed. We were told that, at first, HIYA was not intended for complaints that were raised and resolved locally.
3.30
Staff seem to use their judgement about whether to record written complaints in HIYA. Their decision appears to depend on whether the matter can be resolved quickly.
3.31
Some Work and Income staff said that lodging every complaint or problem in HIYA would become an administrative burden and possibly slow services. Regional and national staff sympathised with this perspective. We were told that even if complaints were not formally lodged, trends could be noticed and highlighted at weekly team meetings at service centres and at the regional office.
3.32
However, some staff we spoke with were aware that the Ministry could be losing trend information by not recording all complaints in HIYA.
Inconsistent record-keeping outside HIYA
3.33
We noted that managers keep various registers and records. For example, some Senior Services Local Services Managers keep their own complaints registers. Others rely on the updates that are loaded into the client's general notes. As mentioned in paragraph 3.26, Senior Services National Office maintains a manual complaints register. The Senior Services Review Team also maintains its own register.
3.34
Some Work and Income managers who use HIYA also keep a separate register (see paragraph 3.68).
3.35
In our view, the Ministry needs to have more consistent ways to keep records to ensure that it does not lose trend information.
Acknowledging a complaint
3.36
Complaints that the Ministerial and Executive Services team receives are acknowledged by letter before the team forwards the complaint to the relevant section. The acknowledgement letter states that the person can expect a response "as soon as possible".
3.37
StudyLink acknowledges complaints by telephone within 48 hours, although it is expected that a telephone call will be made the day the complaint is received. StudyLink telephones the person rather than sending a letter so the person can provide further information. The team member uses this information to work out how long it is likely to take to resolve the complaint and set an appropriate time frame to get back to the person who complained.
3.38
The telephone survey showed that 57% of StudyLink clients who needed to wait for a final decision about their complaint agreed that they were informed about the next steps. This suggests that the Ministry could do more to ensure that people are informed about the next steps.
3.39
Doogle states that complaints to Work and Income must be acknowledged in writing within 24 hours, unless the complaint is resolved within that time. Designated staff told us that they try to resolve complaints as soon as possible or within 24 hours. This means that not all complaints will be acknowledged in writing. Verbal complaints are followed up by a telephone call but appear not to be acknowledged in writing.
3.40
When a complaint is acknowledged in writing, the letter is expected to explain the next step of the process and state when a reply can be expected. However, the copy of the template acknowledgment letter that we saw did not give these details to the person who had complained. The template letter encouraged the person to contact the staff member directly to discuss the complaint further and gave a direct telephone number and an 0800 number. More than half (55%) of the Work and Income clients who had to wait for a final decision agreed that they were informed about what the next steps would be. As with the StudyLink results, this suggests that Work and Income can improve the way that it informs complainants about the next steps.
3.41
Senior Services' process for acknowledging complaints is unclear. One Local Services Manager explained that she contacts the complainant the same day that she receives their complaint.
3.42
The Issues and Risks team in Work and Income is aware that some people think that their complaint will be dealt with more quickly if they send it to the Minister's office. However, it can be up to 20 working days before replies to correspondence sent to the Minister are ready for the Minister to sign. The Issues and Risks team is working with the Minister's staff so that, if the Minister's office gets a telephone call from a member of the public about a complaint, they can inform the caller of the formal complaints process and that it is quicker to resolve the matter locally.
3.43
In our view, as well as making the service standards more visible, the Ministry could also make the complaints process more transparent for those people who need to wait for a final decision, particularly about what the next steps will be.
Referring complaints appropriately
3.44
As noted, complaints that are received by email through the Ministry's main website or by letter to the Minister or Chief Executive go to Ministerial and Executive Services, who refer them on to the appropriate section (see paragraph 3.22).
For Work and Income, the process is automated through HIYA
3.45
The designated staff member is responsible for managing the complaint from when it is received until it is resolved. Complaints can be referred to the designated staff member through HIYA or by a case manager. Case managers can bring the Service Centre Manager in straight away to help resolve the complaint or they can alert the Service Centre Manager that a complaint or review of decision might be lodged in HIYA.
