Customer Services

Fig. 3.1: Results of BFI’s assessment for Customer Services

Source: BFI analysis

For an explanation about how to read this radar chart see Strategic Management

3.1 Customer service is important. Local authorities should aim to:

· deliver modern, efficient, secure customer focused public services and empower individuals to influence them

· reduce barriers to work, particularly in relation to benefit and rent policy

· support vulnerable people and tackle all forms of social exclusion, including bad housing, homelessness, poverty, crime and poor health.

3.2 Knowsley Council had received ‘Beacon Council’ recognition for its Accessible Services. It provided public access to its services at one stop shops located at Kirkby, Huyton, Prescot and Halewood. All incoming telephone calls were handled in the Contact Centre located in Kirkby. Customer Service Officers at these sites operated as part of the Accessible Services section of the Corporate and Customer Services Department.

3.3 Our analysis of Knowsley Council’s service to its customers included:

· an examination of its claim form and decision notices

· observation of front line activities in the Huyton and Halewood one stop shops

· results from customer surveys

· analysis of management information on appeals and complaints collected by Knowsley Council

· workshops and interviews with management and staff from both Accessible Services and the Benefits service.

3.4 Figure 3.1 shows that Knowsley Council is not at Standard in any area of Customer services.

3.5 The different elements of Customer services are discussed in the following paragraphs.

Clear, simple, accessible claim forms

3.6 Clear HB and CTB claim forms can help reduce the need for requests for further information from the customer. They provide information on the types of evidence that is required, and reduce the risk of customer confusion, error and fraud. Clear advice at the time of the claim can reinforce messages about the need to provide evidence of identity and income, and resolve concerns of those with limited documentation.

3.7 Knowsley Council did not meet Standard but had strengths in the following areas of Clear, simple, accessible claim forms.

3.8 The claim form had been awarded the Plain English Campaign’s Crystal Mark for clarity. The form provided clear instructions and required the applicant to make conscious decisions regarding their circumstances when completing the form.

3.9 We were informed that supplies of the claim form had been provided to the one stop shops, the Knowsley Housing Trust offices, and registered social landlords. The form could be obtained by post from the Contact Centre and could also be accessed and completed on Knowsley Council’s website.

3.10 Results from the Benefits customer satisfaction survey in March 2003 revealed that more than 60% of respondents found the form easy or fairly easy to complete.

3.11 However, the form did not meet the Standard set by the Department’s national model in several key areas.

3.12 To achieve Standard Knowsley Council needs to:

· have a version or print number to ensure that only the current version of the form has been used

· offer a choice of payment methods

· inform customers that the gross amount of benefit income should be declared

· ask for sufficient information about other income

· provide a separate employer’s certificate of earnings form

· ask for the customer’s permission to release information to a landlord about the progress of a claim.

3.13 A more detailed analysis of the claim form is contained at Appendix B.

3.14 There were procedures in place to ensure that all claims were made on an approved form and in writing as required by HB regulation 72 and CTB regulation 62.

3.15 The form was only available in English and was not available in either Braille or large print versions for the visually impaired. Staff told us that they would enlarge the standard claim form using the photocopier if a large print form was requested. Knowsley Council did not provide any additional information or leaflets in ethnic languages to accompany the form explaining how to apply for Benefits.

3.16 Educating customers to provide suitable evidence of identity is a key element in preventing fraudulent claims entering the system. Whilst the claim form provided details of documents for the customer to produce as proof of identity, it could be improved by emphasising the importance of primary documents such as a passport or birth certificate. This could be achieved easily by placing them at the top of the list on the form.

3.17 Our sampling revealed a weakness in the verification of documentation on new and renewal claims, particularly regarding the use of primary evidence. This is discussed in detail under Processing of Claims.

3.18 It was not apparent from the information in the main HB and CTB information leaflet that claim forms could be obtained at outlets other than the one stop shops.

3.19 We were told that there were plans to introduce a revised form in early 2004. This is an important step for Knowsley Council as the current claim form has weaknesses that could allow fraud and error into the system. An effectively designed claim form will ensure that the customer cannot inadvertently provide incorrect or incomplete information.

Recommendations

We recommend that Knowsley Council:

· introduces a claim form which meets the Standard set by the Department’s national model · emphasises the importance of primary identification documents such as passport and birth certificate by ensuring that these are listed ahead of other forms of acceptable identification on the claim form · makes the form readily available in formats suitable for customers who are visually impaired.

Timely, helpful response to public enquiries

3.20 This section is concerned with quantitative measures, such as opening hours and speed of response, and the quality of service that is provided.

3.21 Knowsley Council did not meet Standard but had strengths in the following areas of Timely, helpful response to public enquiries.

