Item 11 Appendix 2024-25_Complaints_Scrutiny_Final
Argyll and Bute Council · 12 June 2025
Back to Audit and Scrutiny Committee — 12 June 2025 and its agenda
Text extracted from the council's PDF. Layout and reading order may differ from the original.
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Argyll and Bute Council Scrutiny Report March 2025 FINAL Complaints Process
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2 Argyll and Bute Council – Scrutiny Report – Complaints Process 2024/25 Contents 1. Executive Summary ........................................................................................................................ 3 2. Detail ............................................................................................................................................... 4 Introduction ............................................................................................................................................ 4 Objectives ............................................................................................................................................... 4 Background ............................................................................................................................................. 5 Scrutiny Initiation Briefings – 30 November 2022 ................................................................................ 7 Exhibit 1 – Scrutiny Meetings Attendees and Key Areas for Discussion ............................................. 8 3. Scrutiny Meetings ........................................................................................................................... 8 Scrutiny Panel Meeting – Council Officers – 02 & 24 February 2023 ................................................... 8 Exhibit 2 – Scrutiny Meetings – Council Officers - Key Messages ....................................................... 9 4. Overall Conclusion and Findings .................................................................................................. 12 Exhibit 3 – Findings ........................................................................................................................... 12 APPENDIX 1........................................................................................................................................... 14 Contact Details Chair: Martin Caldwell (Independent Chair of Audit and Scrutiny Committee) Chief Internal Auditor: Paul Macaskill (paul.macaskill@argyll-bute.gov.uk) www.argyll-bute.gov.uk
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3 Argyll and Bute Council – Scrutiny Report – Complaints Process 2024/25 1. Executive Summary 1. In January 2024, Elected Members requested that a scrutiny review of the Council’s Complaints Process take place as part of Argyll and Bute Council’s (the Council) 2024/25 scrutiny plan. The Audit and Scrutiny Committee (the Committee) agreed to progress with this review and work should commence to define the scope of the work to be carried out. 2. A briefing paper was prepared by the scrutiny officer and passed to the panel to provide background information. Discussion took place to establish the scope of the review which resulted in the following themes of enquiry: • The Council’s complaints process is aligned to the national guidance provided by the Scottish Public Services Ombudsman (SPSO). • Sufficient comprehensive guidance has been prepared and made available to assist officers conduct complaints investigations and provide adequate responses to the complainant within the stipulated timelines. • Suitable oversight is in place to ensure the complaints process is operating as intended. • Sufficient measures are in place to assess satisfaction with the complaints process separately from dissatisfaction with specific outcomes relating to the subject matter of the complaint to exclude undue/subjective negativity. • Improvements identified as a result of learning from complaints are shared equitably throughout the Council to avoid recurrence in other service areas. • Sufficient, comprehensive training and guidance is in place to assist Members and Officers decide when to progress communications as complaints, expressions of dissatisfaction or an enquiry. 3. Research took place to establish legislative requirements and examples of good practice to form a basis for assessing the Council’s complaints handling process. An extensive examination followed to measure compliance with the established assessment basis and identify any areas for improvement. The findings of this review formed the basis of discussions held with key officers involved, the full details of which are included in Exhibit 2. 4. The panel reviewed and discussed a large suite of documents obtained over the course of the review to reach its conclusions, these can be summarised as follows: • The Council’s Complaints Handling Procedure is based on the SPSO’s Model Complaints Handling Procedure. • The Complaints Handling Procedure is comprehensive and readily available to all Council employees, supplementary information and templates provide additional support. • Monthly, quarterly and annual reporting provides senior management with oversight of the complaints handling process. This information is made available to DMTs and separately to Heads of Service and service single points of contact for complaints, however, there is no evidence of this information being cascaded to operational levels to share learning and improvement actions. • Customer satisfaction is subjective and difficult to assess, satisfaction surveys may be biased and return rate is low. • Training and guidance materials help Members and officers understand what is and is not a complaint.
