Complaints and

Compliments Procedure

05/04/2023
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Objectives

At the end of this session you will know how to;

Define a complaint
Raise a Service Request
Interact with a complaint
Investigate and escalate complaints

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Definition
Complaint Definition
Complaint is defined as communication or feedback that, at the discretion
of the recipient, cannot be resolved through normal business channels or
procedures, i.e. serious issues, or communication (written or oral) that
expresses displeasure at the service(s) provided by HRSS.

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Acknowledging and Recording of Complaints

Acknowledging Complaint
• Where complaints are sent to a specific individual, these should be
acknowledged using Template 1 and forwarded to MyHR@Serco.com

Recording Complaints
• All complaints to be recorded in EIC.
• Complaints should be recorded in the name of the complaint originator
and not the HRSS individual who forwarded the complaint to MyHR e.g
Head of Service or HR Director.

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Allocation of Complaints

Allocation of Complaints
• Complaint will be allocated to the relevant HRSS Team member for
investigation, by the Quality Manager
• Complaints received by Heads of Service or HR Director where they
have identified who should investigate it, this must be detailed in the
email to MyHR@Serco.com.
• Quality Manager will ensure complaints are not allocated to HRSS
members who may have already had interaction with the process the
complaint relates to.

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Priority Table
Priority Rating Definition Complaint Type Timescales Timescales for
for initial investigation
contact and outcomes

Priority 1 Complaints that could potentially - Whistleblowing 24 hours 5 working days

(High Level) result in negative media or have a - Security breach (inc DPA)
financial or reputational impact on
either the individual or the
business.
Priority 2 Complaints where the service - SLA breach 2 days 7 working days
(Medium Level) MyHR has provided has not been - Unacceptable behaviour
satisfactory in relation to process - Incorrect advice
failure, or Quality of Service. - Information out of date
- Pay Related
Priority 3 Complaint where there is a system - System not working 4 days 10 working days
(Low Level) issue requiring the customer needs - Incorrect data
to take ownership.

• Timescales refer to the investigation and outcomes to be agreed and response

provided to the Complainant.
• The implementation of the agreed outcomes will be undertaken within one
calendar month of receiving the complaint.
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Complaints Categorisation
Category Definition
Customer Perception Where the customers perception of the service does not
align to HRSS Service Delivery.
Security / Data Where personal employee details have been disclosed
Security incorrectly – Potential/DPA Breach, or more general
security related issues.
Knowledge gap Knowledge gap identified for either MyHR staff or
customers.
Process Failure Where the process has broken down and resulted in poor
service or it is identified that the process is not fit for
purpose.
Quality of Service Where the quality of service provided does not meet
MyHR standard.

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 Investigation and Escalation
Complaint Types & EIC Description
Whistleblowing*
Complaint_WB_(Org Unit Name)
Security Breach (inc DPA)**
Complaint_SB/DPA_(Org Unit Name or
SAP No)
SLA Breach
Complaint_SLA_(Org Unit Name)
Unacceptable Behaviour
Complaint_UB_(Org Unit Name)
Incorrect Advice
Complaint_IA_(Org Unit Name)
Information out of Date
Complaint_IooD_(Org Unit Name)
Pay Related
Complaint_PR_(SAP No)
System not Working
Complaint_SnW_(Org Unit Name)
Incorrect Data
Complaint_ID_(Org Unit Name or SAP
No)05/04/2023
Investigation and Escalation Points
Investigation
Service Delivery Manager
Service Delivery Manager
People Services Manager
Service Delivery Manager
Service Delivery Manager
People Services Manager
Volume or Specialist Team
Manager
Service Delivery Manager
People Services Manager
Volume or Specialist Team
Manager
Tier 1 – Support Lead
Tier 1 – Support Lead
Tier 1 - Support Lead
Tier 1 - Support Lead
Serco Internal
First Point of Escalation Final Point of Escalation
Head of Service – People HR Director
Services
Head of Service (Relevant HR Director
Service Team)
Head of Services – Service HR Director
Operations
Head of Service (Relevant HR Director
Service Team)
Head of Service (Relevant HR Director
Service Team)
Service Delivery Manager Head of Service
People Services Manager (Relevant Service Team)
Volume or Specialist Team
Manager
Service Delivery Manager Head of Service
People Services Manager (Relevant Service Team)
Volume or Specialist Team
Manager
Service Delivery Manager Head of Service
People Services Manager (Relevant Service Team)
Service Delivery Manager Head of Service
People Services Manager (Relevant Service Team)
Assessing Complaint

• Confirm receipt of the complaint to the complainant.