3.22 One stop shops and telephone lines were open for more than 36 hours a week and the offices at Huyton and Prescot were open to the public on Saturday mornings. There was adequate seating provided for waiting customers during our on-site observations at Huyton and Halewood one stop shops, which included the lunch time period.

3.23 Customer service staff we spoke to were experienced and able to deal directly with the majority of customers’ enquiries using document image processing and HB and CTB systems. The document image processing system held records and images of all evidence collected, reducing the risk of customers being asked to provide evidence more than once. Customer service staff provided an over the counter verification service and used ultraviolet scanners to authenticate identification documents.

3.24 As well as undertaking a detailed review of customer satisfaction every 3 years in line with Best Value, the Benefits service commissioned an additional customer satisfaction review in March 2003. This revealed that most respondents found the claim form and notifications easy to understand and that Customer Service Officers were helpful, polite and knowledgeable. More than 87% of customers were happy with the way in which their enquiry was handled. The results of customer satisfaction surveys were reported to senior officers and shared with staff.

3.25 To achieve Standard Knowsley Council needs to:

· reduce the large volume of abandoned incoming telephone calls because the caller has waited too long for the telephone call to be answered

· introduce targets for customers with benefit enquiries to be seen in the one stop shops and monitor waiting times in all of its offices

· ensure the availability of private interview rooms for those customers who want their enquiry to be dealt with away from the public counter

· introduce an appointments system for customers who have difficulty attending the office if this involves a prolonged wait to be seen

· ensure stocks of information leaflets are complete and up-to-date and introduce a management check to ensure adequate stocks are maintained

· introduce targets to reply to items of correspondence and monitor the quality of responses.

3.26 Knowsley Council acknowledged in its self-assessment against Performance Standards that there were problems with waiting times in the one stop shops and that the percentage of abandoned calls in the Contact Centre was unacceptably high. As a result, Members of the Corporate Performance Scrutiny Committee had requested that a joint review be undertaken by the Director of Finance and Information Society Technologies and the Director of Corporate and Customer Services, to identify both short and long-term measures to improve the overall service to customers.

Telephone Service

3.27 The Contact Centre at Kirkby handled the majority of incoming telephone calls to the council, including telephone calls from Benefits customers. System down time was actively monitored and a target to answer 70% of all telephone calls received in the Contact Centre was introduced for 2003/04. However, there were no specific targets in place for answering incoming telephone calls from Benefits customers. We were told by managers and staff that there were not enough staff in the Contact Centre dealing with Benefits customers to enable all incoming telephone calls to be answered. Staff were unaware of any targets for dealing with incoming telephone calls but were aware that the abandoned telephone call rate was consistently high.

3.28 Staff told us that they dealt with all but the most complex of Benefits enquiries by accessing the HB and CTB systems and if necessary telephoning the caller back. Customers who left a voicemail message were called back as soon as possible and normally on the same day, unless the call was received late in the afternoon. We were told that an overflow system, which enabled surplus calls to be answered on the Benefits section, was withdrawn in
July 2002.

3.29 We examined management information from the Contact Centre, which illustrated the extent of the problem. Figure 3.2 shows that the abandoned telephone call rate in the Contact Centre during September 2003 was in excess of 50%. These were telephone calls where the customer ended the call before Contact Centre staff had answered the telephone. Overall, during the period from April to August 2003 the Contact Centre answered 35% of all Benefits telephone enquiries received. By comparison, 95% of Knowsley Housing Trust calls which were also handled by the Contact Centre, were answered within 90 seconds.

Fig. 3.2: Contact Centre Weekly Performance in September 2003
	1/9/03	8/9/03	15/9/03	22/9/03	29/9/03
Calls answered	387	500	497	344	356
Calls abandoned	572	436	326	579	449
Calls answered by voicemail	92	82	59	103	77

Source: Knowsley Council

3.30 Easy access to the Benefits service for telephone callers is important. Customers that have difficulty contacting the Benefits service may be deterred from reporting changes of circumstances.

3.31 We also found that staff were unclear about when to hand over complex enquiries that they were unable to deal with such as enquiries from solicitors or difficult overpayment enquiries. This can lead to double handling of enquiries and confusion for customers.

3.32 As part of its review of customer service, Knowsley Council had calculated that the staffing resource within the Benefits service element of the Contact Centre needed to be increased by 80% to enable a service for Revenues and Benefits telephone calls which matched that provided to Knowsley Housing Trust. Plans to increase the level of staffing in this area were being considered by Members and senior officers during the on-site phase of our inspection.

Personal Callers

3.33 One stop shops at Kirkby, Huyton and Prescot operated a triage system for fast stream enquiries and an electronic queuing system. The smaller office at Halewood did not operate either a triage system or electronic queuing system and was unable to monitor waiting times. Waiting times were monitored at the larger offices. Although a new target for 2003/04 had been introduced to deal with 90% of callers within 10 minutes, staff we spoke to were unaware of any targets or performance measures for dealing with enquiries. Team leaders told us that they did not actively monitor performance regarding waiting times and staff told us that they did not receive any feedback on performance. Standards require that 80% of callers:

· without an appointment are seen within 15 minutes of their arrival by a person competent to deal with basic enquiries

· who request on the spot help should have their enquiry resolved within
30 minutes of their arrival.

