Library - Complaints Handling Policies and Procedure

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Complaints Handling Policies and Procedure

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1.0 Policy

1.1 Goals of the Policy

The Mission outlined in AUT Library's Strategic Plan is to meet the information and service needs of AUT's teaching, learning and research requirements in partnership with staff and students (in accordance with AUT's mission).

The complaints handling policy has been designed to create a standard procedure for handling all library complaints. A standard procedure will aid in meeting the strategic action of providing enhanced services. The feedback from this procedure will provide information for the continual assessment of the relevance of these services.

1.2 Definition of a Complaint

A complaint is any level of client dissatisfaction.

A complaint includes;

  • unsatisfactory staff service,
  • equipment problems,
  • borrower record errors, eg. incorrect fines.
A complaint does not include;
  • requests for information. (e.g. constant requests for the location of the serials)
  • general feedback or suggestions
1.3 Reasons for the Policy

This policy is being developed as a result of an AIMA Customer Service Workshop. Issues raised at the workshop regarding equipment problems highlighted the lack of consistency when dealing with problems and complaints. The development of a complaints policy and procedure will provide staff with a standard procedure for handling complaints. The development of a complaints form will provide a written record of ongoing complaints. As suggested by the AIMA facilitator this form needs to include a tracking mechanism. The tracking mechanism will ensure that a complaint is not mislaid, is received by all relevant parties, and actions promised can be monitored.

1.4 Policy Features

Commitment - Management and staff must be committed to the right of the client to complain. Complaints need to be seen as an opportunity for improving service.

Visible - How to complain and to whom must be obvious to staff and clients.

Simple and Assisted - The steps of the complaints procedure need to be straightforward and easy for clients to follow. Support and advice should be available to help clients complain.

Fair and Confidential - All complaints should be dealt with equally. This means all parties involved are treated with fairness and respect. Respect includes maintaining confidentiality and a client's right to privacy.

Responsive - Any complaint made must be acknowledged promptly and an approximate time frame for action given.

Records - All complaints must be recorded to aid in the assessment of service.

Client Focus - Clients are valued and regarded as the most important people in the business.

Communication - Clients and other affected parties are kept informed of the progress of a complaint and its effect on service.

2.0 Procedure

2.1 Process Overview

Chart of Library Complaint Process

2.2 Informing Customers of the Complaints Procedure
  • Complaints Procedure is available for general access on the Library Home page.
  • A poster/notice outlining different options for making a complaint should be displayed on a Wellesley and an Akoranga noticeboard.
  • Statistics regarding complaints, resolutions and outcomes should be included in the Quarterly Report.
  • Clients can complain by filling out a paper or electronic form or speaking to a library staff member who will record the details of the complaint.
  • Front desk staff are the initial point of contact for customers. Front desk staff must use their judgement to determine whether the customer needs to see a staff member with more authority.
  • Clients need to be made aware of the policy features outlined in Section 1.4, in particular confidentiality.
2.3 Accepting Complaints
  • As defined in the Complaints Policy, a complaint is any level of client dissatisfaction and can include; unsatisfactory staff service, equipment problems, and borrower record errors. A complaint does not include requests for information.
  • Written or verbal complaints will be accepted. If a complaint is given verbally details of the problem must be recorded by the staff member.
  • Electronic complaints must be checked daily to ensure that any complaints made are received within 24 hours. One person on each campus will be responsible for clearing and distributing electronic complaints daily.
2.4 Responsibility

A complaint is the responsibility of the staff member who receives it until it is passed to the appropriate case manager. If a complaint is your responsibility you are required to keep all affected parties informed of any changes and to ensure sufficient information is kept on the written record.

A case manager is a staff member who will take responsibility for particular complaints. At this stage case managers will be required for the following areas:
  • Equipment - photocopiers and/or opacs & netstations
  • Staff service - (this case manager should be a supervisor)
  • Borrower Record Problems
  • Miscellaneous Complaints.
The case manager when notified of a complaint is responsible for following up any initial action and maintaining a written record. It is the case manager's responsibility to monitor the complaints and make a decision as to when ongoing complaints are brought to management's attention for further consideration. It is also the case manager's responsibility to ensure necessary information is displayed or included in Quarterly Reports.

2.5 Acting on Complaints

If a complaint is not received in person it must be acknowledged within 24hrs.
As well as acknowledging the complaint the case manager must establish a reasonable time frame for action in consultation with the complainant.
If necessary, any changes resulting from complaints will be publicised in quarterly reports and on noticeboards.
A complaint is passed from a case manager to an Associate Librarian and if necessary the University Librarian for the following reasons:
It is not resolved and requires further action
It is part of an ongoing problem eg. continual equipment failure
The complaint is of a complex or serious nature therefore requiring a staff member with greater authority.

2.6 Electronic and Paper Forms

Electronic and paper forms will be used, at least until the first review.

2.7 Continuous Improvement

To ensure the procedure and forms designed are working effectively it is envisaged that the process will require review after six months. From then on annual reviews should be sufficient to maintain the effectiveness of the procedure. The reviews will assess such issues as the design of the form and the role of the case managers.
Last updated: 10 Jun 2010 5:00pm