Quality Services - Guide I - Client Consultation
Quality Services - Guide I - Client Consultation
Introduction
Consulting people is not a new idea. What is new is the growing prominence and frequency of
consultation activities, particularly those involving large numbers of participants. As the
prominence of consultation increases, it is sometimes unclear precisely how client consultation
helps managers make better decisions. Managers need to know that, and how to design the
consultation process accordingly.
Client consultation is linked to the measurement of client satisfaction. You must identify the
gaps between what clients expect or need from the organization and the service they feel they
are actually receiving.
Definition
In the context of delivering quality services, consultation is a process that permits and
promotes the two-way flow of information between clients of government services and the
government. Consultation also makes Canadians more aware of the services government
provides.
Goal and Objectives
The goal of client consultation is to discover your clients' opinion of the services they receive
from your department and the way these services are provided.
The objectives of consultation may range from sharing information to developing and
implementing solutions to a problem. All participants must understand the objectives of the
consultation from the outset.
Rationale
Quality Services - Guide I - Client Consultation
You should consult with your clients in order to
•
seek improvements to delivering quality services;
•
increase their satisfaction with the service rendered;
•
better understand their needs for and expectations of the services you provide;
•
help them understand the services you provide;
•
manage their expectations where these exceed the organization's limitations or
mandate; and
•
accommodate their desire to be consulted about the services they receive.
Client consultation allows you to
•
devise public policy solutions;
•
improve service, and reduce or eliminate services that clients do not value;
•
meet emerging client needs;
•
build partnerships; and
•
target high service priorities so that you can allocate resources efficiently and
effectively.
Success Factors
The fundamental elements for meaningful and credible consultations are:
•
shared understanding of the purpose;
•
integrity, mutual respect and trust;
•
clear, open and transparent communication;
Quality Services - Guide I - Client Consultation
•
opportunity for clients to influence the decision-making process;
•
commitment to respond to expressed client needs and concerns
•
involvement of staff at all levels;
•
management accountability;
•
valid tools and methods; and
•
sufficient resources.
Performance Indicators
Performance indicators show whether a client consultation process for quality services
improvement is effective.
Indicators to determine if you are "doing it"
You'll know you are consulting when:
•
client consultation is included in the business plan;
•
sufficient resources are allocated;
•
reports are generated, provided to senior management and acted upon; and
•
a means is in place for client recognition and feedback.
Indicators to determine if you are "doing it well"
You'll know you are consulting well when:
•
clients continue to participate willingly in the process;
•
clients understand the issue and provide their response;
•
managers accept the ideas received;
Quality Services - Guide I - Client Consultation
•
results are usable and goals are met; and
•
partnerships are developed and maintained.
Strategic Considerations
Client consultation as a way of doing business
Consultation must move beyond the major policy issue or initiative: it must become part of the
routine way in which you do business. When planning, managing and evaluating a consultation
strategy, you should consider issues relating to the critical nature of input, and the money and
time needed to consult clients. The option and impact of not consulting should also be
carefully considered.
Client consultation in the decision-making process
Consultation in some form may be appropriate in any or every phase of a decision-making
process. A carefully planned strategy will likely identify the need for many forms of
consultation throughout the decision-making process. Each consultation must have a strategic
purpose: it must ensure that the decision is sound, that implementation is successful and that
the desired impact is achieved.
When planning client consultation, you should consider
•
which people or groups can help define a desirable impact, and judge whether or not a
desirable impact has been achieved;
•
who must be involved or consulted to ensure that implementation is successful;
•
who must be involved as the actual decision is being made, and whether these people
should be informed or more directly involved in making the decision; and
•
informal or formal consultation initiatives that you are already planning and how these
initiatives fit within your strategic plan for decision-making.
Quality Services - Guide I - Client Consultation
To develop credibility and client trust in the consultation process, you should channel feedback
to the clients to let them know how their input has influenced the decisionmaking process.
Client consultation in implementing new initiatives
When you begin major initiatives, you should develop a consultation strategy that is
coordinated within and among government departments as appropriate.
Client Consultation Process
The approach to consultation will vary according to the issue as well as to time and resource
constraints. In the ideal consultative process, managers and those involved at the initial stages
of the exercise are still there at the end and are held accountable for implementing the
outputs. They ensure the outputs are translated into actions as quickly as possible and that a
feedback mechanism is put in place to follow up on the consultation.
To develop and implement a client consultation, you should follow these key steps, of which
preconsultation is perhaps the most important.
Identify services and clients
•
Identify the services about which you want to consult.
•
Identify the internal and external clients for each service.
Begin preconsultation
•
Determine the issue, mandate and objective.
•
Set the ground rules for the process and subsequent talks.
•
Identify the players, ensuring a representative selection of both users and
stakeholders.
•
Agree on timeframes.
Quality Services - Guide I - Client Consultation
•
Determine resources available.
•
Ensure that public opinion research approval and contracting follow Treasury Board
policy.
Preconsultation may include:
•
a client presurvey;
•
a review of existing records and information;
•
focus groups with front-line staff who have direct contact with clients; and
•
client focus groups that reflect the diversity of clients.
Clarify objectives
•
Involve your clients and staff.
•
Focus on the real issues.
•
Obtain commitment from all parties to the purpose of the consultation and their role in
it.
•
Review to ensure objectives are realistic.
Determine measurement techniques
These may include:
•
interview methods;
•
questionnaire/survey methods;
•
ongoing feedback mechanisms;
•
focus groups that reflect diversity of clients; and
•
polling.
Quality Services - Guide I - Client Consultation
Analyse results
•
Collate.
•
Analyse.
•
Draw conclusions.
•
Prepare a report.
Develop an improvement plan based on consultation results
•
Set up new services, or modify, reduce or eliminate existing services.
•
Develop, adjust or modify service standards.
•
Assign responsibility for implementation.
•
Establish timelines.
Follow up
•
Evaluate the effectiveness of improvement by measuring client satisfaction on an
ongoing basis.
Communicate findings to those consulted
Conclusion
Consultation with Canadians is intrinsic to effective public policy development and service to
the public. It is the responsibility of every manager in the Public Service. For satisfactory
consultation, all levels of the organization must buy into it. Consultation also requires good
planning, research, analysis, advice and feedback. Incorporating the responsibility for
Quality Services - Guide I - Client Consultation
consultation into the management accountability framework will emphasize the management
responsibilities for client consultation.
References
British Columbia. Listening to Customers: An Introduction.
British Columbia. B.C. Hydro. Public Consultation.
The Bryce-Lambert Forum on Excellence in Government. Building Effective
Consultations -- Final Report. Ottawa, 1990.
Canada. Citizenship and Immigration Canada. Immigration Consultations Report. Ottawa,
1994.
Canada. Human Resources Development Canada. Information Gathering System.
Canada. Industry, Science and Technology Canada. Consultation Guide: Our Knowledge Builds
Competitiveness.
Canada. Labour Canada. Client Consultations: Update. Ottawa, 1991.
Canada. Revenue Canada. A Framework for Consultations in Revenue Canada (draft).
Canada. Revenue Canada. A Practical Guide to Consultation.
Canada. Revenue Canada. Quality Partners (case study).
Canada. Revenue Canada, Excise/GST. Consultations with Respect to the Implementation of
the Goods and Services Tax - Final Report (case study).
Quality Services - Guide I - Client Consultation
Canada. Treasury Board of Canada. Consultation Guidelines for Managers in the Federal Public
Service.
Canadian Petroleum Association. Public Consultation Guidelines for the Canadian Petroleum
Industry. Calgary, 1989.
Consultation Group on Employment Equity for Persons with Disabilities. Case Studies on
Effective Practices in the Employment of Persons with Disabilities. May 1994.
École nationale d'administration publique. Les politiques gouvernementales et la consultation
publique, audiocassette.
Patterson, R. Anne, Rod A. Lohin and D. Scott Ferguson. Consultation: When the Goal is Good
Decisions. Ottawa: Canada Communications Group/Canadian Centre for Management
Development, 1992.
Public Policy Forum. The Consultative Government of the 1990s.
Salter, Liora and William Leiss. Guide to Consultation and Consensus Building. 1989.
Schein, Edgar H. Process Consultation, 2nd edition.
Science Council of Canada. The Limits of Consultation: A Debate Among Ottawa, the Provinces
and the Private Sector on Industrial Strategy (discussion paper). Kingston,
Ontario: Queen's University.
Versteeg, Hajo. A Case Study in Multi-stakeholder Consultation: The Corporate History of the
Federal Pesticide Registration Review or How We Got from Here to There.
Quality Services - Guide II - Measuring Client Satisfaction
Quality Services - Guide II - Measuring Client Satisfaction
Introduction
A critical component of quality service is client satisfaction measurement. The following
proposes strategic principles and ongoing processes for measuring client satisfaction.
Definitions
Client satisfaction
The client's perception that the service provider's performance meets or exceeds his or her
expectations.
Client satisfaction measurement
The assessment of client expectations and of the actual and perceived quality of service.
Goal
The goal of client satisfaction measurement is to determine the level of client satisfaction with
government services and the delivery of those services.
Context
Measuring client satisfaction involves creating the proper environment for:
•
conducting open, honest, transparent and ongoing consultations with clients;
•
involving employees (as clients and providers) in the entire process; and
•
remeasuring client satisfaction regularly to determine trends and the effectiveness of
improvements that have been implemented.
Quality Services - Guide II - Measuring Client Satisfaction
Important client satisfaction measurement elements include:
•
knowing what clients want;
•
understanding client expectations;
•
designing services to meet clients' needs;
•
setting service standards;
•
setting performance measurement indicators;
•
empowering staff to meet clients' needs; and
•
communicating service and quality standards to clients.
Rationale
A key component of a quality service culture is client satisfaction measurement. Gaps that may
exist between performance and client needs and expectations can be identified by:
improving the quality and effectiveness of government services;
determining service relevance and importance;
setting service standards by
- getting feedback from clients
- informing clients of the department's commitment to provide a certain level of service
- providing feedback to staff;
identifying opportunities for new services and for service adjustment, which could
mean continuing, discontinuing, realigning or transferring services; and
Quality Services - Guide II - Measuring Client Satisfaction
optimizing resource allocation and use to balance client expectations with departmental
mandates and available resources (people, money and time).
Success Factors
Successful client satisfaction measurement incorporates the following principles:
Knowledge
You should understand which services being delivered are important to the clients and to the
government.
Leadership
Strategic support at the senior executive level as well as at all levels of the organization is
necessary.
Tailoring
Make sure that the element measured relates to specific information needs, that it is
measurable and that the information is meaningful.
Simplicity
Complex approaches are expensive and need a high level of expertise. Simple approaches can
elicit practical and useful information.
Diversity
By using different measurement instruments, you can offset the limitations of each approach.
This strategy also produces multiple lines of evidence, thus supporting more solid conclusions.
Cost effectiveness
Quality Services - Guide II - Measuring Client Satisfaction
Only essential information should be gathered. Efficiency and economy should be key criteria
when deciding how to gather information. Sampling techniques and readily available data
should be used to the greatest extent possible.
Reliability
The measurement instruments should be credible, accurate, valid, sensitive to change in
clients' attitudes and consistent over time.
Regularity
It is essential to measure client satisfaction on an ongoing basis. Such regularity enables
organizations to keep up to date with the environmental changes taking place and to assess
the impact of changes implemented to improve client satisfaction.
Action
You should develop improvement strategies based on measurement results.
Note: Low complaint rates may not necessarily mean client satisfaction. Some dissatisfied
clients may not complain. They may not know how, where or to whom to complain, or their
location may make it difficult for them to complain. Some clients may exact "revenge" for poor
service by spreading negative word of mouth instead of providing feedback to help
organizations improve.
Performance Indicators
At one end of the spectrum, there are indicators to measure the client satisfaction process
itself, while at the other end, there are indicators to measure actual client satisfaction.
Indicators for the measurement process
•
client response trends
Quality Services - Guide II - Measuring Client Satisfaction
•
number of client surveys undertaken
•
number of measurement tools used
•
consistency of findings
•
action taken as a result of the survey
•
amount of client feedback
•
change in staff awareness of client needs, change in staff commitment and initiative
with respect to quality service
•
resources realigned in response to client feedback
•
findings and resulting measures reported to senior management and to the client in a
timely manner
Indicators of client satisfaction
Many different indicators can be used to measure client satisfaction. The choice of indicators
will vary with the service being provided. The following are some common performance
indicators.
Facilities
•
accessibility
•
telephone access
•
professional appearance
•
hours of service
•
signage
•
use of technology
Quality Services - Guide II - Measuring Client Satisfaction
Communications
•
clarity
•
availability
•
use of plain language
Personnel
•
courtesy
•
helpfulness
•
competence
•
empathy
•
clarity
•
fairness
•
assurance
•
responsiveness
Services received
•
timeliness
•
value
•
appropriateness
•
adequacy
•
quality
Overall
Quality Services - Guide II - Measuring Client Satisfaction
•
value for money
•
satisfaction
•
likelihood of recommending the service or revising it
•
reliability
Strategic Considerations
Various departments have already done much client satisfaction measurement work. The
federal Public Service as a whole is not beginning a new journey to measure client satisfaction.
The success of client satisfaction measurement depends upon the direct and active support of
senior management, the training and engagement of staff, and the continual link between
client satisfaction measurement and program delivery.
Strategic considerations should include the following:
Executive "buy-in" and leadership
•
Client satisfaction measurement will succeed only if clients and staff are both convinced
of the active support of departmental leaders.
•
Departmental leadership must use client satisfaction measurement to drive change and
improvement in service delivery.
Communications
•
Communication must be open, honest and transparent.
•
Employees should be involved early in the design process and be cognizant of both
goals and end results.
•
Everyone involved in the process should respect proprietary information.
Quality Services - Guide II - Measuring Client Satisfaction
Education of senior management, employees and clients
•
Early in the process, talk to others who have experience in measuring client
satisfaction, research available literature, consult with internal and external experts,
and refer to case studies.
•
Many training courses on measuring client satisfaction are available. These may help
employees design client satisfaction measurement tools.
•
The shift to a client-driven organization requires a change in mindset. For instance,
when answering a telephone call where the caller has dialled an incorrect number,
rather than simply saying that there is no one there by that name, a client-focused
employee would help the caller find the correct number, and perhaps even transfer the
call.
•
Shape service expectation boundaries and focus measurement on service delivery.
Government direction
•
While planning the measurement process, determine whether any changes in
government and departmental direction could affect your initiative. Ensure that your
plan accounts for contingencies, so that financial and/or human resources are used
effectively and efficiently.
Resources
•
Sufficient resources - financial, human and time - must be allocated.
Implementation Process
The following seven steps offer a practical approach to measuring client satisfaction:
Step 1: Determine who the clients are.
Quality Services - Guide II - Measuring Client Satisfaction
Step 2: Determine the objectives for measuring client satisfaction and define the related
information needs.
Step 3: Develop a measurement strategy.
Step 4: Gather, analyse and report information.
Step 5: Use and communicate client satisfaction information.
Step 6: Review the measurement practices.
Step 7: Repeat the process.
A handy checklist at the end of this guide will help you with this process.
Conclusion
Measuring and monitoring client satisfaction is not an end in itself. It is a means to improve
service to the public and program performance in general. Client satisfaction measurement
provides invaluable information for responsive and effective client consultation.
A comprehensive approach to measuring client satisfaction and using satisfaction assessments
can bring considerable benefits to the organization if such an approach is seen, as it should be,
as a management tool and not as a way to judge individuals' performance. If properly used, it
can help you develop a client orientation throughout your organization.
Quality Services - Guide III - Working with unions
Quality Services - Guide III - Working with unions
Introduction
Good union-management relations are essential to the success of quality service initiatives
across the federal Public Service. Efforts must be made to build good relationships if we hope
to deliver quality services and attain higher levels of employee and client satisfaction.