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4 Argyll and Bute Council – Scrutiny Report – Complaints Process 2024/25 The full conclusions reached are included in paragraph 33 with findings and recommendations outlined in exhibit 3. 2. Detail Introduction 5. As part of the Council’s 2024/25 scrutiny plan, approved by the Committee in March 2024, we have undertaken a scrutiny review of the Council’s complaints process. 6. Throughout this report references to ‘the panel’ refers to the former independent Chair of the Committee (to provide guidance to new panel members), the new independent Chair and three Committee Elected Members who conducted this review. They were: • Martin Caldwell (panel chair) • Janice Wasson-Hall (Chair) • Councillor Mulvaney • Councillor Vennard • Councillor Howard 7. The panel was supported by council officers who gave willingly of their time to help deliver the review. We would like to extend our appreciation for the co-operation and assistance received from all attendees invited to provide evidence over the course of the review. Scope 8. Consider whether the Complaints Handling Procedure provides sufficient clarity over service expectations, what does and does not constitute a complaint and whether services are learning lessons from complaints feedback to inform continuous improvement. As social Work Servies are the responsibility of the HSCP, the Panel should exclude this service area from considerations. Objectives 9. The agreed objectives of the scrutiny review were to: • Ensure the Complaints Handling Procedure contains clear guidance defining what can and cannot be considered as a complaint, it is well communicated and referenced within key council documentation: o In constitution, governance statement and Council policies o In guidance to Members, line managers and officers • Ensure the Council’s procedure is aligned with national guidance and best practice: o Scottish Public Services Ombudsman o Identified best practice within public service o Robust sources of evidence are used in arriving at complaints resolutions • Ensure performance data is captured, reported and used to inform senior management of areas for improvement and share good practice o Surveys to gather information o Reports to senior management and committees o Submissions to appropriate partner organisation for monitoring and benchmarking
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5 Argyll and Bute Council – Scrutiny Report – Complaints Process 2024/25 o Information published on Council website • Assess methods of identifying and sharing improvement actions o Improving complaints handling process o Informing service performance improvements o Information sharing across Council Services • Development and final agreement of improvement actions Background 10. Within the Council’s website and Complaints Handling Procedure, a complaint is defined as “the expression of dissatisfaction with an organisation’s procedures, charges, employees, agents or quality of service”, and “an expression of dissatisfaction about the Council’s action or lack of action, or about the standard of service provided by or on behalf of the Council”. 11. Complaints may relate to the following examples: • failure or refusal to provide a service • inadequate quality or standard of service, or an unreasonable delay in providing a service • dissatisfaction with one of our policies or its impact on the individual • failure to properly apply law, procedure or guidance when delivering services • failure to follow the appropriate administrative process • conduct, treatment by or attitude of a member of staff or contractor (except where there are arrangements in place for the contractor to handle the complaint themselves: see Complaints about contracted services); or • disagreement with a decision, (except where there is a statutory procedure for challenging that decision, or an established appeals process followed throughout the sector). 12. The above complaint definition is broad, but not every concern raised with the Council is a complaint. For example, a complaint is not: • a request for information or an explanation of policy or practice • a request under the Freedom of Information Act or Data Protection legislation. 13. There are also some matters we can’t deal with under the Complaints Procedure. These include: • A first time request for a service e.g. a request for a street-lighting repair • A request for compensation only • Where there is a statutory or other formal right of appeal e.g. decision on housing or council tax benefit or in regard to formal enforcement action • Insurance claims or potential claims concerning injury to people or damage to property, however if they are also complaining about the cause of the injury/damage this part should be dealt with as a complaint • Matters which are currently subject to court proceedings or have already been heard in court or at a tribunal • Complaints regarding the conduct of a Councillor • Disagreement with decisions or conditions that are based upon social work recommendations, but determined by a court or other statutory body, for example decisions made by a children's panel, parole board or mental health tribunal