3.34 Claim forms were issued by the receptionist in Kirkby, Huyton and Prescot one stop shops and receipts were issued for completed claim forms that were handed in. No monitoring took place regarding the number of incomplete forms that were returned or the number of requests for further information that had to be made. Customer service staff told us that typically a customer was required to make a return trip to the one stop shop with relevant evidence and documentation to enable the claim to be processed.

3.35 During our observations receptionists did not emphasise to customers the importance of providing essential supporting and verification documentation at the first point of contact. Educating customers to promptly provide necessary documentation when making or renewing claims is an important step towards reducing caller volumes, improving customer service and ultimately improving processing times.

3.36 Knowsley Council did not operate an appointments system for public enquiries at any of its one stop shops. This can provide difficulties for customers who are unable to wait to be seen because of age, infirmity or because they work and have limited opportunity to visit the office.

3.37 The Huyton one stop shop had display screens to inform customers about how long they were likely to wait before being seen but no initial directional signs informing them to report to the reception podium on arrival. Customers in other offices were unable to gauge how long they were likely to be waiting unless they asked the receptionist.

3.38 During the on-site phase of the inspection none of the private interview rooms were available for customers to use at the Huyton one stop shop. They were being used by staff from other departments within the authority or were unsuitable for private interviews because of health and safety concerns. The sign at the reception podium informing customers that private interview rooms were available had been removed.

Publicity

3.39 None of the one stop shops that we visited had any information on display regarding levels of customer service or the level of performance a customer could expect when making contact with the Benefits service. At the Huyton one stop shop, there were no general information posters about HB and CTB or any information to help educate customers regarding their rights and responsibilities whilst claiming benefit. No information was provided about the Department’s Benefits or provisions for customers starting work, such as extended payments and fast tracking.

3.40 Knowsley Council produced a range of leaflets that covered the main topics specified in Standards. Managers told us that these had been revised and updated during 2003/04 but we were unable to confirm this as the new print still bore the original year 2000 print date. Leaflet provision at the Huyton one stop shop was inadequate with very few information leaflets on display. There were no leaflets giving general advice about claiming HB and the leaflets that were available were out of date. There were no leaflets giving advice about disputes or appeals and we were told that the corporate complaints leaflet had been temporarily withdrawn.

3.41 Leaflet provision at the Halewood one stop shop was more comprehensive and included general information about HB for both tenants and landlords, but again all of the leaflets on display were out of date. We found no evidence of a formal check by team leaders or managers to ensure that adequate stocks of current leaflets were maintained.

Correspondence

3.42 Standards require that 80% of letters should be responded to within 14 working days. The Benefits service had no targets for replying to correspondence or any system in place for monitoring the timescales or quality of responses.

Enquiry Handling

3.43 Customer Service Officers were expected to deal with all Benefits related public enquiries without contacting Benefits assessors for assistance. Enquiries that needed to be resolved urgently were sent electronically by team leaders to the Benefits section at the end of the day. Team leaders informed us that they did not have a pool of additional staff to call upon at lunch times or if staff were absent because of sickness or training. This meant that customers often had a prolonged wait in a queue to have their enquiry dealt with. A fact that senior management had already recognised and expressed in a report to Members whilst we were on site. Customer services staff told us that they recognised that correspondence from the council was the main factor affecting the volume of callers to the one stop shops.

3.44 Customer service staff told us that a large percentage of the enquiries that the one stop shops handled were generated by backlogs of changes of circumstances that had not been dealt with. However, we were told that this situation was significantly better than it had been 18 months before when backlogs were much worse.

3.45 We found no evidence of customer service improvements directly arising from any formal customer feedback regarding the Benefits service. However, we were informed that the joint review of customer service authorised by the Corporate Performance Scrutiny Committee had recently examined processes to ensure that:

· as many enquiries as possible were handled at the first point of contact

· there were clear hand over procedures for complex enquiries

· there were agreed time scales for urgent enquiries passed to the Benefits section from the one stop shops and Contact Centre

· fast track enquiry systems worked effectively and podium receptionists were able to receive claim forms and could check documents for verification

· mail shots and correspondence generated by the authority were issued in a phased manner to reduce large volumes of enquiries.

3.46 In July 2003 Knowsley Council introduced a new Customer Relationship Management system. The system allowed information gathered by Customer Service Officers to be transferred to back offices through an electronic interface and enabled enquiries to be dealt with more promptly. Staff told us that the servers used by the one stop shops and Contact Centre were operating close to capacity and as a result the Customer Relationship Management System was proving to be slow and unreliable. However, this was not something we had an opportunity to test whilst on-site.