3.46
We were told that the process is automated so that responsible staff keep getting notifications until they take some action. If staff do not respond to a complaint, it will be automatically escalated to a higher level. This brings some accountability to the process. Some managers told us that they did not want any complaint to escalate to their direct manager, because this would suggest that they were not doing their job.
3.47
A designated staff member can assign a complaint to a more appropriate person but remains responsible for the complaint until it is resolved. HIYA allows the designated staff member to keep track of the complaint to ensure that it gets resolved.
3.48
More complex complaints can be escalated to regional offices and above. One Regional Director outlined the process that staff in their region have to follow when they refer complaints upward. Staff have to inform the Regional Director directly. They are not allowed to leave a telephone message.
3.49
Regional Directors might need to consult with the Regional Commissioner if the matter is likely to affect future operations, particularly if it could set a precedent.
3.50
Complaints and problems can also be escalated to the National Office. The Issues and Risks team in the office of the Deputy Chief Executive, Work and Income, is responsible for any matters that come from the regions, as well as requests and questions from the Minister's office, requests under the Official Information Act 1982, Parliamentary questions, and media matters.
Other sections
3.51
StudyLink complaints are referred to the Report Writing Team. StudyLink staff and all other sections in the Ministry refer media matters to the National Office.
3.52
Complaints are referred from Ministerial and Executive Services to the Senior Services Service Development and Support Team at the National Office, where the Reporting and Information Analyst records them in a manual complaints register. This analyst also picks up complaints that come through the main Seniors Services email address and the "Ask a Question" tool.
3.53
The analyst allocates complaints for response and refers them to the Senior Services Review Team. This team will deal with the complaints if they can. Otherwise, they will forward them to a Local Services Manager. Local Services Managers can escalate complex complaints to their immediate manager, then the National Office.
Investigating a complaint
Work and Income
3.54
The staff member to whom a complaint is assigned is meant to obtain all relevant information and investigate the complaint fully. This can include getting more information from the complainant about the nature of their complaint.
3.55
The telephone survey showed that most complainants felt that their contact with Work and Income about their complaint was professional and that they were given the opportunity to say all that they wanted to say. Interviewees felt that they were asked the right questions and allowed to explain their problem in their own words.
3.56
The action that staff take depends on the type of complaint. For example, if the complaint is about not receiving a benefit on time, the Service Centre Manager will access the benefit payment system to look at information about what the person is entitled to.
Interviewees felt that they were asked the right questions and allowed to explain their problem in their own words.
3.57
The benefits payment system holds notes about engagement with the individual and records appointments the person has made and kept. This enables the manager to identify what has happened. If the problem is with paperwork or timeliness, the manager can get the case manager to sort it out straight away. The manager can then telephone the person who complained to let them know the outcome.
3.58
If the complaint involves a staff member, the manager can talk to the staff member or the staff member might need to provide a written explanation. The manager decides what action needs to be taken. The manager can call in the person who complained and facilitate a meeting or meet the person by themselves.
StudyLink and Senior Services
3.59
Complaints about StudyLink are allocated and investigated in the StudyLink Report Writing Team. The telephone survey showed that most StudyLink clients felt that the contact was professional and 77% agreed that they were given the opportunity to say all that they wanted to say.
3.60
The Senior Services Review Team manages most complaints referred to the Senior Services National Office. This is a centralised review team that was set up to manage:
- reviews of decisions;
- Official Information Act requests, letters and enquiries referred from the Minister's office, and information required by Ministers or their staff; and
- complicated complaints and matters that require investigation and a formal report.
Keeping people better informed about progress
Work and Income
3.61
Work and Income must fully investigate and resolve the complaints that it receives within five working days, unless there is a good reason for the delay. Reasons for delay might be that the complaint is complex or that more senior staff need to be involved. If there is a delay, the complainant must be kept informed of progress.
3.62
Designated staff members are the main point of contact with people who have made a complaint. They are responsible for keeping people informed. People can be contacted by telephone or email. The person's preferred contact method is noted in HIYA. Staff responsible for complaints told us that they try to resolve all complaints within 24 hours. They assured us that if they cannot resolve the complaint within this time, they keep people informed about progress. For example, one designated staff member described how she needed to check details with another section of Work and Income, which would take time, so she arranged to telephone the person who had complained in a week or earlier and kept in contact with her.