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6 Argyll and Bute Council – Scrutiny Report – Complaints Process 2024/25 • A concern about a child or an adult’s safety • A complaint which has already been investigated and a final decision given. 14. The Council Constitution states that “Citizens have the right to complain to the Council under its complaints procedure about any service failure”. The Council is committed to providing high quality services for the people in Argyll and Bute, however, sometimes services may fail to fully meet their objectives, and when this happens, the Council needs to know so that weaknesses can be addressed and lessons are learned from the actions taken. 15. The Council has developed a formal complaints procedure to help those wishing to raise a complaint to do so either in person at any of the Council’s customer service points, or by telephone, in writing, by email or via the Council’s or Health and Social Care Partnership’s (HSCP) websites. 16. The Council has a dedicated area on its website providing information about complaints. This includes an explanation of what a complaint is, the Council’s aims and commitments regarding the complaints procedure, how to raise a complaint, what can and cannot be complained about, who can complain, how long a customer has to make a complaint, a link to what happens when complaints have been submitted and performance information. 17. The Complaints Handling Procedure operated by the Council and the HSCP is comprehensive and was developed by local government complaints handling experts working closely with the SPSO. The Model Complaints Handling Procedure (MCHP) was revised in 2019, combining both local authority and social work procedures into one containing core text applicable to all public services in Scotland with some additional text specific to local authorities and HSCPs handling social work complaints. 18. The procedure sets out what constitutes a complaint, the complaints handling process and what is expected from employees during the complaints process, it also provides some examples and guidance with regard to issues raised. 19. The Complaints procedure consists of two stages: • Stage one: Frontline Response • Stage two: Investigation 20. Complaints will be resolved wherever possible and this may happen at any point within the process. Action taken, if any, to resolve the complaint will be agreed between the complainant and the Council/HSCP. Where a complaint is resolved, it is not usually necessary to continue investigating, although it may be useful to do so e.g. to identify learning opportunities to prevent recurring complaints. All investigations will be undertaken by a senior officer independent of the service area under review and a clear record of how the complaint was resolved will be maintained, noting what action was agreed and the customer’s agreement to the final outcome. 21. The Council welcomes and indeed values complaints as the feedback received can be used to inform service improvements and ensure that customers are treated fairly. Where appropriate, action will be taken to improve services on the basis of complaints findings. The outcomes and actions taken are recorded for all complaints and this data is used to analyse trends and themes. Complaints data is used to analyse and improve services and learning is shared throughout the Council/HSCP as relevant.
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7 Argyll and Bute Council – Scrutiny Report – Complaints Process 2024/25 Scrutiny Preparatory Meeting – 02 October 2024 22. In October 2024 the Panel Chair and scrutiny officers met with key service officers to gather information and discuss possible focus areas for the review. 23. The attendees recognised the nature of this briefing and discussion noted the following : • The definition of a complaint is provided by the SPSO, however there may be benefit in further explaining “expectations” • We follow the SPSO Model Complaints Handling Process to progress complaints, it is not useful to step outside of this guidance • Complaints should focus on service provision and not overarching policy • The Member’s Portal is not a conduit for submitting a complaint, anything that looks like a complaint should be passed to relevant officers to progress through the appropriate channels if deemed appropriate • Members have been provided with induction training • It is important to understand the difference between a complaint and a disagreement • The complaints procedure includes issue of a survey upon completion • Survey return rate is low and more commonly returned by those who are unhappy with the outcome rather than the complaint process, this has an impact on the annual complaints report • Services use feedback inconsistently for learning and benchmarking purposes, there is no mechanism across the Council to share improvement actions e.g. to provide more timeous responses to complaints • Heads of Service are provided with monthly complaints reports and SMT quarterly, however, there is no evidence of this being cascaded to operational management to highlight need for improvement 24. The scrutiny officer thereafter prepared and circulated a “Background and Scoping Document” to the Panel which contained a great deal of information to help inform the review. As well as providing the scope (para 8), Objectives (para 9) and background information (paras 10-21 above) the document also contained a briefing paper providing a summary of the contents of the Council’s Complaints Handling Procedure and performance reporting mechanisms. 25. Attendees agreed that a panel meeting be held to consider the following: • SPSO Model Complaints Handling Guidance is communicated within Council guidance and training provided to Members and officers and helps provide a clear understanding of what can and cannot be considered a complaint • performance data is captured and shared with management to inform improvement actions and where relevant share information across the Council • benchmarking arrangements are in place to learn from other Councils 26. The panel agreed that they should meet with appropriate representatives of the groups set out in Exhibit 1.