3.47 Knowsley Council’s 2003/04 Corporate Plan includes an objective to develop a Customer Care Charter. We were told that it would be ready for adoption as Council Policy early in 2004. The Corporate Standards will cover all aspects of customer contact including access by letter, telephone,
face-to-face and through the website.

3.48 It is important that customers are not deterred from claiming benefit or reporting changes of circumstances because of difficulties in contacting the service or uncertainty about how long they are likely to wait before their enquiry is dealt with. Adequate leaflet provision and informative posters in offices are key means to providing access to the Benefits system. They can also reduce the number of basic enquiries and improve the quality of service provided.

Recommendations

We recommend that Knowsley Council:

· increases staffing in the Contact Centre as reported to the Members of the Corporate Performance Scrutiny Committee to: - ensure telephone calls are not abandoned by the caller - provide a service for Revenues and Benefits telephone calls which matches that provided to Knowsley Housing Trust · effectively monitors waiting times in all of the one stop shops to ensure that: - 80% of customers without an appointment are seen within 15 minutes of their arrival by a person competent to deal with basic enquiries - 80% of customers who request on the spot help have their enquiry resolved within 30 minutes of their arrival · ensures the availability of private interview rooms for those customers who want their enquiry to be dealt with away from the public counter · introduces an appointments system for customers who have difficulty attending the office if this involves a prolonged wait to be seen · ensures that stocks of information leaflets are complete, easily accessible and up-to-date · introduces targets for replying substantively to correspondence within 14 days and monitor the quality of responses.

Effective training and development for customer service

3.49 It is important that staff should be equipped to deliver good customer service. Training and development should be provided that will:

· allow staff to respond to enquiries, ensuring the service is right first time

· ensure a continuing high standard of customer service.

3.50 Knowsley Council did not meet Standard but had strengths in the following areas of Effective training and development for customer services.

3.51 Customer Service Officers we interviewed were experienced and many of them had previously worked as Benefits assessors. They had the knowledge and skills to deal with the majority of customer enquiries. Customer Service Officers we spoke to had recently attended training events for:

· New Tax and Pension Credit

· verification and fraud awareness.

3.52 As well as a corporate induction process and procedural refresher training, we were told that Customer Service Officers had typically received training in:

· listening skills

· anger and aggression management

· disability awareness

· stress awareness

· health and safety.

3.53 To achieve Standard Knowsley Council needs to:

· establish a comprehensive training and development programme for both new and existing staff to ensure effective delivery of customer service

· ensure training and development is adequately resourced and given sufficient profile. The training of Customer Service Officers in procedural and legislative benefits changes should be recognised as a priority

· set key work objectives for Customer Service Officers that are directly linked to customer service and which are:

– specific

– measurable

– achievable

– relevant

– time-bound.

3.54 Staff in the one stop shops and Contact Centre required comprehensive training to enable them to handle the full range of enquiries they were likely to encounter across a range of services. For HB and CTB they needed to be properly trained to deal with complex and involved Benefits enquiries.

3.55 Accessible Services had already adopted the new corporate Performance Review and Development scheme, which had replaced the previous appraisal system. The new system was intended to identify any refresher and developmental training required by Customer Service Officers. However, our discussions with customer service staff confirmed that there was still a weakness in the delivery of adequate Benefits training to enable staff to deliver a quality service. Training support from the Benefits service was not formalised and Customer Service Officers had to rely upon experienced staff within their own teams to deliver refresher and procedural training for their colleagues.

3.56 We identified a lack of formal and effective training for new starters who were trained on the job by shadowing an experienced colleague and referring to procedural guidance notes. For existing staff there was no co-ordinated and comprehensive training programme so that training was often delivered much later than required. Managers told us that there was no identified training budget to adequately resource training provision.

3.57 During our on-site work a member of the Contact Centre had arranged to shadow colleagues in the Benefits service. We were told that this was the first time that a developmental activity of this nature had taken place. We were told that Benefits staff and Customer Service Officers often had limited understanding of their respective roles in the shared objectives of the service.

3.58 Managers and customer service staff told us that there were problems arranging training sessions and releasing staff for training events. Training events for Customer Service Officers were often delayed or cancelled and they were often pulled back from training events to cover the counter when staffing was tight. Managers told us that steps were currently being taken to address the problem.

3.59 Customer service staff we spoke to told us that they had difficulty keeping up-to-date with procedural guidance in circulars and e-mails and that their understanding of new procedural guidance was not evaluated. Staff and managers told us that it was difficult to arrange team meetings and in-house training sessions because of the opening hours in the Contact Centre and one stop shops.

3.60 There was also a lack of technical support available to help Customer Service Officers deal with complex and difficult cases.