3.63
However, the telephone survey showed that most Work and Income clients who needed to wait for a final decision (72%) did not feel that they had been kept well informed about the progress of their complaint, which indicates that further efforts need to be made to keep people informed.
3.64
It can sometimes be difficult to contact people. If the listed telephone number does not identify the person who will hear any messages, staff told us that, to maintain confidentiality, they will not leave a message. The general rule for Work and Income seems to be that they will send a letter after three unsuccessful attempts to contact the person by telephone.
3.65
The letter will advise the person who complained to contact the Work and Income staff member directly. One designated staff member explained that only about a quarter of people contacted will get back to them. Many say that they "didn't mean to complain and just wanted to have a rant". They did not realise it would be treated as a complaint.
3.66
The people who were interviewed supported this view. Some interviewees were not sure that they would call their complaint a complaint. They felt that it was more a query than a formal complaint.
3.67
The complaint record in HIYA is meant to be updated when progress is made. The same details are recorded in the client notes. This is done to ensure visibility throughout the organisation. For example, if a person telephones the contact centre, then the contact centre can see the record and inform the person of progress.
3.68
As well as HIYA, some offices have other ways of keeping track of matters and complaints. For example, one regional office has developed a register that tracks everything that comes into the office, including letters and enquiries from the Minister's office, complaints, and requests under the Official Information Act 1982. An issues management team discusses complaints or matters that are serious, complex, or have high visibility. The minutes from these discussions are not loaded into HIYA but are maintained separately.
3.69
The regional office's staff created the register because they felt that HIYA would not record the information in the format they wanted. We understand that separate records can be kept, but it is important that this information is readily available to others to help further analyse complaints.
3.70
We were told that, if a complaint is not resolved or updated within five working days, HIYA will automatically refer it to the immediate manager of the staff member assigned to the complaint. If it is not resolved within another five working days, HIYA will refer it to the Regional Director and, the following week, to the Regional Commissioner. Managers confirmed that HIYA acts as a good accountability tool for this purpose.
StudyLink
3.71
StudyLink's designated team will first telephone people. If the team are unable to contact the person, they email them to say they have tried to make contact by telephone. If the staff have committed to contact the person, they try to set realistic time frames. For example, if they need to contact somebody else, they tell the person who complained that the complaint might take longer to resolve. StudyLink "takes care not to overpromise and under deliver". However, the telephone survey showed that 53% of StudyLink clients who needed to wait for a final decision did not feel that they had been kept well informed about the progress of their complaint. As with Work and Income, this suggests that StudyLink has to try harder to keep people informed of progress.
Senior Services
3.72
Senior Services also uses the telephone and email to contact people who have made a complaint. However, it is unclear how Senior Services staff are held to account for how well they keep people informed in a timely way. One Local Services Manager told us that the lack of timeliness standards can delay responses, giving the example of waiting for advice from the Senior Services Review Team before being able to "close" the complaint. The lack of standards for timeliness led to delays in responding and keeping the person who complained informed of progress. This led to the person becoming frustrated.
Keeping people better informed about outcomes
Work and Income's process for informing people
3.73
When relevant information has been received, the staff member who has been assigned to resolve the complaint is expected to contact the person to discuss the outcome of the investigation and to agree on solutions. The discussion must be recorded in HIYA or the client's notes. This should be followed up in writing.
We were told that a person might not hear anything back but that their benefit would restart.
3.74
One Regional Director confirmed that this was the usual process. People might also be told of the decision by letter, by email, or face to face. The Regional Director explained that, if the complaint had been resolved over the telephone, the follow-up letter might not include all the details. However, it will discuss the complaint and outcome. Staff draft and finalise the letters individually.
3.75
Almost three in five (59% of) Work and Income clients surveyed by telephone agreed that the reasons for the decision were fully explained, and two-thirds were confident that Work and Income had understood their complaint correctly. A slightly lower percentage, 63%, agreed that the final decision addressed all aspects of their complaint.
3.76
The survey was of people who had cause to complain, so it is encouraging that most responded positively to these survey questions. Interviewees provided suggestions for how Work and Income could improve further. Some said that the Ministry had fixed their problem but that they felt poorly informed about what action the Ministry had taken to resolve their complaint. They saw no clear link between what the Ministry did and their complaint but assumed that the complaint triggered the remedy. For example, we were told that a person might not hear anything back but that their benefit would restart.