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8 Argyll and Bute Council – Scrutiny Report – Complaints Process 2024/25 Exhibit 1 – Scrutiny Meetings Attendees and Key Areas for Discussion Group Key Areas for Discussion Council Officer(s) SPSO guidance is communicated within Council procedures and training to provide clear understanding of what is and what is not a complaint • In Complaints Handling Procedure • In Council website • In service information Performance data is captured, reported and shared sufficiently to inform improvement actions • Survey feedback • KPI reporting • Information sharing across services Benchmarking Arrangements • Local Authorities Complaints Handlers Network (LACHN) • How improvements are shared within other Councils • How improvements are shared between Councils 3. Scrutiny Meetings Scrutiny Panel Meeting – Council Officers – 29 November 2024 27. The Panel meeting consisted of Panel Chair, Chair of the Audit and Scrutiny Committee, Councillor Vennard, Councillor Howard, Head of Legal and Regulatory Support and the Compliance and Regulatory Officer. 28. The scrutiny officer undertook a review of the Council’s procedure document on complaints handling against the SPSO Model Complaints Handling Procedure to assess their alignment. This revealed that the Council’s guide is clearly based on this document with additional details advising of how the procedure should be applied locally within services. This is a lengthy document and a summary was provided for the convenience of the Panel. 29. Against this finding and building on the overall purpose of the review that had been agreed within the Background and Scoping document following the first meeting, the six themes identified in paragraph 2 were agreed by the panel as the final scope of the review. 30. Scrutiny officers thereafter reviewed the Council’s procedure against these themes and considered improvements. (See conclusions at Paragraph 33) 31. The panel focussed on how satisfaction with the complaints process is assessed, learning from complaints and what is and is not considered to be a complaint. 32. The panel met with Council Officers at a single panel meeting. The Exhibit 2 lists the themes in order and the key messages emerging from each theme representing the respective views of the panel and the Officers.
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9 Argyll and Bute Council – Scrutiny Report – Complaints Process 2024/25 Exhibit 2 – Scrutiny Meetings – Council Officers - Key Messages Theme Detail The Council’s complaints process is aligned to the national guidance provided by the Scottish Public Services Ombudsman (SPSO). The SPSO Model Complaints Handling Procedures has been adopted by the Council with some additional detail around how to apply the requirements at a local level. When we consider aspects of the complaints process, we will not be able to deviate away from what the SPSO expects of a local authority. The Complaints Handling Procedure is considered to be comprehensive and useful. The definition of a complaint used by the Council is derived from the SPSO. Sufficient comprehensive guidance has been prepared and made available to assist officers conduct complaints investigations and provide adequate responses to the complainant within the stipulated timelines. The Complaints Handling Procedure is available to all members of staff with a Council email address on the HUB intranet resource website. The complaints process is underpinned by best practice. The Council uses a suite of templates provided by the Compliance and Regulatory Team, including examples of what is and is not a complaint. Suitable oversight is in place to ensure the complaints process is operating as intended. Annual report is published and passed to the Audit and Scrutiny Committee. Heads of Service are passed monthly reports detailing how many complaints were received in the period, how many were dealt with within the required timeframe, how many were late, number of issues arising and any lessons learned. Each Service has a Complaints Representative (Rep) who coordinates the response to complaints within that Service. The Rep liaises with the Compliance and Regulatory Team for advice and assistance and attends regular meetings held by the team for all Reps to discuss matters related to performance, current issues and advice related to that. Strategic Leadership Team (SLT) are passed quarterly summaries of the above. The format of this report is undergoing development to provide an easier to understand graphic summary. The SPSO will be interested to see this development. There is no evidence of information being cascaded to operational management to implement improvements at front-line service delivery.