3.61 Customer Service Officers had recently been given revised job descriptions and work objectives, following the introduction of the Performance Review and Development scheme. However, these were not specifically linked to customer service targets or easily measurable in terms of individual performance against them.

3.62 Overall, despite the progress that had been made, the planning, organisation and delivery of training failed to support Customer Service Officers to provide a fully effective customer service. The newly introduced Performance Review and Development scheme had helped to secure an improved commitment to training and development but there was still no planned or systematic approach to training provision.

Recommendations

We recommend that Knowsley Council:

· develops a comprehensive training programme that meets the needs of both new and existing staff who deal with public enquiries about HB and CTB · ensures that training provision is adequately resourced and staff can be released for training events without an adverse effect on customer service · sets Customer Service Officers specific, measurable, relevant, achievable and time-bound work objectives which are directly linked to customer service · provides technical support to help customer services staff deal with complex and difficult cases.

Clear, informative decision letters

3.63 Letters to customers and other affected persons need to inform them clearly about decisions made, and explain the decision clearly enough for them to decide whether they might have grounds for appeal.

3.64 Knowsley Council did not meet Standard in any area of Clear, informative decision letters.

3.65 Knowsley Council’s decision notices met many of the requirements of Schedule 6 of the Housing Benefit (General) Regulations 1987 and the similar provisions in the Council Tax Benefit (General) Regulations 1992.

3.66 An analysis of the decision notices provided by Knowsley Council and examined as part of this inspection is at Appendix C.

3.67 To achieve Standard Knowsley Council’s general decision notices need to show the:

· actual date of payment

· category of non-dependant deductions.

3.68 We also found that direct payment notices to landlords did not explain:

· their duty to inform the authority about known changes of circumstances

· the authority’s power to recover overpayments in respect of other tenants.

3.69 Overpayment decision notices did not satisfy the regulations, as they did not include the reason why the overpayment had been deemed as recoverable. We comment on this in Overpayments – decision notices.

Recommendations

We recommend that Knowsley Council revises its decision notices to include the:

· date of payment · category of non-dependant deductions · landlord’s duty to inform the authority about known changes of circumstances

· power to recover overpayments from landlords · reason why an overpayment is recoverable.

Accessible, quality service for customers with specific needs

3.70 It is important that eligible customers are not deterred from claiming because the Benefits service does not address their specific needs.

3.71 Services need to be accessible to people:

· with disabilities

· whose first language is not English

· with communication or learning difficulties

· who are vulnerable because of their age or physical or mental health problems.

3.72 Knowsley Council did not meet Standard but had strengths in the following areas of Accessible, quality service for customers with specific needs.

3.73 Four one stop shops in the borough all offered access to the Benefits service. The location of each of the one stop shops afforded reasonably good access to residents in each of the main townships, within the borough.

3.74 The offices we inspected at Huyton and Halewood were easily accessible, with ramped entrances and automatic entrance doors. Reception areas were provided with mobile hearing loops. All one stop shops had recently been independently assessed for ease of access to both staff and customers with disabilities. The report highlighted areas where access could be improved at all 4 one stop shops.

3.75 We were told that home visits were offered to customers who could not attend the office because of age or infirmity and Customer Service Officers and visiting staff had received training in disability awareness.

3.76 Guidance notes for welfare visits and needs criteria for vulnerable customers were well established and comprehensive. Requests for home visits were received from the Benefits section, customers, one stop shops and the Contact Centre, other council departments and registered social landlords.

3.77 To achieve Standard Knowsley Council needs to:

· assess the standard of its Benefits service against the requirements of the Disability Discrimination Acts 1995 and 1999

· establish procedures to ensure that information and advice can be provided at short notice, to customers with disabilities and in a suitable format as required by the Disability Discrimination Acts. It also needs to ensure ongoing provision is maintained

· review the facilities provided for customers with hearing difficulties such as the availability of textphones and the provision of British Sign Language interviews

· review ease of access to its services by public transport

· undertake a detailed assessment of the service needs of ethnic minority groups in the area and make provision for those whose first language is not English

· consult with customer representative groups in assessing the effectiveness of its customer services.

3.78 We found no evidence to confirm that Knowsley Council had assessed its service against the requirements of the Disability Discrimination Acts 1995 and 1999. However, our observations at the Huyton and Halewood one stop shops confirmed that entrance doors were wide and automatically activated and entrances were ramped for wheeled entry. At Huyton one stop shop a toilet for the disabled was available for use by customers on request.

3.79 All information leaflets carried a footnote explaining that they were available in Braille, but when questioned, staff seemed unclear about how to obtain Braille copies. We were informed that Braille decision notifications had recently been provided for at least one visually impaired customer but there were no documented procedures to ensure that information was provided in the most suitable format for the customer or to ensure its continuity.