3.77
The telephone survey provided further suggestions for how to improve the complaints process. Figure 3 shows an analysis of the attributes of the complaints process people thought were important, and how they perceived Work and Income performed against each attribute. For example, the analysis showed that "the length of time it takes to resolve the issue" is more important than other attributes. However, only 46% of Work and Income clients felt that the time taken was reasonable. This confirms the importance of managing expectations about the process and, particularly, the time it will take to resolve the complaint.
Figure 3
Performance and importance analysis of responses from Work and Income complainants
Source: Office of the Auditor-General. This graph shows the relative performance and importance of each attribute of complaints handling, based on how people rated them. The position of each attribute is determined by its relationship to each of the other attributes. Attributes that are assessed as important but rated as done poorly are at the top on the left.
Recording the outcome in Here is Your Answer
3.78
The staff member managing the complaint must record the outcome in HIYA. Doogle outlines that one of the following outcomes must be recorded:
- Resolved – complainant satisfied: The complainant is satisfied with the outcome and complaint is closed.
- Resolved – complainant dissatisfied: The complaint has been investigated and closed. The complainant is not satisfied with outcome.
- Resolved – complainant satisfied Review of Decision: The complainant is satisfied with the response but requests a review of decision.
- Unresolved – complainant dissatisfied Review of Decision: The complainant is not satisfied and would like to submit a review of decision.
- Error: The complaint was added in error and has been closed.
- Closed – Lack of representation: The complaint has been closed because of a lack of information.
- Closed – Message left: The complaint has been investigated and resolved. A message has been left for the complainant to contact the Ministry.
3.79
One manager explained that contacting the person who complained can sometimes be difficult and that this can hold up the process. This might result in the Ministry "closing the complaint off". The record would be updated with "repeated attempts to contact" recorded in the client file. If the person rings the 0800 telephone number, a customer service representative will tell the person what the Ministry tried to do. The manager told us that the regional office monitors this to ensure that the response or attempted response to the person has been dealt with appropriately.
3.80
When the outcome has been recorded, the designated staff member must "sign off" the complaint in HIYA. Otherwise, it will be escalated to that staff member's immediate manager.
3.81
HIYA should keep Work and Income staff accountable for informing people about decisions and outcomes. However, accountability lines are not so clear when the matter is not recorded in HIYA. The National Office refers some matters to the regional offices outside HIYA using a formal template. If a matter comes to the regional office this way, staff at the office are required to report back with relevant information, including advice on what to do to remedy the situation.
3.82
Ideally, the regional office would get a copy of any response the National Office makes to the person who complained. This is important for future dealings with the person and an understanding of how the complaint was resolved. However, this does not always happen, which can leave regional staff unclear about what has been resolved and what action was taken.
Other sections
3.83
Where appropriate, StudyLink and Senior Services will send a person who complained a letter apologising and informing them of the decision made about the complaint.
3.84
Senior Services does not have standards about timeliness in responding to people who complain. This can affect how promptly people are informed of decisions, which can cause frustration.
3.85
The telephone survey results indicate that StudyLink generally informs complainants of the decision appropriately, but can improve how it sets expectations about time frames. Only 40% of StudyLink clients surveyed felt that the time it took to resolve the matter was reasonable. By contrast, 69% agreed that the reasons for the decision were fully explained. Most (78%) were confident that StudyLink had correctly understood their complaint, and 62% agreed that the final decision addressed all aspects of their complaint. Figure 4 shows an analysis of the attributes of the complaints process that people thought were important, and how they perceived StudyLink performed against each attribute. Similar to Work and Income, "The length of time it takes to resolve the issue" is more important than other attributes.
Figure 4
Performance and importance analysis of responses from StudyLink complainants
Source: Office of the Auditor-General. This graph shows the relative performance and importance of each attribute of complaints handling, based on how people rated them. The position of each attribute is determined by its relationship to each of the other attributes. Attributes that are assessed as important but rated as done poorly are at the top on the left.