Consulting With Unions On Quality Service Initiatives (Principles)
Consultation has long been the foundation of good union-management relations. It is a joint
process of gathering and providing information, and obtaining input from those involved in
anticipated changes to procedures and methods. Effective consultation is about partnership; it
implies a shared responsibility for and ownership of the process and the outcome, including
acceptance by all affected by the change.
Consultation should be based on openness, honesty, and transparency of purpose and
process. All parties share the responsibility for making consultation work and for encouraging
its acceptance by all.
The process should be conducted in an atmosphere of mutual respect and trust. It should be
motivated by a commitment on all sides to share information, to be open to the ideas of others
and to work together to solve problems and resolve differences.
Consultation is not a vehicle for communicating management decisions or for generating
predetermined outcomes. It must not be used, nor be perceived to be used, as a way to erode
management rights or union and employee rights gained through collective bargaining.
The process requires a major investment of resources, time and energy; however, the benefits
are considerable.
Steps For Success (Strategy For Improvement)
Quality Services - Guide III - Working with unions
A climate that supports early and full participation from local, regional and national unions is
essential. Most departments have existing union-management consultation committees, also
known as joint consultation committees. Quality service initiatives, like any contemplated
change in the workplace, should be brought to these committees for discussion. However, this
type of consultation is not sufficient to ensure success. Joint work site committees are the
engine for successful workplace initiatives.
Once work site groups are in place, they should follow fundamental principles for effective
group work. Some of these principles include clear mandates for the participants, agreement
on common goals and interests, and a clear understanding of the expectations of the parties.
Participants should have a realistic idea of how much time the process is likely to take and
should have their supervisors' agreement that these tasks form an integral part of their duties
and are reflected in their workplans and performance objectives.
If participants lack training or experience in working in groups, they could receive training in
communication, group dynamics, problem solving, consensus building and other process skills.
In addition, if some participants have previous experience with total quality management or
quality of work life initiatives, it is important for them to acknowledge these experiences,
whether positive or negative, and to learn from them. A facilitator can help the participants to
take stock of themselves and to develop ways to build on their strengths and reduce their
weaknesses.
The work site groups should establish good feedback and communication mechanisms to
ensure that everyone involved - which could include clients, employees, unions and
management - can exchange consistent, accurate, and timely messages.
Workplan For Implementation (Checklist)
Once contact has been made with the unions and the work site group has been established,
the group members should:
•
develop terms of reference or ground rules for working together;
Quality Services - Guide III - Working with unions
•
negotiate the agenda and process of consultation;
•
establish targets, methods, timeframes and performance indicators;
•
identify constraints and ways to overcome them;
•
draft a statement of principles, which could be:
- an agreement to work together to make things better
- an agreement to find workable solutions in a workable way or
- an agreement to work together to get buy-in from all concerned;
•
identify training needs and training solutions regularly;
•
recognize and build on areas of success in previous initiatives with unions, employees,
management and clients;
•
establish mechanisms for self-assessment; and
•
establish mechanisms for feedback and communication with all parties affected by the
quality service initiative and modify goals accordingly.
Milestones and Achievements (Performance Indicators)
Performance indicators will normally reflect the targets established by the organization and the
goals agreed to by the working group for the individual quality services initiative. They could
include tangible efforts made to establish or produce:
•
work site groups with active union, management and employee participation, including
client groups where possible and appropriate;
•
terms of reference;
•
a framework for working together;
Quality Services - Guide III - Working with unions
•
common goals and methods of implementation;
•
communication and feedback mechanisms;
•
joint training sessions; and
•
joint announcements and celebrations of success.
Timeliness
Union-management consultation is an ongoing process. In any quality service initiative, all
parties should be involved as early as possible.
Best Practices
Networking and learning from the experiences of others can alleviate the frustration that often
arises when people feel they are re-inventing the wheel. Work site groups should establish a
best practice exchange to collect and publicize examples of practices that worked (and that did
not work) within the department, in other government departments and in the private sector.
Work site groups may wish to invite management and union representatives from areas where
joint initiatives exist to discuss their experiences and the lessons they learned. Existing quality
service networks at the municipal, regional or provincial levels can also be useful places for
sharing best practices.
Tools
In addition to referring to the principles governing good union-management consultation
outlined earlier in the paper, working group members can also rely on other consultative
forums and tools to help them get things done. Examples of consultative forums already in
existence include:
•
the National Joint Council of the Public Service of Canada;
Quality Services - Guide III - Working with unions
•
the Mediation Services office of the Public Service Staff Relations Board;
•
quality service networks at the national, regional or interprovincial, provincial and
municipal levels;
•
joint technical committees;
•
the Air Navigation System Commercialization Advisory Board;
•
the Coast Guard Commissioners' newsletters and hotline;
•
departmental joint national/regional and workplace safety and health committees; and
•
the Air Navigation System National Advisory Committee.
Other resources include:
•
labour relations specialists in departments and bargaining agent representatives;
•
training and consultation services offered by universities, colleges, the Canadian Centre
for Management Development, Training and Development Canada, Consulting and
Audit Canada, and private sector institutions; and
•
Treasury Board and departmental inventories of best practices.
References
Anderson, John. Total Quality Management: Should Unions Buy into TQM? Ontario Federation
of Labour. TARP Project, 1993.
Canada. Treasury Board Secretariat. Focusing on the Client: The Quality Services Initiative.
Ottawa, June 20, 1995.
Crossman, Bert. Labour Relations in a Downsizing Environment. Professional Institute of the
Public Service of Canada, 1995.
Quality Services - Guide III - Working with unions
Wright, Ruth. Managing Labour Relationships in a New Economy. The Conference Board of
Canada.
Quality Services - Guide IV - A Supportive Learning Environment
Quality Services - Guide IV - A Supportive Learning Environment
Background and Context
In an environment of ongoing fiscal restraint, there remains the need to respond to the
public's growing service expectations by redefining government service. We must improve
efficiency, enhance service, constantly review and improve our programs, and focus on
continuous learning for all employees.
All departments are at different stages in this process. For a learning strategy to succeed,
managers must be committed to it. It is their responsibility, and they are the driving force.
What Constitutes A Supportive Learning Environment?
•
A learning culture and attitude.
•
Management support.
•
Methods in place to measure success in meeting learning objectives.
•
Measurably greater client satisfaction.
•
Success in meeting performance indicators that have been developed in consultation
with clients.
•
Encouragement and use of continuous feedback.
Principles
The three pillars of quality service are client focus, employee involvement and continuous
improvement. In a quality service environment:
Quality Services - Guide IV - A Supportive Learning Environment
•
all learning has a quality service focus;
•
learning supports business plans, which support the quality services initiative;
•
the learning strategy and environment focus on client satisfaction;
•
learning activities should promote a quality service environment; and
•
learning is a continuous process.
People learn in three ways. The percentage of skills and information learned breaks down as
follows:
•
learned on the job: 50 per cent;
•
learned from others: 30 per cent; and
•
learned through formal training: 20 per cent.
The Action Learning Model
Components Of A Learning Strategy
To implement a learning strategy, you should
•
position the organization in terms of its quality services initiative;
Quality Services - Guide IV - A Supportive Learning Environment
•
determine the type of work force needed to support the quality services initiative;
•
determine the actual capacity of your work force;
•
identify gaps;
•
encourage employees with specialized knowledge to share it; and
•
use partnerships, teamwork, coaching and other activities to use limited resources to
their fullest.
Resources
No new funding is available for these learning initiatives. Departments are expected to
reallocate resources to respond to their quality service training needs.
Timeframe
Departments must produce a three- to five-year training strategy for inclusion in their business
plans by March 1996.
Annex A
Learning Strategies
OBJECTIVE
The learning strategy will ensure departments have a work force with the knowledge, skills
and attitudes to meet the results outlined in the quality services initiative. This will be achieved
through sub-objectives. These are listed in no particular order, as each objective could be in
progress at the same time.
Quality Services - Guide IV - A Supportive Learning Environment
Sub-objective A - Basic knowledge and skills
Purpose
To have a Public Service that shares common values and attitudes and that
is committed to customer satisfaction and quality services.
Expected
- employee commitment to better, client-focused services
results
- a common quality services culture within and among departments
- employee awareness and understanding of the quality services initiative
- a willingness and capacity in each department to create and maintain a
quality services culture
- a behavioural change to quality service, as defined by this initiative
Target
all employees
audience
Training
- Identify employees who are already are at the base level.
strategy
- Establish a training plan for remaining employees to reach the base level.
- Determine a timeframe to get all employees to the base level.
- Ensure all new employees have access to tools that let them reach the base
level.
Sub-objective B - Specific skills and specialized competencies
Purpose
To have an adequate number of employees acquire specific skills and
competencies to support the implementation of the quality services initiative
and contribute to its success.
Expected
results
- a group of employees in each department who can lead initiatives and/or
help colleagues
- an overall capacity in each department to address issues related to
quality services and customer satisfaction
Quality Services - Guide IV - A Supportive Learning Environment
Target
audience
- identified employees who will acquire the necessary skills to support a
quality services initiative
Training
- Identify the skills needed to support the initiative.
strategy
- Identify the number of employees who should have each of these skills.
- Identify employees who already possess these skills.
- Identify gaps.
- Establish a training plan to educate employee leaders.
- These employees will help their colleagues give better service. They will
be encouraged to update their skills and competencies continuously. They
will be encouraged to network with colleagues in similar fields and in
other departments to share practices and find out about new ideas.
Annex B
Positioning Learning and Quality Service
In Your organization
The following questions will help you evaluate the extent to which your organization has
established a learning environment to support the quality services initiative. In order to
simplify the evaluation, the questions are grouped by task.
Question
Answer
1. Planning and environmental scanning
1.1 How would you describe your continuous learning
strategy?
What are the barriers to achieving this strategy?
Work to do
Quality Services - Guide IV - A Supportive Learning Environment
How will you eliminate them?
How is the strategy integrated with your departmental
business plan?
1.2 How is quality service a component of your departmental
planning process?
1.3 What visible commitments has your senior management
made to establishing a continuous learning environment in
support of quality services?
2. Needs analysis
2.1 What core competencies has your organization identified
that support quality services?
What are the gaps?
How are you addressing the gaps?
2.2 How are your employees encouraged to identify
continuous learning needs?
2.3 How do you ensure a common understanding of quality
service principles in your organization?
2.4 What key principles of quality services are linked to
your organization's training?
3. Communication and networking
3.1 How are quality service objectives and initiatives
communicated throughout your organization?
Quality Services - Guide IV - A Supportive Learning Environment
3.2 How are the messages perceived and accepted?
3.3 Do you keep abreast of quality service developments and
best practices?
3.4 What links have you established with quality service
practitioners in other organizations?
4. Design, "make or buy" and partnering
4.1 What learning activities does your organization offer to support the quality services
initiative?
4.2 What resources do your organization, or other organizations, have to assist in this
initiative?
4.3 How often does your organization make use of in-house facilitators?
4.4 What innovative and alternate delivery standards have your organization put in place?
5. Evaluation, validation, self-assessment and value for money
5.1 How does your organization measure the impact of continuous learning on the
achievement of your organization's objectives and business plan?
5.2 How is your training organization continuously improving the quality services it provides?
5.3 How does your organization measure the extent to which quality service training is
achieved (i.e., value for money)?
Quality Services - Guide IV - A Supportive Learning Environment
Annex C
Information Sharing - Training and Quality Service
The following sources of information may be useful to organizations trying to integrate quality
service principles and practices with their continuous learning strategies, plans and activities.
Departments and agencies are invited to add information specific to their needs.
The working group prefers to disseminate information through interactive electronic media
such as the Internet. Recognizing that not everyone has access to such media, we recommend
that the information also be made available on disk and through local area networks.
Subject
Description/source
For more information
Federal networks and
Interdepartmental Quality
Terri Doherty
committees
Network (Ottawa)
(613) 957-2549
ADM Advisory Committee on
Chris Dodge
Quality Services (Ottawa)
(613) 957-2484
Interdepartmental Committee
Diane Séguin-Lindsay
of Heads of Training (Ottawa)
(613) 953-5582
Provincial/Regional
Public Sector Quality Council
Rowly McPherson
networks and committees
of Ontario (Toronto)
(416) 973-6679
Manitoba Quality Network
Claire Warszycki
(Winnipeg)
(204) 983-5955
Atlantic Quality Network
David Tripp
(Moncton)
(506) 851-6515
Quality Services - Guide IV - A Supportive Learning Environment
PEI Quality Network
Chris Brittain
(Charlottetown)
(902) 566-8023
Quebec Quality Network
Jacques Urbain
(Montreal)
(514) 496-3825
Public Service Improvement Forum Terry Tetreault
(Vancouver)
(604) 623-6029
Professional
National Quality Institute
1-800-263-9648
associations
(Ottawa)
Canada Quality Council
1-800-575-6898
(Airdrie, Alberta)
American Society of Quality
1-800-248-1946
Control
Association québécoise de la
(514) 874-9933
qualité
Public Service courses
Courses offered jointly by the
on quality service
Canadian Centre for Management
Jacques Fournier
Development and Training
(613) 997-0462
Development Canada include:
managing quality service
Paul Proulx
complaints and recovery
(819) 953-5138
effective service standards
managing client relations
Facilitators are also available from both organizations.
Quality Services - Guide IV - A Supportive Learning Environment
Courses offered by Training (819) 953-5400 Development Canada include: group facilitation
skills, working in teams, quality and excellence in customer service, management of change.
Departmental courses Contact your departmental quality coordinator or head of training:
Consulting services - see National Master Standing Catalogue: (819) 956-3383 private
sector Offer catalogue* available from PWGSC Information: Jim Corkery (* NMSO "Total
Quality Management (819) 956-1654 Services") Consulting services - Canadian Centre for
Paul Robillard Public Service Management Development (613) 992-8346 Training
Development Canada Marcel Déry (819) 953-4633 Consulting and Audit Canada Art Turner
(613) 995-9421 Quality service Training Reference Centre (819) 953-5594 reference
Training Development Canada 1-800-265-9787 and resource centres · documents (available
for · videos assistance to all · database on departmental departments) courses · conferences ·
federal Public Service workshops and seminars (613) 995-6165 Canadian Centre for
Management Development Management Resource Centre Contact your departmental
Departmental reference centres quality coordinator or head of training Departmental quality
Membership list Terri Doherty service coordinators (613) 957-2549 Partnership Network
in Database on partnering Alti Rodal the Federal Public (613) 947-1177 Service
INNOVATIONS Published by the Treasury Board Terri Doherty "Best Practice" Notes
Secretariat (613) 957-2549 Innovation and Quality Bulletin board on the Internet Adel
Shalaby Exchange (613) 957-2493
Quality Services - Guide V - Recognition
Quality Services - Guide V – Recognition
Definition
Recognition
Recognition means honouring, encouraging and supporting individuals and teams who
contribute, through their behaviour and their actions, to the success of the organization.
Recognition involves:
•
openly giving praise;
•
granting monetary and non-monetary awards; and
•
celebrating and communicating successes.
Recognition includes informal, free and low-cost activities as well as formal programs and
ceremonies.
Recognition is an essential element of a quality services initiative. It stimulates the cultural
changes necessary to the success of an initiative. Recognition helps improve client satisfaction
and the quality of services provided to Canadians by:
•
enlisting the participation of all employees in organizational improvement;
•
encouraging and supporting quality service role models and champions;
•
giving all levels of management a way to "walk the quality service talk";
•
encouraging the sharing of best practices; and
•
creating a sense of being a valued member of a successful, goal-oriented team.
Rewards
Quality Services - Guide V - Recognition
Rewards are linked to recognition, but they may involve compensation issues that affect
collective bargaining agreements. For example, rewards may be:
•
based on pre-established performance objectives that are tied to quality service goals;
•
awarded as sums of money granted to employees over and above their base salary and
benefits.