3.80 All one stop shops had been provided with mobile induction loops to improve communication with customers with hearing difficulties. A textphone in the Kirkby one stop shop allowed customers to communicate with the Deaf Awareness team in Social Services. The mini-com number advertised on the claim form and information leaflets was no longer in use and should be removed urgently to prevent confusion and frustration for customers wanting to use this facility.

3.81 There were no formal arrangements to provide a British Sign Language interview for customers with hearing difficulties although we were told that some staff in the one stop shops and visiting team had received basic training in British Sign Language. There were no managerial checks in place to ensure that arrangements for customers with special needs were available and working.

3.82 Ownership of private transport in the borough is significantly below the national average. However, we were informed that there had not been a recent formal assessment of the ease of access to any of the one stop shops by public transport.

3.83 We were informed that people from ethnic minorities represent less than one per cent of the population within the borough. Consequently, there was no special provision for customers whose first language was not English. Claim forms, key information leaflets and signs were only provided in English and there were no formal arrangements to secure the services of an interpreter.

3.84 However, it is important that Knowsley Council undertakes a full assessment of the key service needs of ethnic minority groups in the area to ensure that vulnerable people are not being excluded from claiming HB and CTB.

3.85 We also found that Knowsley Council had not assessed the effectiveness of its Benefits service with other customer service organisations such as Citizens Advice and disability groups.

3.86 Despite receiving Beacon Council status for its Accessible Services there were still significant aspects of its customer service provision that Knowsley Council needs to address to provide equal access for all the residents of the borough and prevent the risk of increased deprivation. Key issues are special provision of advice, information and access for customers with disabilities, active consultation with representative groups and a detailed review of the needs of customers from ethnic minorities.

Recommendations

We recommend that Knowsley Council:

· assesses the standards of its Benefits service against the requirements of the Disability Discrimination Acts 1995 and 1999 · ensures that information and advice can be provided to customers with disabilities at short notice and: - is in a suitable format as required by the Disability Discrimination Acts - is in a format that can also be read by a third party - ensures that this provision is maintained · reviews the facilities provided for customers with hearing difficulties such as the availability of textphones and the provision of British Sign Language interviews · reviews ease of access to its services by public transport · undertakes a detailed assessment of the service needs of ethnic minority groups in the area · consults with customer representative groups in assessing the effectiveness of its customer services.

Accessible, quality service for those in work

3.87 Working people may have limited opportunities to contact the local authority. It is important that authorities provide accessible quality services for those in work.

3.88 Knowsley Council did not meet Standard but had strengths in the following areas of Accessible, quality service for those in work.

3.89 One stop shops at Huyton and Prescot opened to public callers on Saturday mornings and staff in attendance could offer information and advice about benefits. Customer Service Officers told us that they performed large numbers of trial calculations and provided information and advice to customers considering starting work. Our examination of benefit notifications confirmed that customers were invited to reclaim benefits when entitlement to IS/JSA(IB) ceased.

3.90 To achieve Standard Knowsley Council needs to:

· assess whether its service meets the needs of working customers

· establish a system to confirm that information regarding extended payments and fast-track claims is working satisfactorily

· ensure sufficient safeguards to prevent fraud in its use of the certificate of earnings form.

3.91 Knowsley Council informed us that customers with earned income represented approximately 14% of its caseload. No work had been undertaken to assess whether the Benefits service had addressed the particular needs of working customers. It is important that working customers are not deterred from reporting changes of circumstances particularly if earnings fluctuate or work is intermittent.

3.92 XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX X XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXX

3.93 Customer Service Officers had received training on extended payments and fast-track claim procedures but no system had been established to monitor whether information from Jobcentre Plus offices was being dealt with promptly.

3.94 Taking positive steps to ensure that the Benefits service is accessible to working customers is an important safeguard against customers being reluctant to declare earnings or take up offers of intermittent or uncertain employment. Knowsley Council did not know whether its Benefits service was meeting the needs of its working customers.

Recommendations

We recommend that Knowsley Council:

· ensures that customers in work are not deterred from claiming Benefits by: - assessing whether the service meets their needs - monitoring whether information from Jobcentre Plus about extended payments and fast-track claims is being used satisfactorily · XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XXXX XX XXXX XXXX XXXX XXXX XXXX XXX

Encouraging benefit take-up, reducing poverty

3.95 Local authority benefit staff have a role in encouraging take-up of other benefits. This work may be most effective as part of a wider anti-poverty strategy.

3.96 Knowsley Council did not meet Standard but had strengths in the following areas of Encouraging benefit take-up, reducing poverty.

3.97 Customer Service Officers told us that they dealt with requests for trial calculations and advice about claiming HB and CTB from customers considering starting work on a regular basis. Information and advice about CTB was sent out with Council Tax bills.