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10 Argyll and Bute Council – Scrutiny Report – Complaints Process 2024/25 No complaints were required to be investigated by the SPSO in 2023/24, our performance is considered to be very good. Most teams/services have a single point of contact for complaints and regular discussions take place, especially where issues arise. We do not publish the content of individual complaints but we do publish a high level overview of the number of complaints and our complaints performance. Stage two complaints are investigated by someone completely independent to the situation and is usually a Head of Service. The investigating officer cannot have had any involvement in the specific situation that the complaint relates to. Sufficient measures are in place to assess satisfaction with the complaints process separately from dissatisfaction with specific outcomes relating to the subject matter of the complaint to exclude undue/subjective negativity. The Panel may wish to consider how we assess satisfaction with the complaints process. This can often be difficult as there is a distinct difference between someone being happy with the process but not necessarily happy with the outcome. One option would be to benchmark what other Council’s do and see if there are any learning points to consider in terms of improving. Customer satisfaction is difficult to gauge, it is subjective, often closely linked to whether the complainant agrees or disagrees with the outcome. Customer satisfaction survey response rate is low and this is comparable with other Councils across the Local Authorities Complaints Handlers Network (LACHN). Improvements identified as a result of learning from complaints are shared equitably throughout the Council to avoid recurrence in other service areas. The Panel may wish to consider how the Council learns from complaints. The most important element to emerge from a complaint is learning and using that information to inform improvements. Identified improvements may be relevant in more than one area of the Council, therefore the Panel may wish to consider how this learning is cascaded equitably throughout the Council and if there are any ways that this can be improved. It is not a quantitative assessment but a quality assessment on how we are improving and what we can do to continue. We publish an Annual Report on complaints which includes some examples of lessons learned and improvements made as a result, “You said and We did”. It was suggested that it might be useful to draw this out further e.g. to the website.
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11 Argyll and Bute Council – Scrutiny Report – Complaints Process 2024/25 It is important to admit that we make mistakes. The Council is on a journey for continuous improvement along with the members of the public. This information is made available to DMTs and separately to Heads of Service and Service single points of contact for Complaints. It is important that services share successful improvements to managing complaints. It would be useful and of value if the Panel were able to suggest areas for improvement to help cascade information across the Council. It may be beneficial to undertake a benchmarking exercise to establish what measures are taken within other Councils. (This exercise was undertaken but received only 4 responses that were of very limited use, these can be viewed within Appendix 1.) How do we translate what we say in terms of good governance and meeting the needs of the SPSO into relaying that to our community so they have an understanding on how we use complaints to improve. Making changes as a result of complaints shows that we are listening and taking notice, two examples were provided regarding email system failure and use of acronyms within Council reports. Stage 1 complaints can be resolved relatively informally and as a result the outcome might not necessarily require to be recorded. Sufficient, comprehensive training and guidance is in place to assist Members and Officers decide when to progress communications as complaints, expressions of dissatisfaction or an enquiry. The Panel may wish to consider whether there is clear distinction and understanding regarding what is and is not a complaint. There may, at times, be confusion when a communication is received, as to whether it should be treated as a formal complaint or is an expression of dissatisfaction. Would further guidance, training and support help develop a more consistent approach. People may disagree with the Council on a number of areas but the mere fact there is a disagreement is not the basis for a complaint. The manner of how a disagreement may have arisen may be the basis of a complaint. Members induction slides contain useful information with a lot of focus on how we use the complaints data for improvements and other aspects on governance that may arise.
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12 Argyll and Bute Council – Scrutiny Report – Complaints Process 2024/25 4. Overall Conclusion and Findings 33. Based on the information obtained over the course of the review the panel has concluded that: • The Council’s Complaints Handling Procedure is a useful, comprehensive document that is based on the Scottish Public Sector Ombudsman’s (SPSO) Model Complaints Handling Procedure with additional guidance on local application. • Sufficient comprehensive guidance is available to all Council employees via the Council’s intranet resource, the “HUB”. This guidance is supported by a suite of templates provided by the Compliance and Regulatory Team, including some useful examples. • The most important element to emerge from a complaint is learning and using that information to inform improvements. Suitable oversight is in place via monthly, quarterly and annual reporting mechanisms. This information is made available to DMTs and separately to Heads of Service and Service single points of contact for Complaints, however, there is no evidence of information being cascaded to operational management from senior management. • Customer satisfaction is subjective and difficult to assess, the return rate for surveys is low and those that are returned are often biased by those who are unhappy with the outcome as opposed to the complaints process. • New elected Members are provided with induction training promptly after elections take place as well as regular development sessions to explain what is and is not considered to be a complaint and how these matters should be addressed. 