Examining reward options for Public Service employees exceeds the mandate of the working
group that developed this paper. However, this issue is of interest to many departments and
agencies, and should be explored in an appropriate forum.
Goals
Recognition is most effective as an organizational development tool when it is implemented as
a planned program of activities with defined goals.
Organizational goals for recognition should:
•
reinforce the ways the organization works together;
•
promote key corporate values; and
•
be linked to the organization's mission statement, to its organizational improvement
plans and to its business plans.
Work units within the organization should develop goals to suit their own needs and
challenges.
Success Factors
Many elements, listed below, contribute to the success of a recognition program.
Quality Services - Guide V - Recognition
Program principles
Recognition should be given frequently and on a timely basis
It has been shown that people have an inherent need to be recognized and that recognition is
a stronger motivator than money. Employees who are recognized for their contributions will be
even more committed to helping the organization meet its goals. Recognition shows them that
their individual and collective contributions make a difference and are valued. Praise is a very
effective and inexpensive management tool, and should be used extensively.
Recognition is most effective when it is given as soon after the noteworthy accomplishment as
possible. Late recognition is frequently interpreted as a sign that the organization does not
value the contribution, and by extension the employee(s), enough to offer a timely thank you.
Recognition should not be reserved solely for exceptional achievements
It is often said that what is recognized in an organization is repeated later. Granting
recognition solely for the attainment of exceptional results limits the value that recognition can
have in an organization. Outstanding results are the work of skilled people who, over time,
have learned how to succeed in smaller, less visible initiatives. Recognition will facilitate this
learning curve if it is given to people whose efforts and behaviours are ones that the
organization realizes are valuable. Employees should be recognized for their efforts and
behaviours, as well as for the results of their work. In addition to formal celebrations of
exceptional achievements, organizations should develop and promote informal activities,
including non-monetary awards, that can be used to reinforce behaviours and celebrate small
wins.
All employees should be eligible for recognition
Too often, significant populations within the organization are excluded from receiving
recognition and awards. Managers, senior staff and policy officers are frequently excluded, and
even the eligibility of employees can be significantly restricted. Many organizations still believe
Quality Services - Guide V - Recognition
that employees should not be recognized for doing anything remotely related to their day-today duties, no matter how these duties may be changing, or how challenging the Public
Service work environment may be.
All levels of employees are critical to the success of an organization, particularly in the current
environment of change. Making everyone eligible for recognition, and granting it to everyone,
allows an organization to motivate, support and encourage everyone. This is how winning
teams are made.
Recognition should be granted to individuals as well as teams, for accomplishments on and off
the job
Individuals and teams are important to an organization. Some achievements will always be the
work of an individual and others the work of teams. The contributions of both should be
recognized, although if the growth of teamwork is important to an organization, team awards
may be more actively promoted.
Employees' accomplishments off the job also benefit an organization. Increasing one's level of
education or participating in community affairs enhances the organization and its ties to the
community in which it is located. Achievements off the job should also be eligible for
recognition.
Recognition should be meaningful and sincere
Recipients' preferences should be considered when selecting awards and organizing award
ceremonies. Presenters should make every effort to personalize award presentations. What the
presenter says is often more meaningful than the award given. If the presenter cannot clearly
explain the recipient's achievement, why it merits recognition and how it relates to the
organization's vision, then the act of granting an award loses most of its meaning.
Recognition should be granted publicly
Quality Services - Guide V - Recognition
For recognition programs to have impact and value, and to ensure equity and transparency,
the granting of awards should be well publicized and, to the greatest extent possible, involve
public events. Honouring champions and celebrating successes builds morale and dedication. It
also creates occasions for organizations to demonstrate that employees truly are their greatest
resource.
The value of recognition diminishes if non-performance issues are not addressed
Through its recognition program, an organization demonstrates its commitment to measuring
employee performance and encouraging productive employees. Therefore, the organization
must also address the issue of non-performance or face a certain level of employee cynicism.
Recognition is not a substitute for a performance appraisal
Granting recognition is one method of providing feedback on an employee's performance. But
recognition is usually given in relation to one act or effort. Even if this act is significant, it does
not comprise the totality of the employee's duties or the totality of the performance standards
against which the employee is measured. Only a performance appraisal can provide a
complete evaluation of an employee's skills, abilities and achievements.
Program design
Mobilize commitment and support from all members of an organization
Ask employees and managers what they want to recognize and how they want to give
recognition. The goal of the consultation is not to obtain complete agreement and support.
Obtain consensus on what needs to happen, and make it happen. The non-believers will fall in
line or agree to disagree over time.
Ensure managerial and employee ownership and accountability
Design recognition programs that are visible, funded, transparent and sustainable. Balance the
interests of all stakeholders - clients, employees, managers and the organization itself.
Quality Services - Guide V - Recognition
Minimize the administrative and financial procedures required. Train employees and managers
to use the new recognition program.
Involve all management levels in recognition programs. Create activities and programs that
even front-line supervisors can use. Create awards that managers can receive. Celebrate
managers who receive client testimonials or letters of appreciation. Emphasize the importance
of recognition by asking managers to report on recognition activities during management
meetings. Recognize managers who support recognition activities.
Involve employees in recognition. Include them in activities to set award criteria. Create
activities and awards in which employees can nominate and select recipients, by themselves or
with colleagues and managers. Ask employees who win awards to help select other award
winners. Invite employees who have been recognized frequently to manage the office
recognition program.
Create a role for clients, partners and stakeholders in the award program. Invite them to
participate in the award nomination and selection processes.
Program content
Include a mix of recognition activities and award programs that target different goals
Recognition programs should include spontaneous, informal and formal awards, so that the
appropriate recognition may be given in a timely manner.
Spontaneous awards generally involve giving pats on the back for simple demonstrations of a
key corporate value, such as teamwork or client service. Managers may write words of praise
on customized notepaper, or give employees inexpensive non-monetary awards, such as pins,
mugs and pens on which corporate logos have been engraved.
Informal awards are given for more significant contributions which required more effort over a
longer period of time. Once again, organizations may choose to grant letters of congratulation,
or non-monetary awards whose value may range from token (under $25) to moderate (under
Quality Services - Guide V - Recognition
$200). Informal awards are generally granted in team settings, where speeches are given and
refreshments are provided.
Formal awards involve significant achievements. The nomination and selection processes are
rigorous. Award presentations are ceremonious occasions attended by important members of
the organization, and even the recipient's family members. Awards have great symbolic value
and are presented with much pomp and circumstance. They may have a non-monetary or
monetary component.
Promote partnerships by recognizing the contributions of clients and stakeholders to the
achievement of organizational goals
There is no reason why stakeholders and clients cannot receive recognition. Organizations can
send letters of appreciation to clients and stakeholders who have made noteworthy
contributions to their work. They can include clients and stakeholders in team awards and
celebrations. They can create "best client" awards, or they can invite privileged clients to the
annual, formal award ceremony.
Develop a variety of means to communicate the achievements of award recipients
Just as there should be a range of recognition activities in an organization, so should there be
a range of ways to communicate these successes. The means chosen should reflect the
importance of the achievement. For example, organizations can publish employee photos in
newsletters, hang photos in hallways or public service areas, or send electronic messages
throughout the organization.
Quality Services - Guide VI - Employee Surveys
Quality Services - Guide VI - Employee Surveys
Introduction
Listening to employees and encouraging their involvement can have a positive impact on an
organization's quality services initiative. Their opinions and ideas are an invaluable resource
that you can uncover in a variety of ways, including employee surveys.
Definition
Within the context of this guide, the term "employee survey" is defined in the broadest of
terms. It includes methods such as the traditional survey, focus groups, work out sessions, and
face-to-face meetings with one or more managers and employees.
Context
The current government environment of fiscal restraint and program review, coupled with the
swiftness of changes in technology, public-sector organizational structures and the global
economy, has a significant impact on the Public Service. Yet it is the Public Service that
upholds the government agenda. In these times of rapid change, employees can contribute,
significantly and positively, to the way in which an organization copes with this change.
Consequently, employee surveys are valuable tools that can help organizations tap into the
ideas and perceptions of their work force.
When considering the survey, consider the following ideas:
•
Sensitive timing is always important, particularly in the current environment of fiscal
restraint and within the "most-affected" departments.
Quality Services - Guide VI - Employee Surveys
•
Organizations will likely be at different stages in their quality journeys. At appropriate
junctures, organizations will need to assess individually the appropriateness of
employee surveys.
•
Organizations must consider employee sensitivities and cynicism in the current Public
Service environment.
•
Quality service requires a cultural shift that promotes a partnership between an
organization and its employees. Employee surveys could be used as a tool to
encourage and develop this kind of partnership.
•
Surveying employees is one way an organization can involve employees, solicit their
input and encourage their participation in its quality journey. Other alternatives for
obtaining opinions and feedback from employees include using suggestion awards or
other award and recognition programs, and encouraging the sharing of best practices.
Rationale
Organizations may conduct employee surveys as part of their quality services initiative for a
number of reasons. Employee involvement, commitment and participation are key elements of
any quality-conscious organization. Management needs the opinions of the work force to
identify areas for improvement and should, therefore, provide opportunities for employees to
participate in the decision-making process.
When handled well, employee surveys can catalyze or enhance expanded communication,
partnerships with employees and motivation. Morale, productivity, commitment and
organizational vitality can be substantially improved by listening to and acting on employee
suggestions.
Employee surveys:
•
allow an organization to tap employees as a resource to focus on areas within the
organization that can be improved. Data provided by a survey can be used to identify
the highest-priority elements of the organization's quality services initiative;
Quality Services - Guide VI - Employee Surveys
•
may be used to establish baseline data for an organization in terms of the degree to
which it meets the criteria of a quality services organization. From this baseline data,
the organization can measure progress made in implementing or improving its quality
services initiative. The baseline data could also help organizations identify, understand
and adapt current outstanding practices that will provide the basis for further improving
performance;
•
may be used to obtain input from employees, thereby encouraging participation in the
change process and fostering buy-in; and
•
may be used to identify training requirements or learning activities that could push
forward the organization's quality services initiative. Surveys may also be used to
gather perceptions on other key elements of a quality services initiative, such as
leadership and awards programs.
Guiding Principles
In this guide, the scope of employee surveys is limited to issues of quality and quality services.
Although employee satisfaction contributes to the quality of an organization's service,
measuring employee satisfaction is outside the scope of this framework.
When contemplating the use of an employee survey, the organization should
consider:
•
the extent to which employee surveys, if used, will drive their quality services initiative;
•
the requirements related to access to information, privacy, information collection and
security, which are set out in the Policy on the Management of Government
Information Holdings in the "Information Management" volume of the Treasury Board
Manual, chapter 3-1;
Quality Services - Guide VI - Employee Surveys
•
the extent of senior management commitment;
•
what will be done with the results of the survey and how it intends to convert results
into action;
•
how participation will benefit the organization and all of its employees;
•
the conduct of effective, rigorous marketing before the survey begins, and throughout
the process, to increase the chances for success. Employees should be informed of the
purpose of the survey, assure them that it is confidential and outline how the results
will be used;
•
opportunities for employees to participate in the process as early as the design stage.
Employees could be represented on advisory committees, or their opinion could be
solicited in other ways;
•
the involvement of bargaining agents, where possible;
•
the inclusion of a feedback loop into the system to inform employees of the results of
the survey and to tell them about actions being planned in response to these results;
•
follow up, as appropriate, to improve response rates; and
•
the consistency of content from one survey to the next to make it easier to measure
progress accurately.
Elements to be surveyed
Each organization will determine what constitutes "quality" and "service quality." For instance,
"quality" may be approached from an organizational perspective. "Service quality" can be
defined as a combination of two movements: service, which means knowing what the client
wants and satisfying that need; and quality, which means doing it right the first time and
Quality Services - Guide VI - Employee Surveys
continually improving the product or service. The organization should define the essential
elements that make up quality, based on its goals.
The organization may wish to survey employees to obtain their perspective on the quality of
services being provided. For example, survey elements could ask employees about the extent
to which they feel:
•
clients are being provided with extraordinary service;
•
employees contribute towards the development of service standards; and
•
employees are empowered.
Alternatively, or in addition, the survey may be based on criteria used for awards such as the
Malcolm Baldridge Award in the U.S. and the former Canada Awards for Business Excellence.
The National Quality Institute (NQI) recently combined the criteria used for these two awards
to form the new criteria for the Canada Awards for Excellence (CAE). These criteria apply to
both the public and private sector.
The six major criteria categories of the CAE's Quality Award describe elements or attributes
that are essential in a quality organization. These elements, individually or in combination, may
form the focus of an employee survey.
Leadership
How senior management demonstrates a commitment to quality principles and practices, and
how it supports strategic planning and an environment for continuous improvement.
Customer focus
How the organization focuses on customer needs, complaints, loyalty and satisfaction through
information gathering, and how it translates that information into improved goods and
services.
Quality Services - Guide VI - Employee Surveys
Planning for improvement
How improvement plans are developed, linked to strategic direction and effectively deployed.
People focus
How the organization manages, develops, involves and rewards its employees, while fostering
participation and continuous learning.
Process optimization
How processes are analysed to ensure that they add value to customers and the organization,
how they reflect priorities derived from goals in improvement plans, and how they support the
organization's strategic direction.
Supplier focus
How the organization works cooperatively with suppliers and other stakeholders to innovate
and improve continuously.
Questions that address these quality elements may be found in the NQI's "Quality Fitness
Test." Organizations could adapt them for use in employee surveys.
Tools
Many tools can be used to survey employees or gather their feedback. Surveys may be formal
(a prepared set of questions to a specific sample of employees), informal (a structured or
unstructured discussion), predominantly qualitative (a focus group) or quantitative (a
questionnaire that provides volumetric data). Rigid methodologies may be used but are not
always necessary to achieve the survey objectives. A lesser degree of scientific rigour can still
yield valuable information.
The most traditional survey tool is the written questionnaire. Electronic surveys are gaining
popularity. Individual input may also be obtained through telephone surveys, face-to-face
interviews or exit interviews of departing employees. These formats normally involve highly
structured questionnaires. Information may also be gathered from groups. The most
Quality Services - Guide VI - Employee Surveys
structured is the focus group, where predetermined issues are explored. Less structured,
informal methods include "town hall" meetings or retreats. Smaller groups such as quality
councils, advisory groups or committees may also be used.
A combination of several of these methods can often be used effectively.
The choice of tools will depend on such factors as cost, ease of completion, perception of
anonymity, timing, available technology, and depth of information required. External
consultants or internal experts in fields such as program evaluation can help managers choose
appropriate methodologies, design questionnaires, compile data, and analyse and interpret
results.
Success Criteria
As part of the survey process, the organization should attempt to determine whether or not
the survey satisfied its stated objectives. Based on the reasons for surveying employees
previously mentioned, the organization might assess the survey's success against the following
criteria:
the employee participation rate;
the extent to which the data from the survey assisted in the design or improvement of
its quality services initiative;
the extent to which the data helped measure progress in defined areas;
the extent to which the data were integrated with other data to design or improve it's
quality services initiative;
the extent to which follow-up surveys are used to measure its progress in its quality
services initiative; and
Quality Services - Guide VI - Employee Surveys
the extent to which feedback loops were built into the survey to give employees
information on survey results and on actions deemed necessary by those results.
Quality Services - Guide VII - Service Standards
Quality Services - Guide VII - Service Standards
Introduction
Canadians often question whether they are getting value for their hardearned tax dollars. The
government recognizes that quality service is important to its clients. Despite continued
restraint and reduction, fostering a clientfocused Public Service is one of the key areas of
public sector reform today.
The Service Standards Initiative is a key element of the government's quality services strategy.
It aims to improve the quality of service delivery by making Canadians more aware of the wide
array of government services and their associated costs, and by encouraging Public Service
employees to focus on clients.