3.98 We were told that visiting staff were trained to do a full welfare and benefits check on each visit to a customer in their own home. Also The Pension Service held surgeries in Huyton and Kirkby one stop shops to advise customers about Pension Credit. Knowsley Council had recently provided Pension Credit information to all pensioners not in receipt of Minimum Income Guarantee including
non-dependants, in partnership with The Pension Services shortly before our inspection.

3.99 To achieve Standard Knowsley Council needs to :

· have a strategy for encouraging the take-up of benefits and addressing under claiming

· develop a pro-active approach to reducing poverty and encouraging
take-up. For example, targeting awareness at under claiming groups or groups who would be entitled to HB if they claimed other types of benefit

· develop a policy of working with the Department to encourage HB take-up and the take-up of other benefits

· display posters about HB and CTB and provide information leaflets to inform customers about extended payments and fast tracking at its one stop shops and other outlets.

3.100 Managers informed us that pressures from work arrears had prevented the development of any strategic approach to encouraging the take-up of benefits and addressing under claiming. Knowsley Council had, however, placed articles in local publications for a number of years designed to raise awareness of issues such as the treatment of capital and encourage benefit take-up. It had also co-operated with the Pensions Service to raise awareness of Pension Credit.

3.101 We were told that liaison arrangements with agencies such as Citizens Advice had suffered as a result of the previous new claims backlog. During the on-site phase of the inspection we found no evidence of any formal liaison with Citizens Advice or any other representative group. However, we were told that liaison arrangements with Citizens Advice had been reviewed as an immediate consequence of our on-site feedback to managers.

3.102 Knowsley Council operates in an area of relatively high deprivation. It is therefore essential to ensure that a strategy exists that actively encourages the take-up of all welfare benefits including HB and CTB.

Recommendations

We recommend that Knowsley Council develops a strategy to ensure the maximum take-up of benefits supported by:

· pro-active measures to target HB take-up at under claiming groups · a system to measure the effectiveness of take-up initiatives · a policy of joint working with the Department to encourage benefit take-up · publicity material that is accessible to all members of the public and informs customers about extended payments, fast tracking and benefits for those in work.

Addressing complaints about the service effectively

3.103 It is important that complaints are dealt with promptly, and the complainant is given an informative explanation and an apology and rectification if appropriate.

3.104 Knowsley Council did not meet Standard but had strengths in the following areas of Addressing complaints about the service effectively.

3.105 An experienced and designated officer dealt with all complaints relating to the Benefits section. There was also a documented corporate process for handling complaints and a target to reply to formal complaints inside 5 working days. Formal complaints were clearly defined as:

· any completed corporate complaint, comment or suggestion form which contained a complaint

· any letter which contained a complaint

· telephone calls where the customer expressly stated that they wished to complain

· personal callers who expressly stated that they wished to complain.

3.106 In all these cases the details of the complaint were logged on receipt and the customer received a formal written response or telephone call, the details of which were recorded. Management information was collected which included the receipt date, nature of the complaint, response times, outcomes and whether or not the complaint was justified.

3.107 Figure 3.3 shows Knowsley Council’s performance regarding the time taken to clear formal complaints. Our examination of the authority’s management information regarding complaints showed that more than 75% of complaints were dealt with inside the authority’s own response target during the period April 2000 to March 2003. Further analysis revealed that more than 80% of complaints involved processing delays and Knowsley Council considered that 77% of complaints they had received were fully or partly justified.

Fig. 3.3: Time taken to clear complaints
	2000/01	2001/02	2002/03	April – September 2003
1 – 7 days	57	39	30	15
8 – 14 days	13	5	6	6
15 – 28 days	3	2	2	1
Over 28 days	1	1	0	3
Total number of complaints received	74	47	38	25

Source: BFI analysis

3.108 To achieve Standard Knowsley Council needs to ensure that all complaints about the Benefits service are identified and resolved.

3.109 We were told that not all complaints about the Benefits service were identified as complaints and passed to the officer responsible for dealing with them. Staff dealing with customer complaints were unclear about who responded to complaints generated by the level of service in the Contact Centre and one stop shops as distinct from the Benefits service itself. Only 3 complaints regarding waiting times had been received since April 2003.

3.110 Staff dealing with complaints told us that some complaints about the Benefits service, received in the one stop shops were sent for scanning and processed as changes of circumstances and were not treated as formal complaints. The delays in dealing with changes of circumstances meant that it could be some considerable time before the complaint emerged and often occurred as a result of the customer asking for a response to their complaint.

3.111 In addition, our observations at Huyton one stop shop revealed that the corporate complaints form had been removed from public areas for re-printing, increasing the chances of complaints not being made or not identified. There were no posters in public areas explaining the complaint procedure to customers or any details of the level of service they might expect if they did complain.