3.86
The Office of the Ombudsman recommends that bad news be delivered as early as possible to avoid people holding unrealistic expectations about their complaint and possible outcomes. In our view, this applies to any decision, not just bad news.
Unsatisfactory resolution
3.87
If the complaint has been "signed off" in HIYA, this usually means that it has been resolved. Doogle notes that, if the complainant is not satisfied with the resolution and wishes to take it further, then the complaint should be recorded in HIYA as a new complaint. The immediate manager of the person who resolved the original complaint will then manage the new complaint.
3.88
We were told that this is because it is not possible to add new notes to HIYA when a complaint has been signed off. Managers cross-reference the new complaint to any previous complaints. However, Doogle clearly states that it is possible to update a complaint in HIYA even though it has been "signed off".
3.89
In our view, treating the person's wish to progress the matter further as a new complaint might not be efficient. It might not accurately reflect the number of complaints the Ministry receives and subsequently resolves.
3.90
We acknowledge that Work and Income does record complaints as "resolved – dissatisfied", which means that Work and Income can analyse these complaints.
Showing that the Ministry is responsive to complainants
3.91
We asked the Ministry to provide Work and Income complaints data from HIYA, including the types of complaints received and the outcomes recorded for those complaints. The Ministry provided data for 2010 to 2013. Figure 5 shows that most of the complaints that Work and Income received between 2010 and 2013 were resolved to the complainant's satisfaction, although this proportion decreased each year.
Figure 5
Recorded Work and Income complaints and their outcomes, 2010 to 2013
Source: Ministry of Social Development.
Note: Only the four largest categories of complaint outcomes are shown.
3.92
The results of the telephone survey are in line with Work and Income's data about the percentage of complaints it resolves. The survey showed that 76% of Work and Income complainants who had received a final decision considered the matter resolved. For StudyLink, the percentage was 70%.
3.93
In 2013, Work and Income recorded 8039 complaints. Of these, 5594 were recorded as resolved. Figure 6 shows that most of these resolved complaints were resolved to the complainant's satisfaction.
Figure 6
Outcomes for resolved Work and Income complaints in 2013
Source: Ministry of Social Development.
Note: ROD means a review of decision. "Resolved – complainant dissatisfied ROD" differs from the category in Doogle, because of a mistake made when designing the system. For reporting purposes, the complaints are considered closed. Because of rounding, the numbers do not add up to 100%.
3.94
Although we did not ask whether people were satisfied with the resolution of their complaint, we asked those who had received a final decision if they thought that the decision was fair. Two-thirds (66%) of Work and Income clients agreed that the final decision was fair. More than half (58%) of StudyLink clients agreed that the decision was fair.
3.95
The telephone survey asked whether people were satisfied with the process. Only 36% of all the people surveyed were satisfied with the complaints process, and 49% were dissatisfied.
3.96
The survey showed that people were more likely to be satisfied with the complaints process if their complaint was dealt with at the time they made it. Seventy percent of those whose complaint was dealt with when they made it were satisfied with the way their complaint was handled. Further analysis showed that 60% of people who felt that their complaint had been resolved were satisfied with the process. About two-thirds (68%) of people who agreed that the outcome of their complaint was fair were satisfied with the process.
3.97
This indicates that people who felt that their complaint was resolved and the outcome fair were more likely to be satisfied with the process. We note that achieving a fair decision or outcome is not always the same as the person getting what they wanted. The Office of the Ombudsman states that:
A complainant, who feels that they have been listened to, understood, treated fairly and with respect, and who has been given a thorough explanation of the complaints process and what is likely to happen with their complaint is more likely to respond positively towards [the] organisation and the complaints process than if they were not given this information.
3.98
The Office of the Ombudsman goes on to quote the "organisational justice theory", which argues that:
… where a person perceives that an organisation/person has followed proper procedures when handling their matter and their interactions with that organisation/person have been appropriate, then they are less likely to have negative perceptions of the organisation/person, even if they achieve a negative outcome.
3.99
To improve people's perceptions of fairness and, therefore, satisfaction with the process, we consider that the Ministry needs to set better expectations about time frames for resolving complaints. The Ministry needs to keep people better informed about the progress of their complaint, while continuing to fully explain the reasons for the decision.