Canada is not alone in its commitment to quality service, service standards and public sector
reform. The U.K., the U.S., France and many countries in the Organization for Economic
Cooperation and Development also have service standards initiatives under way.
Service standards - a shortened form of the phrase "standards of service" - are more than
service delivery targets such as waiting times and hours of operation. Canadians are entitled to
know what they should expect from government, how services will be delivered, what services
cost and what clients can do when services they receive are not acceptable. These standards
should include:
a description of the service provided and, where applicable, the benefits clients are
entitled to receive;
service pledges or principles describing the quality of service delivery clients should
expect to receive;
specific delivery targets for key aspects of service;
Quality Services - Guide VII - Service Standards
the costs of delivering the service; and
complaint and redress mechanisms clients can use when they feel standards have not
been met.
Benefits of Service Standards
Service standards provide a practical way to manage performance in an era of fiscal restraint
and help shape the expectations Canadians have of government services. Experience suggests
that services can be improved and delivered at reduced cost by
refocusing services on clients;
finding out what clients consider to be critical aspects of government services and
service delivery;
giving managers the flexibility to respond to client needs;
developing proper incentives to promote innovation; and
monitoring and analysing performance against realistic goals and standards.
As an integral part of good management, service standards
promote partnership in quality client service;
provide the means to measure service performance and costs reliably;
provide meaningful information on the content, value and method of service delivery;
and
Quality Services - Guide VII - Service Standards
use performance and client satisfaction information to guide operational decisions to
improve service standards and actual performance continually.
Planning and Organizational Considerations
Developing and implementing service standards leads to "cultural" change. Senior managers
must be prepared to direct and support their employees through this change. The
organization, while fulfilling its mandate, must focus on providing quality service to its clients.
In this clientoriented culture, all unnecessary forms, rules and bureaucratic thinking should be
eliminated.
The implementation of service standards may or may not involve a committee, but someone
must be responsible for the initiative. This person or committee will help "steer" the
organization through considerations such as:
how to proceed
scope of the initiative
timeframes
methods of implementation
communications
roles and responsibilities
While managers are expected to lead the change, all parts of the organization should be
involved in developing service standards, and in finding solutions to problems discovered as a
result of applying the standards. Frontline employees and internal service providers must be
involved in the process. When everyone participates actively, there is no need to strive for a
"buy-in."
Quality Services - Guide VII - Service Standards
Developing and Implementing Service Standards
Know your business
Identify direct and indirect clients.
Identify services.
Identify partners (for joint performance agreements in service delivery):
- federal departments
- other governments
- private sector
- unions
- employees.
Define your current activities.
Know what is affordable: what does it cost to deliver your services?
Consult your clients, staff and stakeholders
What are the most important features of the service you provide?
What is your clients' satisfaction level with this service? Collect baseline information on
current service levels.
What changes do your clients need or want?
What are your clients' expectations?
Quality Services - Guide VII - Service Standards
What are your responsibilities?
Outline reciprocal responsibilities and roles.
Set client-sensitive service standards
Establish standards to which clients can relate.
Consider piloting a standard on a small scale, and provide cost projections when
appropriate and reasonable.
Fine tune the standard.
Develop a performance reporting structure
Define performance measures.
Set up and articulate a performance measurement strategy.
Empower and train service providers
Train and equip staff to help clients, and let staff know what is expected of them.
Empower front-line staff to make decisions.
Train managers and supervisors in leadership and motivation.
Communicate service standards and report on performance
Advise staff and clients of service standards.
Report on performance you provide vs. standards.
Report on clients' satisfaction level with this service.
Quality Services - Guide VII - Service Standards
Resources and Tools
A number of resources and tools available can help you establish, implement and maintain
service standards. Some resources target the needs of senior and operating managers, while
others are directed at those involved in developing and updating service standards.
Examples of resources and tools include guides developed by the Treasury Board Secretariat
(TBS), publications from other government and private sector sources, workshops presented
by the Canadian Centre for Management Development, information on the Internet
(http://www.tbs-sct.gc.ca) about the TBS Innovation and Quality Exchange, and software
packages for monitoring performance.
People can be an excellent resource. You can tap into a great deal of expertise by contacting
people with experience with service standards in government agencies, foreign governments,
TBS and the private sector.
Best Practices and Innovation
The TBS "Innovation and Quality Exchange" on the Internet is constantly updated as
departments provide accounts of their latest success stories. Current examples contain
information in the following categories:
the business line or initiative;
solutions to problems;
parameters against which the progress and outcomes were measured;
factors that contributed to success;
Quality Services - Guide VII - Service Standards
technology used to redesign processes or implement service standards; and
the names of departmental contact persons.
Innovative ways of defining and implementing the service standards to suit the requirements
of various client groups involved the following key elements:
active participation of both internal and external stakeholders in defining the standards
and deciding how to measure their success. This was accomplished through
coordinated and focused efforts of various workgroups, often with the assistance of an
experienced external or inhouse consultant;
timely communication of service standards to all stakeholders through formal
presentations or published standards; and
monitoring of service delivery against clearly defined measures of success by collecting
and analysing service measures electronically, keeping stakeholders involved and
conducting client surveys.
Further information on this subject may be obtained from departmental service standards
contacts.
Monitoring
Monitoring is the process of keeping track of client expectations and operational factors and
adjusting service delivery as appropriate. Knowing where clients stand and how they feel
about quality services should be a key priority. It allows a department to modify policies and
programs to improve service quality. Monitoring shows both clients and employees that the
department is serious about assessing client satisfaction to measure its performance. Data on
client service and satisfaction show employees the results of their efforts and help them focus
on the essential purpose of the organization.
Quality Services - Guide VII - Service Standards
Information requirements of a monitoring system
To design a monitoring system to collect information on the quality of service delivery, a
department requires:
specific client-centered service standards;
a clear understanding of who its clients are; and
a set of measurement techniques, such as client surveys, focus groups or client hot
lines.
Departments should review their current internal and external monitoring procedures,
including program evaluation, to determine which techniques will best capture information
about client satisfaction and suggestions to improve service. The best monitoring system is
one which parallels organizational structure and does not overburden senior management with
unnecessary details, yet provides information for evaluation purposes that the public, ministers
and senior management can understand.
Monitoring of complaints is also an important aspect of quality services. Departments should
have clear complaint management procedures and guidelines in place, including ones for
assessing how well complaints have been handled.
Continued Improvement
In addition to monitoring service standards and service delivery, it is also essential to assess
service on a larger scale. Taking a broader scope will ensure that service standards reflect the
changing environment and will allow departments to make concerted improvements to the
program as a whole. It will also lessen the likelihood of changes or improvements being made
on a section-by-section basis, which may actually be counterproductive.
Continuous improvement requires ongoing assessment of both the results of performance
monitoring, such as client and employee satisfaction, and the manner in which performance is
monitored. This assessment must be done from the perspective of the sector directing the
service, and must show how service standards and delivery reflect the mandate and mission of
Quality Services - Guide VII - Service Standards
the sector and the department. It should make assessments in relation to both internal and
external influences. Internal influences include clients, employees, policies and workload;
external ones include clients, other departments, public interests, technology and private
business. These assessments must be attached to a mechanism for implementing solutions or
changes identified.
Some examples of activities which lead to continuous improvement include:
•
developing long-term action plans that result in a "built-in" process for improvement;
•
actively involving employees who offer suggestions for improvement and identify
potential solutions to problems;
•
ensuring that employees adhere to the system, but have flexibility when required;
•
reviewing services provided by, and service standards of, similar groups to determine
more appropriate or effective ways of providing service;
•
monitoring new developments in service delivery and implementing applicable
concepts;
•
making comparisons to similar groups to determine positive or negative effects of
proposed improvements;
•
re-evaluating improvements or changes to ensure expected results are achieved;
•
evaluating performance monitoring periodically to ensure that it is objective and that
results are accurate; and
•
developing a system that initiates a review whenever any significant change is made.
Developing Service Standards - Lessons From Experience
Quality Services - Guide VII - Service Standards
Lessons about process
A. Challenge
Getting broad participation in the process of developing and maintaining standards.
Remedy
•
Explain the benefits and make all levels of management accountable for producing
standards or implementing a process to develop standards. Involve senior managers
visibly. Monitor performance. Establish a focal point from which to develop service
standards and give it visibility within the organization. Get a "champion" to push the
effort.
B. Challenge
Reaching a common understanding of what constitutes a service or a client. Services may be
direct or indirect, for instance, and clients may include the general public, industry or interest
groups.
Remedy
•
Train managers and staff to develop service standards. Begin developing programs or
services that lend themselves to service standards and use these standards as
examples for the development of others.
C. Challenge
Communicating the purpose of the service standards initiative without sending out mixed
messages.
Remedy
•
Ensure a consistent understanding across the organization of what comprises a service
standard and what benefits the organization is seeking by establishing and maintaining
standards. Distinguish between the purpose of service standards - improved levels of
Quality Services - Guide VII - Service Standards
service - and those of other initiatives - cost recovery, commercialization, regulatory
enforcement, determining the most effective means of delivery, or supporting
cost/benefit analysis.
D. Challenge
Communicating the various elements of the service standard. Various means of communication
are available, including reports, statements, scientific and trade publications, presentations and
the Internet. When will clients have access to service standard information? How often will
information about standards be provided?
Remedy
•
Develop a clear communications plan and ensure a consistent approach across the
Public Service.
Lessons about substance
A. Challenge
Costing the service. How do you account for all cash and non-cash costs? How do you select
and present costing information so that the cost of similar services can be compared?
Remedy
•
This may be one of the most difficult elements of the service standard to develop. Not
all services can be costed and cost information may be provided at various levels, such
as the transaction level and the program level. Nevertheless, cost information is
important. Decide what is possible and appropriate for your clients and how quickly you
can collect and release cost information. Begin by gathering summarized (aggregated)
costing information and by developing mechanisms to gather more detailed costing
information over time.
B. Challenge
Quality Services - Guide VII - Service Standards
Determining the level for which the service standard is to be developed - project, activity,
program, institution, service or departmental level.
Remedy
•
Aggregate at the highest level possible. Develop generic service standards to act as an
umbrella for more detailed standards, as appropriate.
C. Challenge
Making standards consistent across an organization, and across various regions.
Remedy
•
Provide a fixed highlevel standard that gives various levels of the organization some
flexibility to develop more detailed, lowerlevel standards that vary according to local
conditions, such as differences in climate, demographics and infrastructure.
D. Challenge
Integrating existing standards, guidelines and protocols - such as ISO and CSA standards,
associations guidelines and scientific peer review requirements - into government service
standards.
Remedy
•
Where there is overlap, clearly define the domain (e.g., product focus, servicedelivery
focus) and authorities (e.g., resolving delivery problems, responding to challenges of a
scientific or technical nature) of each standard.
E. Challenge
Balancing the need to set ambitious and motivational standards with the need to set safe and
achievable standards.
Quality Services - Guide VII - Service Standards
Remedy
•
Begin with achievable standards, review them regularly, make appropriate adjustments,
then raise the standards if appropriate.
F. Challenge
Writing a service standard that does not create unwanted legal liability in areas such as
revenue generation, intellectual property (R&D) and competition with the private sector.
Remedy
•
Involve legal services early in the service standard development process.
Quality Services - Guide VIII - Benchmarking and Best Practices
Quality Services - Guide VIII - Benchmarking and Best Practices
"He who rides the tiger's back cannot get off!"
(Chinese proverb)
Context
The last several years have seen federal departments, agencies and Crown corporations
embark on many change initiatives to promote quality services, with some excellent results.
Organizations are consolidating the changes made, sharing best practices internally to promote
and accelerate change, and looking for ways to use the best practices of others - including
benchmarking performance - as part of systematic, planned approaches to managing change
and providing quality services.
Sharing benchmarking information and best practices is one way to recognize the efforts of
innovative, creative Public Service employees and others who are improving client satisfaction,
improving management practices, introducing new technologies, improving employee
satisfaction, and ensuring that Canadians receive the quality services they expect and deserve.
Goal
To foster the government-wide use of benchmarking and the sharing of best practices to:
•
improve service delivery and client satisfaction;
•
improve employee satisfaction;
•
minimize duplication; and
•
improve operational efficiency, effectiveness and economy.
Definitions
Quality Services - Guide VIII - Benchmarking and Best Practices
The process of benchmarking and the sharing of best practices is a way of learning from the
experience of others, adapting the knowledge gained and significantly improving operational
performance. Simply stated, if you are going to redefine or reshape the way you serve your
internal and external customers, check to see if someone else has already gone in the direction
you're headed. You'll save time, and time is quickly becoming our most precious resource.
Benchmarking and the sharing of best practices are effective organizational change tools when
used as part of a planned approach to improving service quality.
The definitions that follow reflect the current literature and practical experience.
Benchmarking
The continuous, systematic process of measuring and assessing products, services and
practices of recognized leaders in the field to determine the extent to which they might be
adapted to achieve superior performance.
Best practices sharing
The capture, dissemination and sharing of a work method, process or initiative to improve
organizational effectiveness, service delivery and employee satisfaction.
Framework
STRATEGY 1
Establish and sustain an environment, across government and within organizations that
embraces the process of benchmarking and the sharing of best practices.
A. Workplan element
Secure endorsement and resource commitments, from all levels of management in each
department, agency and Crown corporation, for a quality service strategy incorporating
benchmarking and best practices.
Quality Services - Guide VIII - Benchmarking and Best Practices
Performance indicators
•
the quality and scope of benchmarking and best practice initiatives embedded in
organizational business plans
•
the degree to which performance review and recognition systems support the use of
benchmarking and the sharing of best practices
•
the number of incentives and amount of recognition provided by departments to
employees who have made major contributions using benchmarking and best practices
B. Workplan element
Promote government-wide and departmental sharing of benchmarking and best practice
experience and information including access to national and international databases.
Performance indicators
•
creation of government-wide, easily accessible benchmarking and best practice
databases by the Treasury Board Secretariat and the Canadian Centre for Management
Development, with the cooperation of federal Public Service organizations
•
significant contributions of benchmarking information and best practices by
departments, agencies and Crown corporations to government-wide knowledge bases,
such as HR ConnEXions
•
availability of different means of sharing benchmarking and best practice experiences
and information such as electronic media, newsletters and town hall meetings
•
results of a survey of benchmarking and best practice practitioners regarding their
satisfaction with benchmarking and best practice services provided
C. Workplan element
Promote benchmarking and best practice partnerships and alliances across government; within
federal departments, agencies and Crown corporations; and with other public and private
organizations.
Quality Services - Guide VIII - Benchmarking and Best Practices
Performance indicator
•
activities of the benchmarking and best practice partnerships and alliances, and their
contributions to the knowledge bases.
STRATEGY 2
Disseminate and share best practice and benchmarking information and results in a timely,
accessible, user-friendly, and efficient manner. Means may include electronic media, face-toface meetings, paper documents and 1-800 lines.
A. Workplan element
Publicize and support the sharing of benchmarking and best practices through various media.
Performance indicators
•
percentage of departmental strategic and annual business plans that show best
practice and benchmarking initiatives
•
Public Service employees' use of various means for sharing benchmarking and best
practices, such as electronic media, newsletters, town hall meetings and conferences
•
percentage of government departments, agencies and Crown corporations that share
benchmarking and best practice initiatives on government-wide knowledge bases
•
level of access by government employees to government-wide knowledge bases
B. Workplan element
Conduct benchmarking and best practice user consultations to encourage managers, internal
consultants, newsletter editors, electronic conference board sponsors and other employees to
continuously improve the means for capturing, disseminating and sharing information on
benchmarking and best practices.
Performance indicator
Quality Services - Guide VIII - Benchmarking and Best Practices
•
benchmarking and best practice users' satisfaction level with the number and quality of
the practices being shared and with their ability to use, contribute to and benefit from
the means used for sharing
C. Workplan element
Identify high-profile benchmarking and best practice pilot projects to demonstrate process
effectiveness, which will foster use and support.