34. The review has identified 2 findings which have been discussed with management. These, and the management responses, are detailed in Exhibit 3. Exhibit 3 – Findings No. Recommendations Management Response 1 Satisfaction with the complaints process It is difficult to gauge satisfaction due to the poor return rate of surveys issued upon completion. The complaints system administrator may wish to consider whether there would be any benefit in having a further stage in the reminder process, given the current level of engagement from complainers. Noted This can be investigated, however, this may be additional work for no guaranteed benefit. Most people respond, based on the outcome of their complaint, not necessarily in terms of the spirit of the survey, i.e. on the process. This is reflected in the limited benchmarking. 2 Learning from Complaints There is insufficient evidence of lessons learned identified being implemented as a result of the complaints process despite having been cascaded within and across the Council’s Service areas. Noted Improvement actions are identified and shared with Heads of Service and Service Reps. There is a current requirement for Heads of Service to ensure that
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13 Argyll and Bute Council – Scrutiny Report – Complaints Process 2024/25 No. Recommendations Management Response Whilst lessons learned are discussed at senior management level and details cascaded to ensure that improvements should be identified and can be used to inform improvements across all Council service areas, this is not always evident in terms of process within individual service areas/teams. As part of the cascade arrangements, Heads of Service should confirm to Legal and Regulatory Services how identified improvement actions which have been shared with them and with their Service Representatives have been or will be implemented in practice for inclusion in the annual report. Management should consider cascading learning to all Council employees via periodic bulletins where it is deemed that there is sufficient benefit for wider circulation (linked to monthly/ quarterly reporting) to share insights with all involved in service delivery. improvement actions have been completed, and this is confirmed to L&RS by the Service Rep updating the Oracle case form – this is simply not always done. Most improvement actions relate to the individual complaint and actions taken to reduce the likelihood that a similar issue will arise again for that individual, where it is something that affects other areas of the Service, then they should be discussed at DMT and cascaded as appropriate. Services already have “Service Reps” and they fill that champion role – but issues with getting confirmation that improvement actions have been completed and the case file updated continue.
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Argyll and Bute Council – Scrutiny Report – Complaints Process 2024/25 APPENDIX 1 Review of Argyll and Bute Council’s Learning from Complaints compared to other Councils The Scrutiny officer prepared four questions for submitting to other councils to assess if there are any lessons we can learn to share improvement ideas across the Council. The Compliance and Regulatory Officer issued these questions to the Local Authority Complaints Handlers Network on behalf of the Panel with a view to reach across as may local authorities as possible, unfortunately, only 4 responses were received despite an additional reminder being sent. The response from one Council indicated that they receive a good return rate in relation to feedback surveys and were contacted to obtain further information, unfortunately they did not respond. The limited information received is detailed below: Responses to questions submitted to other Councils No. Question Responses 1 Surveys requesting feedback on satisfaction with the complaints handling process have a low return rate, have you taken or are you planning to take any additional action to encourage a greater responses rate? If so, what are those actions? We stopped surveys a number of years ago as we had to do manually, and response was little. We are in the process of getting a new system and hoping that it will be able to issue a survey once complaint is complete. Ours are over 50% and we are happy with that. We ask customers to opt into our surveys. If they do, they get one. We review the feedback and incorporate it into our annual report, but beyond that we don’t do anything with it. If we had time, we would do more with it, but we just don’t have the resource. We have not taken any action to encourage a greater response rate. We are aware that the return rate is low and is skewed towards those who are unhappy. 2 Have you considered any alternative means of gauging satisfaction with the complaints process within your Local Authority? If so, what are these? As an authority we are looking at customer satisfaction across services and how best to capture. No No, we haven’t considered any alternative methods. Again, this is a resource issue. No, we haven’t but it is something that we should look at in the future. 3 By addressing complaints received, services are able to identify improvements, can you please advise if these improvements are shared across other service areas within your Local Authority? If so, how are these improvements communicated and is there any information gathered to evidence successful implementation? Improvements are shared within Management Teams within Services only unless they have implications for all Services. Only shared in our annual report, we include some “stories”. This is an area for improvement for us. Sharing learning is not happening in the way it should. We do not communicate this directly with Services, however, we do share it with our Information Management Group and publish it in our Quarterly and Annual Complaints Monitoring report. We are currently looking at developing a Power BI dashboard to make this more widely accessible and introducing shared learning across Services at our internal Complaint Handlers and Co-ordinators Network.
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Argyll and Bute Council – Scrutiny Report – Complaints Process 2024/25 No. Question Responses 4 Is improvement information currently shared across other Local Authorities? If so, how is this communicated? No. No. Beyond looking at the benchmarking and considering anything that comes up at LACHN meetings, we don’t share improvement information. No