3.112 During the on-site phase of the inspection the log of Benefits service complaints was brought fully up-to-date but we found no evidence that complaints were being analysed to inform service delivery improvements.

3.113 Dealing promptly and effectively with complaints helps to dissuade customers who are dissatisfied with the service from escalating complaints to Members, MPs and the Local Government Ombudsman. It also provides feedback to the authority about weaknesses in the levels of customer service being provided to HB and CTB customers.

Recommendations

We recommend that Knowsley Council:

· ensures that all complaints regarding the Benefits service are identified by: - ensuring staff prioritise formal complaints upon receipt - making corporate complaint forms readily available to customers - advertising the complaints procedure and response targets in one stop shops · analyses complaints to inform service delivery improvements · monitors the quality of responses to formal complaints.

Dealing with requests for reconsiderations and appeal referrals effectively

3.114 Local authorities need to ensure that they:

· resolve disputes as quickly as possible

· use management information to inform the effectiveness of the local authority’s handling of disputes and appeals

· undertake analysis to ensure that any wider or common failures indicated are addressed.

3.115 Knowsley Council did not meet Standard but had strengths in the following areas of Dealing effectively with requests for reconsideration and appeals.

3.116 Roles and responsibilities throughout the process were well defined and backed up by written procedural guidance. The procedural guidance notes had been explained to Customer Service Officers in the one stop shops during training sessions.

3.117 Systems had been established to ensure that all appeals were reconsidered before submission to the Appeals Service and that team leaders looked again at all requests for reconsideration. A form was available for customers to complete, which clearly asked them whether they were requesting a written statement of reasons, a reconsideration of a decision or wished to lodge a formal appeal. Customer Service Officers we spoke to were clear about the action they should take when a customer disputed a decision.

3.118 A system had been established to monitor appeals cases that had been entered onto the document image processing system by Customer Service Officers and a management check was undertaken once a week to review outstanding cases. Knowsley Council had only recently introduced the routine collation of data relating to volumes of appeals, but staff we spoke to considered that the number of appeals had reduced as a result of changes introduced to control the process and clearing the backlog of processing work.

3.119 All appeals cases were logged onto a database so that progress on each case submitted to the tribunal could be monitored. Cases that were submitted to the Appeals Service were subjected to a comprehensive management check to monitor the standard of the appeal submission and to confirm that the correct legislation had been cited.

3.120 We were told that there were regular liaison meetings with the Appeals Service and the appeals officer had attended a Tribunal User Group meeting.

3.121 Standard wording in decision notices clearly explained the customer’s legal rights for requesting a statement of reasons and a reconsideration and the time limits involved.

3.122 To achieve Standard Knowsley Council needs to:

· collect detailed management information on requests for reconsiderations and the resulting outcomes

· introduce a control process to ensure that decisions made by tribunals are implemented as soon as possible.

3.123 We were concerned that whilst staff with responsibility for the appeals process were highly experienced, they had received no formal training in preparing, submitting or presenting appeals to the tribunal. We also found that no additional staff had been trained to cover work on appeals as a contingency measure.

3.124 Management information collected regarding requests for reconsiderations needed to be more comprehensive. No analysis of the reasons for requests for reconsiderations and formal appeals was undertaken. This resulted in a missed opportunity to help identify training needs or instigate improvements to the Benefits service.

3.125 Our analysis of the management information that was collected around formal appeals revealed a steadily increasing number of cases waiting to be dealt with. Figure 3.4 shows that there were 41 appeals outstanding at the end of September 2003. Targets had not been set for submitting cases to The Appeals Service or implementing tribunal decisions.

Fig. 3.4: Appeals received in 2003/04
	Received	Resolved	Submitted	Outstanding
April 2003	11	5	3	8
May 2003	15	5	3	15
June 2003	17	2	2	28
July 2003	18	2	5	39
August 2003	9	5	2	41

Source: BFI analysis of Knowsley Council data

3.126 Our observations at Huyton one stop shop revealed that the authority’s information leaflet explaining the appeals process to customers was not displayed and the appeals leaflet displayed at the Halewood office was out of date. At no stage in the process were customers advised that they could seek independent advice regarding disputed decisions.

3.127 Local authorities need to comply fully with the legislative components of the decision making and appeal guidance as detailed in circular A18/2001. It is important that Knowsley Council deals with disputes promptly and provides adequate advice and guidance to customers so that potential appeals can be resolved at the earliest point.

Recommendations

We recommend that Knowsley Council:

· trains sufficient staff to be able to deal with appeal submissions promptly and cover staff absences · collects comprehensive management information on the volumes, reasons and outcomes of requests for reconsiderations · introduces a control process to ensure that decisions made by The Appeals Service are implemented as soon as possible · analyses the reasons for appeals and reconsiderations to help instigate improvements to the service · ensures that information and advice to customers regarding disputed decisions is readily available in all public areas.

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