Performance indicator
•
number and quality of benchmarking and best practice projects successfully completed
D. Workplan element
Building benchmarking and best practice sharing into management training opportunities.
Performance indicator
•
user assessments of the relevance of training and consulting services provided
STRATEGY 3
Assess progress in implementing benchmarking and best practice sharing and continuously
improve benchmarking and best practice processes.
A. Workplan element
Assess the effectiveness and efficiency of the different means for benchmarking and best
practice sharing, and of improvements to operational results.
Performance indicators
Quality Services - Guide VIII - Benchmarking and Best Practices
•
service delivery improvements, such as reduced costs, shorter cycle times and
resources savings that result from applying best practices and benchmarking processes
•
number and scope of successful benchmarking and best practice projects implemented
by each organization
B. Workplan element
Continuously improve ways to capture, disseminate and share benchmarking information and
best practices to improve results and to sustain their use.
Performance indicators
•
users' satisfaction levels and number and quality of suggestions to improve
benchmarking and best practice databases and means for sharing
Tools
The following tools will be developed to help organizations use benchmarking and best
practices:
•
a two- to three-page "how-to" guideline for incorporating benchmarking and best
practices into strategic and annual business plans;
•
a "how-to" benchmarking kit, which will include:
- visual models
- a flowchart of the benchmarking process
- guidelines on when and how to use benchmarking
- information on benchmarking conduct and protocol
Quality Services - Guide VIII - Benchmarking and Best Practices
- resources
- benchmarking of best practices;
•
a "how-to" kit on best practices, which will include:
- a broader explanation of best practices
- information on available media
- recommendations for improvements (e.g. government-wide sharing)
- information on Quality Services strategies that incorporate benchmarking and best practices;
and
•
a reference list of benchmarking and best practice publications and resources.
Quality Services - Guide IX – Communications
Quality Services - Guide IX – Communications
Introduction
The purpose of this guide is to provide advice to departments wishing to incorporate key
quality services messages into their departmental communications planning process. Doing so
will clearly demonstrate senior management's commitment to such an initiative, help garner
employee support, and develop an environment in which quality service flourishes over the
long term.
Strategic Considerations
The government's strategic intent is to show that taxpayers are getting value for money and
that Public Service employees are competent and dedicated to delivering quality service.
The framework for the quality services initiative provides for phased-in implementation.
Departments should build on the numerous "quality" achievements already in place and should
tailor the initiative and its related communications strategy to their particular needs.
Quality service both depends on and contributes to employee satisfaction. Front-line
employees are the key link in developing and implementing quality services.
Employees, clients and stakeholders are sceptical about new jargon (e.g., "quality,"
"continuous improvement") and grand promises in this era of severe cutbacks.
Strong executive leadership is essential to the success of the quality services initiative, but
departments should also clearly identify responsibility centres within their organizations to
ensure long-term sustainability of the initiative.
Senior managers are expected to provide training, give employees authority and decisionmaking capabilities, and to help employees manage risk and innovate.
Quality Services - Guide IX – Communications
Based on client consultation, departments would try to effect cultural change within their
organizations, then they would concentrate on measures to promote employee achievements
externally.
It is clearly understood that there are already a large number of qualified and knowledgeable
Public Service employees providing quality services to Canadians. However, this
communications framework recognizes that, because the Public Service is vast and different
departments are at different stages in their quality services initiatives, there is always room for
improvement in the area of quality services.
Departments will be required to include quality services initiative elements in their
departmental Business Plans and Outlook documents beginning in 1996/97. Communications
activities should support this.
Target Audiences
A number of groups and individuals have a direct influence on the success of a quality services
initiative. Key players include target audiences (listed below), Treasury Board, Public Service
communicators and their professional groups, and quality service associations.
Target audiences are:
•
all employees
•
managers
•
clients and stakeholders
•
ministers
•
deputy ministers
•
headquarters and regional executives
•
the Interdepartmental Quality Network
•
unions
•
media
•
other levels of government
Quality Services - Guide IX – Communications
Objectives of a Quality Services Communications Strategy
The strategic intent is to promote quality services and continuous improvement by:
•
motivating senior management to actively support the quality services initiative;
•
positioning the quality services initiative to ensure employee satisfaction;
•
encouraging departments to communicate real successes over the long term (i.e., best
practices); and
•
supporting the critical components of the quality services initiative.
Departments should strive to meet these objectives by:
•
outlining the present environment to help management and staff understand this
initiative;
•
consulting with employees and making them part of the process to develop quality
services;
•
identifying solutions to implementation problems and proceeding at their own pace;
•
demonstrating senior management leadership and commitment;
•
explaining the advantages of quality services to all parties, including the entire
organization, senior managers, clients, stakeholders, staff and managers;
•
explaining the link between quality services and employee satisfaction;
•
using champions, spokespeople and leaders among employees;
•
recognizing and publicizing the work of Public Service employees and the value of
quality services as well as existing operations that have been focusing on client
satisfaction;
•
sharing best practices at every level of government; and
•
using incentives and rewards.
Key Themes/Messages To Be Communicated
Quality depends on people
Quality Services - Guide IX – Communications
•
Public Service employees are dedicated to providing Canadians with quality services.
•
Quality means continually building employees' knowledge and skills, because
employees are key to quality service. Employees should have the tools they need including strong management support - to meet the changing needs of the clients they
serve.
•
Clients are the best judge of the quality of the government services they receive and
their input is invaluable for quality service delivery.
•
Services should be designed and delivered with clients in mind.
Getting government right
•
Canadians want a government that is affordable, accessible and responsive.
•
Public Service employees are committed to delivering affordable government programs.
•
Quality service is fundamental to getting government right. The government's
challenge today is to deliver quality services while making the best use of taxpayers'
dollars.
Alliances for action
The government wants to work with unions to implement this initiative. Quality services
come from employees and are supported from the top. Union members will benefit
from this initiative because their job satisfaction will increase.
Continuous improvement
The Government of Canada is committed to offering Canadians quality services that
continue to change with the times.
To that end, the Government is building an environment that encourages both
continuous learning and ongoing improvement in quality services.
Approach To Communicating Messages
Quality Services - Guide IX – Communications
The current environment includes internal uncertainty due to Program Review and job losses,
and increasing external demands for affordable, responsive and accessible quality services. It
dictates a low-key approach with gradual demonstration of changes over time. Departments
should develop a two-pronged approach: internal communications activities and external
communications activities.
Make announcements only when real successes can be demonstrated. Communications should
stress that better, more efficient services result from quality initiatives. Those announcements
could focus on departmental implementation activities related to the Quality Services series of
guides.
Possible Vehicles For Communication
Internal newsletters
Staff magazines
Articles for outside publications
Departmental e-mail, including e-mail from DMs
The Internet
TB RésSourceNet
Rewards and incentives
Site visits and open houses
Promotion of success stories
Employee champions and spokespeople
Letters to stakeholder groups
Speakers' bureau
News releases
Brown bag lunch sessions
Ministerial speeches
Evaluation Of Communication Effectiveness
Quality Services - Guide IX – Communications
You should assess the effectiveness of communications activities by measuring the results
obtained against the objectives outlined in your communications strategies.
Possible methods of assessment include analysis of consultation results, pre- and post-testing,
ongoing monitoring, assessment of correspondence, and client and employee surveys.
Suggested Communications Activities For Federal Departments/Agencies
This section sets out some timelines and ideas for communications activities to support quality
services initiatives across federal departments/agencies. Due to the wide range of
organizational structures, technological capabilities, and progress on quality services initiatives,
it is intended to serve only as a guide and perhaps to prompt other ideas/initiatives suited to
your organization. It is effective to have a "point person" who puts a face to quality services
initiatives for your department - someone staff can contact for information or feed information
to. Here are some examples you may wish to consider.
Ideas for Activities/
Details
Communications Tools
QUALITY MONTH (held
DM's e-mail re: Quality
Quality Month activities may be
each October)
services initiative activities
coordinated by the
(government-wide and those Interdepartmental Quality Network
specific to your department) (IQN) - membership from 150
Staff seminar on service
departments/agencies.
standards or other quality
Here are some highlights from
issues
Quality Month October 1995:
Outside speaker on quality
"Learning Event" held in Ottawa,
services (can link with other seminars free to all Public
departments)
Service staff. (Minister
Open house
Eggleton speaker at luncheon.)
Story in employee publication Letter sent to ADMs soliciting
focusing on success stories
departmental presentations.
Quality Services - Guide IX – Communications
Electronic bulletin board
(Sponsored by IQN, CCMD and TBS)
postings
Other initiatives: Excellence
Summit (Toronto), and Canadian
Quality Fair (Vancouver).
INITIAL LAUNCH (starts
DM's e-mail to introduce the Personalize it: how staff can be
end of October 1995
quality services initiative
and lasts 6 months)
involved, status of where
department is, awards and
recognition, training, employee
surveys, etc.
THEMES
Staff magazine articles
Introductory piece on quality
Training
services, examples of service
Quick hits
standards, profile of quality:
Service standards
services initiative
Employee surveys
'torchbearer(s)' in your
department, how your department
pursues continuous learning and
training initiatives, etc.
Electronic bulletin board
Post success
postings (departmental)
stories/complimentary letters
from clients (with permission).
Internet listings A TBS group will put up on the TBS Home Page an "Innovative and Quality
Exchange" which will contain specific quality service initiatives. The Exchange will allow for the
sharing of best practices across federal, provincial, and municipal levels. Contact your quality
services representative for details/information or Adel Shalaby at TBS (613) 957-2493.
News releases/media relations Include a quality services message where applicable.
Communicate service standards, where possible. Mention 'quick hits' -- when progress in
service to the public has been made and can be shown. Announcement (if applicable)
Quality Services - Guide IX – Communications
Departments need to publish service standards by end of 1995-96 for key services important
to Canadians. Minister's speeches Include quality services message, where applicable. Identify
'quick hits' mentioned above. DM's/senior managers' brown This depends on willingness of bag
lunches/meetings senior management to pursue this option, face-to-face can be a very
effective tool. Employee and client surveys on Publicize results. quality services/management
techniques, etc. INTEGRATION (first 18 months) THEMES Communications with NGOs, Three
five-year quality service Broad based stakeholders (i.e., improvement plans integrated into
implementation introductory letters) departmental Business Plan, Change to starting with
spring 1996 accountability Business Plans.
Measure continuous Minister's speeches Focus on projects for improvement improvements in
client (if applicable) and report satisfaction in improvements, results of ongoing delivery of key
client consultation re: services. services News releases as appropriate (general quality message
to be included) Announcements as appropriate Employee and client surveys publicize results Email (DM's) special announcements Internet see Phase I Electronic bulletin board information
sharing (departmental) Articles in staff publications status information/training
opportunities/employee awards and recognition Articles in other publications success stories/
(i.e., private sector, cooperation/client provincial/municipal, NGOs) satisfaction, etc.
Awards/Recognition ceremonies employee recognition FULL IMPLEMENTATION (18 months to
3 years) THEME Changes to Policies Media relations Identify concrete examples of See Phase I
and II sections improved service to Canadians, above for activities/tools to publicize results of
surveys use. indicating change.
Quality Service - Guide X - Benchmarking and Best Practices: An Update
Quality Service - Guide X - Benchmarking and Best Practices: An
Update
1. The Time is Now!
Quality is Everyone's Business
Federal departments, agencies, and Crown corporations must provide Canadians with quality
services despite significant fiscal restraints. To remain viable, public service organizations must
create corporate cultures that value leadership, encourage client and employee involvement,
and continuously improve services, work processes, and management practices. In recent
years, public service organizations have initiated many changes. A sampling includes:
•
Human Resources Canada, through its Income Security Programs Redesign Projects,
will save $40 million annually by computerizing employee access to client files.
•
Revenue Canada worked with importers to implement industry-tailored solutions
involving "electronic commerce", "streamlined reporting and release", "periodic entry
processing", "offsetting debits and credits", and other procedures. Companies estimate
they will save tens of millions of dollars over several years from these procedures.
•
Benchmarking initiatives in the United States have led to major improvements in the
services and products of such federal agencies as the Census Bureau, Internal Revenue
Service, and the Department of Energy's Office of Environmental Management.
•
A number of Canadian government departments, agencies, and Crown corporations
have initiated benchmarking processes, including AECL, TBS, CIDA, PWGSC, Health
Canada, and Citizenship and Immigration Canada.
Many departments and organizations, after restructuring and downsizing, are trying to regain
momentum. They are looking for ways of providing quality services while systematically
managing change and continuous improvement, objectives aligned with the government-wide
quality services initiative.
Quality Service - Guide X - Benchmarking and Best Practices: An Update
Quality Services and Treasury Board Secretariat Expectations
The aim of the quality services initiative is to create the conditions for employees to respond
better to Canadians' demands and help to rebuild public confidence in the federal
government.[1] Starting in 1996, departments will be required, in their Business Plans, Outlook
Documents or Estimates, to report on measured improvements to client satisfaction and on
their quality service plans. As part of the government's renewed expenditure management
system, the Treasury Board Secretariat is also requesting that departments define expected
results in their business plans, then report on performance. It is no longer sufficient to ask
how well a program is performing; departments must now demonstrate their "value-added
accomplishments".[2]
The Benefits of Benchmarking and Best Practices Sharing
With constant pressures to improve services, resource use, delivery times, and overall
operational efficiency and effectiveness, Benchmarking and Best Practices Sharing are
increasingly being accepted as powerful and useful organizational change tools to be used as
part of a planned approach to improving service quality.
Benefits of Benchmarking
Benchmarking may
•
improve strategic planning;
•
provide assessments of the strengths and weaknesses of the current core business
processes and related critical work processes;
•
foster organizational methods and practices;
•
lead to significant cost savings, and improvements to products, services and business
processes by comparing and adapting current methods and practices to those identified
as "best practices";
Quality Service - Guide X - Benchmarking and Best Practices: An Update
•
foster and sustain an improved organizational capacity to successfully implement
quality and process improvement initiatives.
Benefits of Best Practices Sharing
Best practices sharing may
•
educate leaders and employees of new possibilities;
•
improve management practices, work processes and services;
•
accelerate continuous improvement;
•
promote networking;
•
stimulate others to action;
•
minimize "re-inventing the wheel";
•
recognize creative leaders, employees and teams.
A Practical Kit
This guide should help you integrate these management change tools in your organization.
Following this introductory section are:
Section 2: Benchmarking - what it is; how it is used
Section 3: Best Practices Sharing - Some Points To Ponder
Section 4: Launching initiatives
Appendix A: 34 examples
Appendix B: Names of useful contacts; invitation to share your best practices
Appendix C: Bibliography
Appendix D: Benchmarking and Best Practices Sharing Team
Endnotes
Quality Service - Guide X - Benchmarking and Best Practices: An Update
2. Benchmarking
"Benchmarking is the practice of being humble enough to admit that someone else
is better at something and wise enough to try and learn how to match and even
surpass them at it."[3]
Benchmarking In The Federal Public Service
Formal benchmarking is the continuous, systematic process of measuring and assessing
products, services and practices of recognized leaders in the field to determine the extent to
which they might be adapted to achieve superior performance. Some features of formal
benchmarking, namely determining a strategic orientation, goal setting, performance
measurement and best practices sharing, are integral to how federal departments, agencies
and Crown corporations have operated for years. It is a legacy to build on. The challenge is to
take advantage of the tremendous potential of systematically benchmarking the best practices
of public service and industry leaders and to incorporate them into business strategies,
management practices, work processes and services.
Some North American private and public organizations have adopted benchmarking and have
realized significant improvements in processes, quality service, customer satisfaction,
employee performance and reduced costs by learning from others and acting on the
knowledge they have gained through the process.