• Compile details in relation to the Complaint - Summary of issues that are
raised and require addressing.
• Record actions - chronological list of actions undertaken, where the
service has broken down.
• Identify the process the complaint relates to, e.g., EDC, ATR,
Disciplinary etc
• Recommended Resolution - Including who will be responsible and target
date for resolution(s) to be implemented and timescales. Must be one
calendar month from receipt of complaint.
• Identify Risks - RAG status of identified risks and provide details of
potential impact of risk on the wider HRSS.
• Categorisation of the complaint.
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Responses and Closure
Complaint Response
• The complaint must be managed by the responsible Investigator to a
successful completion.
• Investigator will be responsible for providing a final response to the
Complainant within agreed timescales.
• Keep the Heads of Service updated on progress of any high profile
complaints.
• Resolution actions for a complaint should be completed within one
calendar month of the complaint being received.
 Close the Complaint
• Complaints will only be closed once all the issues raised have been
responded to or plans have been put in place to for a resolution with
clear timescales.
• Formal outcome must be sent to complainant as per Priority table
timescales.
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Complaints Process Flow
Responsible Officer Process

Complaint Responded to and Closed on EIC Complaint closed in

All documents relating to the complaint must be uploaded onto EIC prior to Quality Manager
the complaint being closed.
EIC

Responding to the Complainant Respond to

Investigating Officer will be responsible for remaining in contact and Investigation Officer Complainant with
responding to the Complainant in line with Table 1. resolution

Assessing the Complaint

Establish grounds of complaint, actions undertaken, where service has Assessing the
Investigation Officer
broken down, recommended resolution and any risks and issues identified. Complaint
Investigating Officer must complete the Investigation Form.

Allocation of Complaint
Quality Manager will be responsible for allocating complaint in line with Allocated for
Quality Manager
Table 2. Complaints will not be allocation to HRSS members who have had Investigation
any interaction with the process that the complaint relates to.

Complaint Recorded in EIC Complaint Recorded in

SR should be raised within EIC and complaint initially assigned to the MyHR Advisor
Quality Manager.
EIC

Complaint Received MyHR, Head of Service,

All complaints, including those sent directly to HRD or Head of Service Complaint Received
should be forwarded to MyHR for Service Request (SR) to be raised in EIC.
HR Director

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Compliments
Compliment Definition
Compliment is defined as a formal communication praising the services
provided by HRSS or an individual.
• All formal compliments received should be forwarded to Quality
Manager and / or Head of Service.
• The Quality Manager and / or Head of Service will then agree, if
appropriate, as to who provides a response to the compliment provider.
• The Head of Service is then responsible for communicating, where
appropriate, the details of the compliment to HRSS or staff.

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Complaints Log
• All complaints must be logged on the Complaints Tracker
• Complaints Tracker will maintained by Quality Manager and Quality
and Performance Analyst.
• Monthly reporting will be undertaken to identify if there are any
particular areas where high volume of complaints are being received
from and, the process and category of these.

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Processing Complaints
• MyHR@Serco.com to be checked each Morning and Afternoon for any
e-mails with Complaints in the subject.
• E-mail to be converted to SR on same day of receipt.
• Where e-mail has been forwarded by HR Director or Head of Service,
SR to be raised in the name of the complaint originator.
• If at Tier 1 complaint can be resolved, it must only be resolved by
someone who has had no previous interaction with the process.
• All SR’s to initially be assigned to Quality Manager for allocation.

Refer to Complaints Matrix for details on how to raise SR for Complaints.

Complaint Process\HRSS-QAM-MTX-001 Complaints Matrix
1.0 20140107.xlsx

05/04/2023
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Serco Internal
Objectives

At the end of this session you will know how to;

Define a complaint
Raise a Service Request
Interact with a complaint
Investigate and escalate complaints

05/04/2023
© Serco.This document was prepared by insert name on behalf of Serco
Serco Internal