Two Levels Of Benchmarking
Strategic Benchmarking is using best practices to develop corporate, program, product
strategies and results. It includes:
•
the strategic study of the characteristics of effective continuous improvement strategies
of public and private organizations, of change processes, of leadership styles, etc. to
establish a vision, strategies, leadership competencies, client benefit results;
•
specific studies of the strategies and approaches of high performing organizations;
Quality Service - Guide X - Benchmarking and Best Practices: An Update
•
studies of trends and orientations as guides to action, e.g., technological trends.
Operational Benchmarking is assessing and implementing the best practices of industry or
public service leaders to improve processes to the extent possible to meet organizational goals.
It includes:
•
creating awareness and support at the senior executive level, and establishing
dedicated benchmarking resources;
•
building benchmarking into business planning and continuous improvement;
•
establishing operational performance levels to sustain competitive advantage;
•
using a systematic, multi-step benchmarking process to improve business and work
processes, and internal and external customer satisfaction.
Performance Measurement
Benchmarking is an integral component of a performance management process, where the
relative comparisons to the benchmarks become some of the indicators for performance. It
involves the establishment of service standards, performance levels, performance indicators,
baseline measurements or benchmarks as comparisons against which to measure future
performance, within or outside the organization, to sustain competitive advantage and to
encourage or force improvement.
Performance measurement may include:
•
a qualitative or quantitative comparison of performance with other parts of an
organization or against other organizations, and
•
time lapse data which indicate improvement or deterioration (e.g. year over year).
Quality Service - Guide X - Benchmarking and Best Practices: An Update
Once internal benchmarks have been determined, organizations involved in benchmarking then
seek out industry or public service leaders to make comparisons and to implement best
practices.
Finding A Benchmarking Partner Or Partners
When looking for industry or public service leaders to partner with, an organization will make
one of four types of comparisons; it will make an internal comparison, benchmark with a
competitor, benchmark along functional lines, or benchmark generically:
•
Internal benchmarking
Comparisons within the Public Service e.g., Revenue Canada's audit process compared
to the Auditor General's process
•
Benchmark with a competitor
Comparisons between direct competitors e.g., Ford's automobile design process
compared to General Motor's process
•
Functional benchmarking
Comparisons between functions inside and outside the Public Service e.g., AECL's
library function compared to Weyerhaeuser's library function
•
Generic benchmarking
Comparisons to "unrelated" organizations known for innovation e.g., Xerox
benchmarked L. L. Bean's product distribution process
The Steps To Benchmarking
The American Society of Quality Control (which set up the International Benchmarking
Clearinghouse) and many consulting firms offer training in benchmarking models, tools and
techniques. Xerox, Price Waterhouse, McKinsey and AT&T are among many firms which have
Quality Service - Guide X - Benchmarking and Best Practices: An Update
spun off benchmarking groups as a result of their own experience. While the models may vary
in their design and emphasis, they are all fairly similar.
Generic Steps to Benchmarking:
1. Identify management practice, work process or result to be improved.
2. Analyze your practice, flowchart process or identify results indicators.
3. Measure your own performance.
4. Identify benchmarking partners.
5. Determine data collection method.
6. Collect data.
7. Determine performance gap.
8. Project future performance.
9. Develop action plan.
10. Implement action plan.
11. Monitor results.
12. Recalibrate benchmarks (Repeat process ...).
Possible Costs Of A Benchmarking Study[4]
•
Benchmarking Team (5-7 people, one day per week)
•
Study Duration (3-12 months average, 6 months is typical)
•
$35-70,000 is typical (excluding implementation)
3. Best Practices Sharing
Quality Service - Guide X - Benchmarking and Best Practices: An Update
"The characteristic that sets apart companies that achieve high levels of customer
satisfaction is their willingness to learn from - and share with - others. They "steal"
shamelessly and share openly because they have learned how valuable that
process is."[5]
Best Practices Sharing In The Federal Public Service
Best Practices Sharing involves the capture, dissemination and sharing of a work method,
process, or initiative to improve organizational effectiveness, service delivery and employee
satisfaction. Federal government departments, agencies, and Crown corporations have a long
history of defining needs, measuring performance, adapting and sharing best practices to
ensure quality service. This legacy of informally benchmarking a management practice,
process or service, and then applying a best practice, is a foundation to build upon to promote
a wider sharing of best practices, and to apply formal benchmarking leading to the major
improvements needed to meet present challenges.
The possibility of involving all employees in the sharing of best practices as part of continuous
improvement initiatives, which include informal and formal benchmarking, is fast becoming a
reality. This is due to the emergence of a wealth of information sources, namely: departmental
and Treasury Board Secretariat data bases of best practices, the Canadian Centre For
Management Development (CCMD) data bases of research and best practices; and the
opportunity to economically access information electronically through the InterNet (and World
Wide Web) and 1-800 numbers. Vigorous leadership is needed now to regain momentum lost
during major restructuring efforts, to adopt systematic improvement approaches such as
formal benchmarking, and to share and implement best practices to ensure optimum
organizational effectiveness, quality service, and employee satisfaction.
Best Practices Sharing should be:
•
widespread:
o
face-to-face, on paper and electronic;
Quality Service - Guide X - Benchmarking and Best Practices: An Update
•
o
within teams, departments, the federal Public Service, Canada, the world;
o
available to employees at all levels in the organization;
effective:
o
to systematically improve service, processes, client and employee satisfaction;
o
by briefly describing the practice and results, and designating an accessible
contact person;
o
by leaders, trainers, facilitators and employees supporting best practices
sharing;
o
by taking full advantage of present and future technological possibilities.
There are many examples of the face-to-face, paper and electronic sharing of best practices in
Appendix A and descriptions of how best practices sharing is being improved or supports
continuous improvement. These examples are listed under "Best Practices Sharing Examples",
with the names and telephone numbers of contact persons. Additional contacts are listed in
Appendix B.
Some Points To Ponder
1. What is the most effective way of sharing best practices? Staff say orally - in meetings
or other face-to-face fora, where participants can hear of a practice, pose questions,
discuss pros and cons and agree on a course of action.
2. Why do some leaders allege that it is difficult to provide meaningful recognition to
employees? Encouraging and championing employees' suggested improvements is one
of the most powerful forms of recognition available.
3. Why are yesterday's "heresies" today's best practices (e.g., telework, flexible working
hours, hotelling, benchmarking, client and employee surveys, client consultations,
sharing best practices)?
Quality Service - Guide X - Benchmarking and Best Practices: An Update
4. Given the benefits of best practices sharing, why aren't more organizations doing it
better and more systematically?
4. A Systematic Approach
Why Is It Important?
As part of its quality services initiative, the Treasury Board Secretariat is fostering a
government-wide use of benchmarking and best practices sharing. This section describes what
is involved in "initiating", "supporting" and "sustaining" benchmarking and best practices
sharing.[6] You should adapt the advice to your own department's situation.
What's Involved?
The success of benchmarking and best practices sharing depends on senior executive
leadership. That leadership will foster a common understanding of what benchmarking and
best practices sharing means and its implications for the organization. It will also produce
commitment to the concept, thereby sustaining and supporting employees and managers
involved in benchmarking and best practices sharing to generate continuous improvements. To
do this, the senior executive team must:
•
engage (perhaps using a facilitator) in a free and open exchange on the subject of
benchmarking and best practices sharing; and agree on what these are, what they can
do, costs and expected benefits, and what executive decisions are needed to make
them happen;
•
entrench benchmarking and best practices sharing in the organization's planning,
performance processes and management practices;
•
commit the necessary resources to develop and train managers and employees to be
involved in benchmarking and best practices sharing;
•
designate a member of the senior executive team to manage the initial efforts of the
organization in implementing benchmarking and best practices sharing;
Quality Service - Guide X - Benchmarking and Best Practices: An Update
•
select an area, product, service, or system in the organization that is likely to benefit
quickly from a benchmarking exercise;
•
determine how to promote benchmarking and best practices sharing throughout the
organization by all practical means.
How To Initiate The Process
Establishing a context and a strategy statement
When benchmarking and best practices sharing are introduced into an organization, employees
need to know where they fit within the existing quality and process improvement initiatives.
Developing strategy statements helps legitimize their use.
Strategy 1:
To continuously improve client satisfaction and operational results by focusing benchmarking
efforts on finding and implementing best practices in core business and work processes.
Strategy 2:
To share best practices throughout the organization to educate staff, accelerate continuous
improvement, enhance communications and promote networking.
Creating the environment and setting expectations
For benchmarking and best practices sharing to take root, management must create an
environment where there is a greater incentive to use the tools than to ignore them. This can
be done by recognizing improved levels of client satisfaction and operational results from
benchmarking and best practices sharing exercises. Embedding these process improvement
tools in the annual business plan will also help ensure their use.
Providing management awareness training
Managers must know what benchmarking and best practices sharing are, so there is consistent
implementation. Best practices sharing frequently means being involved with groups like the
Quality Service - Guide X - Benchmarking and Best Practices: An Update
Interdepartmental Quality Network, the Ottawa Benchmarking Forum, or becoming used to
accessing and contributing to departmental and other electronic best practices data bases.
Competency in benchmarking can be obtained from training courses, seminars and
conferences, articles and books, and networking with benchmarking practitioners.
Focusing activities
Most organizations designate a person or small group to ensure successful implementation of
benchmarking and best practices sharing. This minimizes the risk that similar internal groups
will ask the same organization for the same kind of information. Smaller organizations could
assign this task to the person responsible for implementing the overall quality initiative. The
group or person responsible for quality, benchmarking and best practices sharing should:
•
understand how best practices are shared, and the benchmarking process;
•
apply benchmarking and best practices sharing in a consistent manner;
•
establish and manage the user network;
•
establish contacts and a best practices data base;
•
provide training and technical support, as required.
Developing guidelines
Senior management should ensure that benchmarking and best practices sharing guidelines
are prepared for managers and staff. These guidelines should become the standard
procedures for implementing benchmarking and best practices sharing activities. The
guidelines usually outline the "what" and "how" of benchmarking and best practices sharing.
They should also include details about visit protocols, information sharing and the ethical,
legal, and non-disclosure considerations related to benchmarking.
Establishing an internal network
Quality Service - Guide X - Benchmarking and Best Practices: An Update
Most organizations form formal or informal networks between their functional or crossfunctional benchmarking and best practices sharing representatives. These serve to source and
update activities in these areas. They also fulfill the need to disseminate information and
requirements throughout the organization. They can also help spread the word on
benchmarking and best practices sharing.
How To Support The Process
Identifying champions and process owners
Most organizations need champions for major change initiatives. The champion's role should
go beyond sponsorship to one of advocacy by challenging the leaders of the organization to
aggressively pursue the use and resulting benefits of benchmarking and best practices sharing.
The champion should also be an advocate for focusing benchmarking activities on the
organization's key ten to fifteen business processes. The champion should ensure that the key
business processes are identified, prioritized, and benchmarked against the best processes of
industry or public service leaders. Experience shows that the highest payback comes by
applying benchmarking and introducing the best practices of industry leaders to these
processes. In addition to champions, each process is usually assigned a "process owner".
Senior level process owners are in the best position to commission teams to implement
benchmarking studies on behalf of process clients/customers.
Commissioning teams
Experience shows that benchmarking teams function best with six to eight people. It is
necessary that all team members should know the process being examined, however some
team members should have operational experience. To maximize innovation, teams should
also have at least one "blue sky" thinker and/or someone familiar with present and future
information technology tools and techniques. Team members should possess analytical,
research, problem-solving, process improvement, and project management skills. Teams
Quality Service - Guide X - Benchmarking and Best Practices: An Update
should use an accepted benchmarking process model and protocols in order to ensure project
success.
Providing team members skills training
Over and above team skills such as project management, problem-solving, and process
improvement, team members need to understand:
•
what benchmarking and best practices sharing are;
•
how they fit into the quality process;
•
what the benchmarking process and protocols are;
•
who to partner with (benchmarking);
•
how to gather and process information;
•
how to plan and manage a best practices sharing or benchmarking study;
•
how to implement process change.
Following an accepted benchmarking process
There are a number of well tested multi-step processes that have supplied their users with
successful results. Experienced practitioners understand the need for consistent, replicable
results derived from a standard way to conduct studies. A standard process ensures credibility
in comparison and consistency in results.
How To Sustain The Process
Executive management roles and responsibilities
Executive management roles and responsibilities include:
Quality Service - Guide X - Benchmarking and Best Practices: An Update
•
advocating the importance of benchmarking and best practices sharing;
•
integrating benchmarking and best practices sharing with current management
practices;
•
focusing benchmarking and best practices sharing on strategic business and work
processes;
•
commissioning benchmarking teams;
•
using leadership and employee involvement to foster organizational learning through
process comparison, either internally or externally;
•
building high-level contacts with potential benchmarking partners through corporate
memberships, councils, associations, etc.;
•
leading, sponsoring and providing resources for benchmarking and best practices
sharing initiatives;
•
championing breakthrough changes;
•
rewarding and recognizing results from benchmarking and best practices sharing.
Middle management roles and responsibilities
In addition to some of the roles and responsibilities shared with executive management,
middle managers must:
•
provide resources for benchmarking training and facilitation;
•
champion and participate in benchmarking and best practices sharing;
•
follow a structured approach to benchmarking studies;
•
coordinate benchmarking initiatives across functional and cross-functional processes;
•
monitor the progress of benchmarking and best practices sharing projects;
Quality Service - Guide X - Benchmarking and Best Practices: An Update
•
inform executive management of progress and results.
Team leader roles and responsibilities
Benchmarking team leaders must:
•
understand and follow the accepted process and protocols;
•
form teams with the skills needed to complete studies successfully;
•
keep sponsors and champions informed about team progress;
•
document and disseminate the results of benchmarking throughout the organization;
•
lead or be a team member of "new" process implementation teams.
Communicating successes
The sharing of best practices and case studies expands and intensifies buy-in and commitment
to continuous improvement and benchmarking, recognizes achievement and stimulates others.
Showcasing success stories can be done in many ways, including:
•
reporting results in business plan reviews;
•
creating formal benchmarking/best practices data bases;
•
including them in employee newsletters and management meetings/updates;
•
reporting results at internal/external seminars;
•
organizing formal and informal reward and recognition events;
•
using an internal network of benchmarking sponsors, champions and team members.
Introducing benchmarking and best practices sharing is an important change for many federal
government departments. Therefore, managers have to structure an initiative, get the buy-in
Quality Service - Guide X - Benchmarking and Best Practices: An Update
and commitment from leaders, and make sure a communications strategy is planned before
actually getting into the "how-to" aspects of the process.
Get Involved!
It is through the active involvement of leaders and employees working together to learn about,
share and implement best practices; and using a systematic improvement approach, including
formal benchmarking, that organizations learn, improve, and achieve excellence. Good luck in
your journey of exploration, discovery, development, and evolution. This Guide will be revised
as we continue to share additional knowledge, tools, techniques, and practices.
BE AWARE - COMPARE - SHARE - GET THERE
Quality Service - Guide X - Benchmarking and Best Practices: An Update
APPENDIX A
TABLE OF CONTENTS
Examples of Benchmarking and Best Practices Sharing
A. Benchmarking Examples
Strategic Benchmarking
1. Benchmarking Trust (Public Service Commission)
2. Benchmarking Change (CCMD and The Conference Board Of Canada)
3. Corporate Development Strategy (Revenue Canada)
4. IBM's Approach To Benchmarking (IBM Canada)
Operational Benchmarking
5. Library Systems Benchmarking Project (Atomic Energy Canada)
6. Internal Benchmarking Task Analysis Reviews (Transport Canada)
7. International Benchmarking - Trade-mark Processing (CIPO)
Performance Measurement
8. Performance Benchmarking (Revenue Canada and IRS)
9. Change Initiatives - Measuring Local Progress (Revenue Canada)
10. A Framework For Benchmarking IT Applications (Revenue Canada)
11. Two Industry Examples (Boulangeries Weston and Ault Foods Limited)
B. Best Practices To Learn From /
Benchmark Against
Quality Service - Guide X - Benchmarking and Best Practices: An Update
12. Mail-in Program To Replace Interviews (Citizenship & Immigration)
13. Quality Management Program (Fisheries and Oceans)
14. Grants and Contributions Management (Health Canada)
15. METS Process Improvement Teams PIT Kit (Natural Resources Canada)
16. Payment Authorization Centre (Province Of Quebec)
17. New Business Relationship (Revenue Canada)
18. Supporting Volunteers Serving Canadians (Revenue Canada)
19. Consolidating Revenue Canada (Revenue Canada)
20. Tax Information Phone Service (T.I.P.S.) (Revenue Canada)
C. Best Practices Sharing Examples
21. Maximizing Electronic Mail For Sharing (Citizenship & Immigration)
22. The IPAC Collection (CCMD)
23. Improving Communications Using Best Practices (Revenue Canada)
24. Internal Electronic Sharing (Revenue Canada)
25. Using Newsletters To Share Best Practices (Revenue Canada)
26. Best Practices Fair (Revenue Canada)
27. Innovation And Quality Exchange (Treasury Board Secretariat)
28. HR ConnEXions (Treasury Board Secretariat)
29. Interdepartmental Quality Network (Treasury Board Secretariat)
30. Transformation Newsletter (Treasury Board Secretariat)
31. Improving The Employment Situation Of Employment Equity Target Groups (TBS)
32. Electronic Registries To Track Progress / Best Practices (CMHC, IRS)
33. Sharing Best Practices To Continuously Improve (General Electric)
34. Re-engineering With Love (Corning)
A. BENCHMARKING EXAMPLES
Quality Service - Guide X - Benchmarking and Best Practices: An Update
Strategic Benchmarking:
1. Benchmarking Trust (Public Service Commission - PSC)
The PSC benchmarked how 9 successful manufacturing & service organizations built trust.
Building trust revolved around 5 principles and sets of supporting actions including employee
participation in decision-making processes, autonomy, feedback, supportive supervisor
behaviours and open communications. Conclusions are in a monograph "Trust with
Organizations, Part 2 - Building Trust", available in a bilingual format.
Contact: Réal St-Amand, Public Service Commission, (613) 995-9269
2. Benchmarking Change (CCMD and The Conference Board Of Canada)
As part of an applied learning course on benchmarking, 30 senior managers benchmarked the
change management practices of 12 public and private sector corporations selected on the
basis that each had successfully managed a large-scale, planned change activity. It was done
under the auspices of the Canadian Centre for Management Development (CCMD) and the
Conference Board of Canada. A report is available titled "Meeting the Challenge: Managing
Change in the Nineties", which describes the principles underlying effective change
management practices; and identifies management competencies, attitudes and behaviours
essential to that process.
Contact: Barbara Wynne-Edwards, CCMD, (613) 953-4563
3. Corporate Development Strategy (Revenue Canada)
Revenue Canada had many improvement initiatives prior to the consolidation of the Customs &
Excise, and Taxation components in 1993. A Strategy was developed to build on progress and
to reinforce consolidation. It includes flexibility to use best practices from within the
organization & elsewhere. Some next steps are senior mgt. accountability for implementation;
an implementation plan that includes info. sessions, internal consultants and facilitators, etc.
"A Guide To Managing Corporate Development" is being prepared which has strategies,
practices, contacts, guidance on goal setting, planning, measuring results and following up.
Quality Service - Guide X - Benchmarking and Best Practices: An Update
Contact: Dorothee Bouwhuis, Corporate Development Division, (613) 954-6086; Bruce
Lawrence, Corporate Development Division, (613) 954-6085; Bruce Veinot, Corporate
Development Division (613) 957-3695
4. IBM's Approach To Benchmarking (IBM Canada)
In the early 1990s, surveys showed customer satisfaction had dropped. IBM Canada suffered
large losses. Yet by 1995 customer satisfaction had returned: the company was reporting $10
billion in revenue and was profitable. IBM did this through benchmarking. The company
measured itself against various models to come up with the "Best of the Breed" (BoB)
competitors in each of market segments. Five items became part of its two-year
transformation agenda: clear market segmentation, process re-engineering, best customer
value, development of highly skilled teams, and enablement (empowerment) of staff.
As a result of this initiative, IBM experienced massive restructuring. It eliminated management
layers and reorganized into small operating units. It got out of many business lines. Eleven
basic processes were reevaluated. It set some performance improvement targets as high as
200 per cent. Two levels of authority were dropped. It revamped the corporate culture to take
risks, be responsive, and faster paced.
Contact: Bob Mornan, General Manager for the Public Sector (613) 788-6071
Operational Benchmarking:
5. Library Systems Benchmarking Project (Atomic Energy Canada)
The Technical Information and Services Division used a formal benchmarking process to
compare their costs, processes and strategic plans with those of 5 private sector, high-tech
organizations. The results included:
•
wider and quicker access to research information by using a single information
technology system;
•
library services more closely integrated with R&D customers;
Quality Service - Guide X - Benchmarking and Best Practices: An Update
•
library processes refined to improve cycle times.
Contact: Mike Luke, Whiteshell Labs, Pinawa, Manitoba, (204) 753-2311, extension 2484
6. Internal Benchmarking - Task Analysis Reviews (Transport Canada)
Transport Canada believes in a rational, customer focused approach to maximizing resource
utilization and program effectiveness. One means is to have internal mgt. consultants conduct
comparative "task analysis reviews" with field managers of like programs. Similar reviews are
done for a HQ function except that a "Customer Satisfaction Survey" is given to field users of
HQ products / services as the basis to prepare an "importance/satisfaction" grid for the
elements surveyed. Both the field and HQ reviews result in the benchmarking of resource use
compared to performance by activity, a rational basis for making resource & program
decisions, the identification of (internal) best practices to make improvements and a facilitated
workshop where managers present data, discuss findings and take action.
Contact: Bill McCullough, DG, Mgt. Consulting Services, (613) 993-7412; Nick Heley, Chief,
Management Practices, (613) 990-3421
7. International Benchmarking - Trade-mark Processing (CIPO)
As part of its Client Service Improvement Program, the Trade-mark Branch of the Canadian
Intellectual Property Office (CIPO) has started a benchmarking initiative with the trademark
offices of the United Kingdom, Sweden and Australia. The initiative will focus on the key
processes involved in the prosecution of trade-mark applications and trade-mark assignments.
It will determine and compare application volumes, processing times, output quality,
technology environments, human resources and costs. It is the intention of the Branch to
identify and adapt best practices wherever possible in order to continue to improve the level of
service to its clients.
Contact: Barbara Bova, Director, Trade-marks Branch, (819) 997-2423
Quality Service - Guide X - Benchmarking and Best Practices: An Update
APPENDIX A (cont'd)
A. BENCHMARKING EXAMPLES (cont'd)
Performance Measurement:
8. Performance Benchmarking (Revenue Canada and IRS)
Revenue Canada: The Department has published service standards for several of its services.
It continues to develop new standards as part of a broader approach to provide informative,
transparent & quality services. For many years the Department has produced statistics on the
quality and quantity of production, at a program level, for offices involved in income tax
activities. Year over year data is used as benchmarks to report results.
IRS: The Internal Revenue Service of the United States has applied performance
benchmarking in their Tax Processing Centers. As tax forms were processed, results were
posted in each Centre on bulletin boards so that staff could see performance comparisons of
each of the other centres for the same work and with previous year's performance.
Contacts: Bruce Lawrence, Corporate Development Division, (613) 954-6085; Teresa Errett,
Corporate Development Division (Service Quality), 952-7098
9. Change Initiatives - Measuring Local Progress (Revenue Canada)
Some offices hold a 3-day, facilitated workshop to assess progress implementing service
quality. Prior to the workshop, employees fill in a questionnaire on progress in improving
service, employee involvement, leadership, communications, work processes, etc., after 1-2
years of change initiatives. Employees are asked whether change occurred and the degree of
change in order to establish old and new benchmarks. The results are presented to workshop
participants (a cross-section of staff including management team members). It includes
progress and areas to work on, as a basis for immediate discussion and the development of
plans of action and follow-up.
Quality Service - Guide X - Benchmarking and Best Practices: An Update
Contacts: Bruce Lawrence, Corporate Development Division, (613) 954-6085; Dora Lee,
Management Consultant, HR Branch, (613) 998-5764
10. A Framework For Benchmarking IT Applications (Revenue Canada)
Cost and performance models are being developed for IT applications. The models will enable
work teams to benchmark the performance of each subsystem to the divisional and branch
averages. A first annual baseline assessment is nearing completion. The processes and
software tools needed for continuous metrics are being developed.
•
Subsystems in Production:
•
Subsystems performing in the top quarter can be examined for best practices; those in
the bottom quarter examined to determine root causes, estimate potential resource
recovery and make business cases for improvement.
•
Development of New Systems:
•
The business size of the specifications can be measured repeatedly through the
development cycle to manage the scope of work. The total cost and costs by stage can
be estimated and controlled throughout the project life cycle.
•
Analysis of Productivity Factors:
•
Trend analysis can be used to discover portfolio life cycle management strategies. Each
staffing tactic, work management method, quality management method, systems
development technique, technical tool, or technology can be benchmarked to branch
averages to discover its degree of positive or negative influence.
Contact: Watson Seto, Project Leader, ITB Metrics, (613) 954-6751
11. Two Industry Examples[7]
Quality Service - Guide X - Benchmarking and Best Practices: An Update
Boulangeries Weston Quebec
The nature of the business made identifying objectives and measures based on a quality
management program relatively easy. Accounting by activity was adopted to measure the
viability of each product and quality and performance standards such as rejection rate are
posted throughout the plant. The most important factor is that employees actually understand
the significance of these measures - that the profit lost due to the rejection of one loaf of
bread can only be recovered by producing 5 additional loaves.
Ault Foods Limited
Ault has applied a "Human Resources Index" to measure the value and quality of human
resources. The HR Index has been rigorously tested and Ault has demonstrated that there is a
significant relationship between index results and corporate performance at the operating
level. Management uses this tool as a measure of employee response to change initiatives and
as an indicator of the need for human resource management interventions.
B. Best Practices To Learn From / Benchmark Against
Departments, agencies and Crown corporations provided the following best practices to learn
from or use as part of a benchmarking initiative. These sample practices are intended as a
beginning and as a possible model for others who will contribute practices to future editions of
this Guide or to data bases like the Interdepartmental Quality Exchange and CCMD's
Management Resource Centre. Contacts for accessing these data bases are given throughout
this Guide and in Appendix B.
12. Mail-in Program To Replace Interviews For Inland Immigration (Citizenship and
Immigration)
A study showed that nearly 80% of the immigrant admissions workload was generated from
six categories of applicants from within Canada. Approximately 100 points of service existed
across Canada to handle applications, and staff members traditionally met applicants in an
Quality Service - Guide X - Benchmarking and Best Practices: An Update
interview setting. A "mail-in" processing project was started in April 1994 to replace the
existing processes. Two application processing centres were established: one in Vegreville,
Alberta, the other in Mississauga, Ontario.
Results:
•
The mail-in program reduced the points of service by nearly one-half.
•
Approximately 30% reduction in regional workload and operating costs was achieved.
•
The $12.5 million investment in the two processing centres will be paid back within two
years since the net result was to realize annual savings of $6.5 million.
•
A higher client satisfaction was recorded (e.g. shorter turn-around time).
•
A consistent quality of decision-making was achieved.
Contact: Peter Hill, Chief, Planning and Renewal, (819) 997-8174
13. Quality Management Program (Fisheries and Oceans)
Restructuring and downsizing were the major reasons for initiating a new inspection system. A
Quality Management Program (QMP) was implemented by the department in 1992. Members
of the fish products industry now are responsible for monitoring their own processes and
products while the department monitors the industry. The QMP involves a rating system
whereby plants with a history of high levels of compliance are monitored less frequently.
Results:
•
The number of plant inspections was reduced by more than 50%. Inspection efforts
are directed to areas that require closer monitoring.
•
Service standards (time frames) are monitored nationally for inspection activities.
•
The inspection system is highly regarded by others, meets various international
standards and maintains Canada's reputation for producing high quality fish products.
Quality Service - Guide X - Benchmarking and Best Practices: An Update
Contact: Vance McEachern, Inspection Directorate, (613) 993-6930
14. Grants and Contributions Management (Health Canada)
Health Canada has a goal to provide a uniform departmental Grants and Contributions (G&Cs)
delivery model to replace over 20 different forms and a variety of automated systems to track
applicants. In March 1995 a report was issued recommending:
•
finalize and adopt a generic application form & contribution agreement;
•
provide electronic access for clients to G&C application & program material;
•
integrate a hybrid shareware and off-the-shelf G&C applications;
•
set evaluative criteria and performance indicators.
Expected result:
The application processing time will be reduced and the approval process expedited.
Contact: Ottley Lacelle, Chief, Systems Development, (613) 952-9532
15. METS Process Improvement Teams PIT Kit (Natural Resources Canada)
The Mineral and Energy Technology Sector's PIT Kit is a guide to forming, leading and
participating in a process improvement team (PIT). Members of the METS Quality committees,
former PIT members and facilitators contributed to the development of this document. It
provides a wide range of information starting with what a PIT is all about, how and why it is
formed, what goes in a team's mandate, how to choose the members, what their role is, etc.
It also includes many practical techniques to use during their meetings, i.e. how to map a
process, how to conduct surveys, etc. Finally, this kit contains an inventory of PIT activities,
and a list of trained facilitators.
Contact: Gisèle Vazquez, TQM Office, (613) 992-6255
Quality Service - Guide X - Benchmarking and Best Practices: An Update
16. Payment Authorization Centre (Province of Quebec)
Quebec's "Centre d'autorisation et de paiement des services de santé Inc. (C.A.P.S.S.)" is an
electronic data interchange (E.D.I.) network for real-time transmission, validation,
authorization and payment of claims in the health care field in Quebec.
Results:
•
C.A.P.S.S eliminated the use of forms, centralizes and validates information, minimizes
the application process, time and costs; provides better levels of service; better control
over program access and payments;
•
Services are available in 95% of pharmacies throughout Quebec. There are 265,000
users and 6,600 businesses using the services of C.A.P.S.S.;
•
The audit function was eliminated and human resources reduced by 18%;
•
Pharmacists receive payments during same working day.
Contact: Johanne Brosseau, (514) 289-2842
17. New Business Relationship (Revenue Canada)
In an unprecedented partnership with Canadian business, the Department has been moving to
fundamentally alter the administrative procedures for importing commercial goods into
Canada. This effort has been complemented by extensive consultations with a cross-section of
businesses, trade associations and other government departments. The New Business
Relationship is designed to significantly reduce the costs and complexities of importing and to
facilitate the competitiveness of Canadian companies through concepts such as electronic
commerce, streamlined reporting and release, audit verification, and increased client
assistance. Companies estimate they will save tens of millions of dollars over the next several
years due to these tailored options and streamlined procedures.
Contact: Diane Tait, (613) 941-0096
Quality Service - Guide X - Benchmarking and Best Practices: An Update
18. Supporting Volunteers Serving Canadians (Revenue Canada)
The Community Volunteer Program is composed of volunteers who help the elderly, shut-ins,
the disabled, single parents, etc. complete income tax forms; people who might have difficulty
fulfilling their obligations and receiving their refunds. Revenue Canada supports volunteers
with training and instructional materials. It also surveys volunteers to gauge results and use
their comments to improve tax forms & procedures. For 1994, the 7,117 volunteers who
responded to survey (54%) said they helped over 200,000 people.
Contact: Monique Sike, Client Services Directorate, (613) 957-9370
19. Consolidating Revenue Canada (Revenue Canada)
Legislation was passed to enable the "consolidation" of Revenue Canada - Taxation and
Revenue Canada - Customs and Excise. Implementation was via an Administrative
Consolidation Project Team, regional project teams, office-level project teams, full-time coordinators, extended and extensive consultation with staff and internal clients, several models
of possible structures / territories / service models produced for management consideration.
Levels of internal administrative services were maintained and major savings realized.
Contact: Dorothee Bouwhuis, Corporate Development Division, (613) 954-6086
20. Tax Information Phone Service (T.I.P.S.) (Revenue Canada)
A country-wide telephone information line called the Tax Information Phone Service (T.I.P.S.)
features pre-recorded voice messages that provide clients with general and personal income
tax information. Clients identify themselves and request information using the keypad of their
telephone. T.I.P.S. provides clients with immediate answers to routine questions thereby
allowing enquiries officers to concentrate on answering the more challenging questions.
Contact: Darlene Ouellet, Client Services Directorate, (613) 957-2929
C. Best Practices Sharing Examples
Quality Service - Guide X - Benchmarking and Best Practices: An Update
In some of the following examples the ways best practices are shared (i.e., face-to-face, on
paper or electronically), are best practices themselves (e.g. Citizenship and Immigration's
"Maximizing Electronic Mail For Sharing"). In other cases the emphasis is more on a continuous
improvement process and the results of the best practices sharing (e.g., Revenue Canada's
"Improving Communications Using Best Practices").
21. Maximizing Electronic Mail For Sharing (Citizenship & Immigration)
Virtually all of our approximately 60 overseas and 100 Canadian offices are connected
electronically. What has emerged is that managers in these far flung offices have begun, quite
spontaneously, to use "E-Mail" to share information and best practices and to broadcast calls
for information and assistance to colleagues, 1 or 2 colleagues in some cases or a more
general broadcast for help in others. Usage of this practice is increasing because people are
seeing the obvious benefits, because they are getting used to networking electronically and
also because it makes sense to be seeking assistance and support during these periods of
rapid change.
Contact: None. It is like InterNet: self-managing and informal.
22. The IPAC Collection (CCMD)
CCMD is making available the Institute Of Public Administration Of Canada (IPAC) collection of
award applications. The several hundred IPAC applications provide information on
management practices at all levels of government. The collection is available for viewing at
CCMD.
Contacts: Margot Brown, (613) 996-6165, John Dingwall, (613) 995-6019
23. Improving Communications Using Best Practices (Revenue Canada)
Senior management and Revenue Canada's (10,000+) Audit community were looking for ways
of improving communications and auditor effectiveness. Each field and HQ office was asked to
form a committee of a cross-section of employees to report communication best practices,
barriers & recommendations. A report including the best practices was sent to the Audit
committees in each office for action. Most practices involved face-to-face contact with
Quality Service - Guide X - Benchmarking and Best Practices: An Update
opportunities to ask questions, comment, share and develop ideas, see the reaction of others,
etc. The leader's role in initiating and sustaining communication processes was stressed. There
were many examples of how leaders shared information, held effective meetings (town halls,
skip-a-step, team, cross-divisional, etc.), involved staff in problem solving and improving
services, championed staff ideas, empowered staff, etc.
Contacts: Barry Paulson, National VECR Committee, (613) 952-7426; Loretta Bemister,
National VECR Committee, (604) 666-8557; Marcel Ricard, National VECR Committee, (613)
941-0909
24. Internal Electronic Sharing (Revenue Canada)
Managers, trainers, consultants & team leaders wanted to electronically share the best
practices from Revenue Canada's change initiatives.
•
When 100 practices were written up, they were put on "conference boards".
•
Practices usually are on 1 screen, describe results, have a contact name and tel.
number.
•
Practices are grouped under Service and Organizational Development topics.
•
Authors input practices without vetting. System adds name. No problems in 3 years.
•
800 letters and growing.
Lessons Learned:
1. Keep It Simple - a brief description, contact name and telephone number.
2. Use existing platforms (low cost and low learning curve).
3. Work with innovative employees to write out 50-100 best practices. Get permission for
contents and sharing. Arrange by topics and begin electronic sharing.
4. Market continuously - electronic messages, presentations, newsletters, etc.
Quality Service - Guide X - Benchmarking and Best Practices: An Update
Contacts: Bruce Lawrence, Corporate Development, (613) 954-6085; Andrée TremblayThomas, Corporate Development, (613) 952-1928
25. Using Newsletters To Share Best Practices (Revenue Canada)
Revenue Canada has many internal newsletters published by district offices, work areas and
interest groups. Over half were created during the period of the Administrative Consolidation
of Customs and Excise, and of Taxation into one Revenue Canada, and of their respective
continuous improvement initiatives. Most include a wide variety of information and the sharing
of best practices.
At least one "Talking Newsletter" is produced using the existing telephone system. The system
is accessible from either inside or outside the office (many employees work outside the office).
Employees dial the telephone number, enter the password, followed by the number of the
menu they want, in order to hear a recorded message.
Contact: Francine Chartrand, Corporate Development Division, (613) 954-8230
26. Best Practices Fair (Revenue Canada)
In December 1992, the Customs Programs Branch, Trade Administration committed itself to a
new set of operating principles - "to judge ourselves by how well we served our clients, and by
how well we treated each other". The ADM challenged employees to turn these principles into
reality by starting projects within each work unit that would improve service to the public and
the work environment.
Several months later, all employees of the Branch were invited to the "In Search of Excellence"
exhibition of Branch exemplary practices to share the results. Over 60 exemplary practices
were exhibited in kiosks manned by Branch staff. There was a sense of pride of
accomplishment, of sharing, of learning from colleagues; surprise at the ingenuity, creativity
and humour in preparing the exhibits; and satisfaction from the variety of service and
organizational improvements.
Quality Service - Guide X - Benchmarking and Best Practices: An Update
Contact: Tia McEwan, (613) 954-7403
27. Innovation And Quality Exchange (IQE) (Treasury Board Secretariat)
The Treasury Board Secretariat is posting examples on Internet of initiatives of departments,
agencies and Crown corporations which significantly raised service levels or lowered costs.
Information is presented on total quality management, service standards, activity-based
costing, cost reduction, outsourcing, re-engineering, commercialization, etc., along with the
names of contact persons to exchange experiences and practices.
Twenty initiatives have already been posted. Initiatives have metrics associated with them.
Public sector managers can find out what world class performance is for their business line, as
described in the IQE's classification system. Future plans include a news group for dialogue on
re-engineering and quality. You can hyperlink to the Innovation and Quality Exchange from the
Treasury Board Secretariat's home page located on the World Wide Web at the following
address: http://www.tbs-sct.gc.ca/
Contact: Adel Shalaby, Treasury Board Secretariat, (613) 957-2493
28. HR ConnEXions (Treasury Board Secretariat)
HR ConnEXions is an electronic repository of best practices from departments and other parts
of the government, submitted by the authors. Over 100 notes were posted in 1991. About
another dozen examples were added since. The information is in summary form (one screen),
bilingual and provides a contact person's name. We are looking at how to update information
and to be part of a larger contemporary electronic sharing of practices.
Contact: Danielle Zierl, Treasury Board Secretariat, (613) 957-3725
29. Interdepartmental Quality Network (IQN) (Treasury Board Secretariat)
Public servants interested in quality, from federal government departments, Crown
corporations and agencies, meet the first Thursday of every month to share experiences,
practices and common concerns. They get involved in conferences such as the "Quality
Learning Event", editing the Transformation bulletin, contributing best practices to the
Quality Service - Guide X - Benchmarking and Best Practices: An Update
Interdepartmental Quality Exchange (IQE) and other fora, etc. Many were involved in
preparing the quality service publications, including this Guide.
Contact: Chris Dodge, Treasury Board Secretariat, (613) 957-2484
30. Transformation Newsletter (Treasury Board Secretariat)
Transformation is a forum for federal employees to exchange ideas about changes, and to
share our experiences and approaches in delivering quality services. The first issue - Fall 1995,
had articles on "Changing the Corporate Culture", "The Plus Is Putting People First (Health
Canada's Learning Centre Plus), "A Few Words From Art Eggleton", "Update on Downsizing",
"Sharing Services: Sharing Success" and "Pushing the Envelope for Open Government". Most
articles have contacts and tel. / fax numbers.
Contact: Terri Doherty, Treasury Board Secretariat, (613) 957-2549
31. Improving The Employment Situation Of Employment Equity Target Groups
(TBS)
A "Best Practices" study was done on the employment of Women, Persons with Disability, and
Aboriginal Peoples in a range of Canadian organizations to help the Federal Government
improve the employment situation of target groups. Recruitment, training, development,
counselling and community support initiatives were documented to provide departments with
ideas. A best practices framework was provided to assist departments to design strategies. A
"compendium of ideas for managers" was prepared.
Contact: Emmanuel Tsèvi, Treasury Board Secretariat, (613) 952-3053
32. Electronic Registries To Track Progress / Best Practices
•
Canada Mortgage and Housing (CMHC) has an electronic data base in which the
progress and emerging best practices of "Business Improvement Teams" are recorded.
Quality Service - Guide X - Benchmarking and Best Practices: An Update
•
The Internal Revenue Service (United States) has used a central computer registry to
track progress and best practices of Quality Improvement Teams throughout the
service.
Contacts: Susan Smith, (CMHC), (613) 748-2323; Bruce Lawrence, Revenue Canada, (613)
954-6085
33. Continuous Improvement GE-Style (General Electric)[8]
Fortune Magazine described how the GE corporation transforms itself using 3 continuous
improvement methodologies - division-size employee "workouts" to get action on key service
and organizational issues, "process mapping" by employee teams to reengineer complex
processes and "best practices" sharing to accelerate the pace of change.
34. Re-engineering With Love (Corning)[9]
Corning is described as a model to emulate when reengineering and sharing practices. Its
initiative began with setting objectives that included employment protection. Employees and
internal facilitators carried out reengineering using continuous improvement methods. The
results were significant process improvements and cost reductions without major job losses.
Another result was greater acceptance and trust of reengineering projects. The sharing of best
practices was an important feature of this methodology.
Quality Service - Guide X - Benchmarking and Best Practices: An Update
APPENDIX B
CONTACTS TO CALL FOR HELP
Do you have a question? Are you starting a project and wonder where to begin?
Help is available from anyone named on the following list. Simply contact the person or
persons who look like they could be of help. They will do their best to answer your question,
provide you with helpful information or point you in the right direction.
Roman Borowyk
Best Practices sharing
Citizenship and
Immigration
(613) 953-3184
John Dingwall
Best Practices Sharing
CCMD
(613) 995-6019
Chris Dodge
Director
TBS
Innovative and Quality
(613) 957-2484
Services
Pat Griffith
Benchmarking
TBS
(613) 952-8685
Ken Hart
Benchmarking
Foreign Affairs
(613) 996-1435
Nick Heley
Benchmarking (Task
Transport Canada
Analysis)
Quality Service - Guide X - Benchmarking and Best Practices: An Update
(613) 990-3421
Ted Hitsman
Benchmarking
TBS
(613) 952-3373
Bruce Lawrence
Best Practices Sharing,
Revenue Canada
Benchmarking
(613) 954-6085
Grant MacKay
Best Practices Sharing
PWGSC
(819) 956-5048
Adel Shalaby
Best Practices Sharing
TBS
(613) 957-2493
Mike Whitfield
Benchmarking
Atomic Energy Canada
(613) 584-3311
Barbara Wynne-Edwards
Benchmarking
CCMD
(613) 953-4563
Note:
1. The Ottawa Benchmarking Forum includes representatives from educational
institutions, and the private and public sectors. Its objective is to promote and gain
acceptance for benchmarking as a tool fostering organizational excellence. Forum
Quality Service - Guide X - Benchmarking and Best Practices: An Update
resource persons include: Allan Knaut, Team Facilitator, Newbridge, (613) 591-3600
Ext. 1507; Debbie Knaut, Education, D.K. Enterprises, (613) 831-2713; Ian McKechnie,
Publicity, Mitel, (613) 592-2122.
2. The CCMD and Treasury Board Secretariat contacts are excellent resources to find out
who may be working on a particular type of initiative or project.
3. InterNet:
a. Ottawa Benchmarking Forum http://superior.carleton.ca/mtcm/ocmn/ (OCMN, Program and
Activities)
b. The American Productivity & Quality Center AND International Benchmarking Clearinghouse
(IBC), Texas, http://www.apqc.org/
c. The Benchmarking Exchange (TBE), http://www.benchnet.com/
CONTRIBUTING YOUR BEST PRACTICES
The examples of Benchmarking and Best Practices Sharing presented here are intended as a
modest beginning. The Guide will expand as other departments, agencies and Crown
corporations contribute examples. At the risk of sounding like we are pleading for your help which we are - if you found the present Guide useful, please return the favor by contributing
an idea or example, or by adding your name to the list of contacts to call for help. To
contribute or to become a contact, please contact any of the following people:
Bruce Lawrence, (613) 954-6085
Adel Shalaby, (613) 957-2493
Mike Whitfield, (613) 584-3311
Quality Service - Guide X - Benchmarking and Best Practices: An Update
APPENDIX C
BIBLIOGRAPHY
1. Beating the Competition. Washington, D.C.: Kaiser Associates, Inc. A Practical Guide to
Benchmarking, Michael Kaiser (ed) n.d.
2. "E for Effort in Program Evaluations: Oregon and Florida". May 12 1992. pp. 62-63.
3. "Developing Performance Measures and Performance Budgets". Performance-Based
Governance n.d.. 13-19.
4. The American Productivity & Quality Center. "Benchmarking, Benchmarking Processes".
Houston, Tx: Joe Robey, The American Productivity & Quality Center, 123 North Post
Oak Lane Houston, Texas 77024, 1-800-776-9676 ext 4716 n.d..
5. Barrett, Katherine; Greene, Richard. "Focus on the Best". PW, March 2 1993. pp. 36-37.
6. Bruder, Kenneth A. Jr; Gray, Edward M. "Public Sector Benchmarking: A Practical
Approach". Performance Measurement: Special Section, September 1994. pp. s9-s14.
7. D'Cruz, Joseph R. "Does Canada Compete?". CMA Magazine, October 1993. pp. 30, 32.
8. DeToro, Irving. "The 10 Pitfalls of Benchmarking". Quality Progress, v.28, #1, January
1995. pp. 61-63.
9. Drucker, Peter. "Really Reinventing Government". The Atlantic Monthly, v.273, #2,
February 1993. pp. 49-59.
10. Fischer, Richard J. "An Overview of Performance Measurement". Performance
Measurement: Special Section, September 1994. pp. s2-s8.
11. Government of Alberta. Measuring Up. Alberta: Gov't of Alberta, 1994. pp.1-6, 76-78.
12. Grifel, Stuart S. "Organizational Culture: Its Importance in Performance Measurement".
Performance Measurement: Special Section, September 1994. pp. s-19-s22.
Quality Service - Guide X - Benchmarking and Best Practices: An Update
13. Hatry, Harry; Gerhart, Craig; Marshall, Martha. "Eleven Ways to Make Performance
Measurement More Useful to Public Managers". Performance Measurement: Special
Section, September 1994. pp. s15-s18.
14. Intersol Consulting Associates Ltd., Facilitator's Handbook For Benchmarking Change.,
1994.
15. Kilman, Ralph. Beyond the Quick Fix: Managing Five Tracks to Organizational Success.
San Francisco: Jossey-Bass, 1984.
16. Kinni, Theodore, B. "Measuring Up: Benchmarking Can Be Critical, But it Doesn't Have
to Be Expensive". Industry Week, December 1994. pp. 27-28.
17. Mallick, Pramod; Meador, Stephen W.; Shangraw, R.F. Jr; Selman, John R. "DOE
Benchmarking for Cost Management". AACE Transactions 1994. pp. 6.1-6.6.
18. McCampbell, Atefeh S.; Slaich Light, Lucy. "Purchasing Efficiency and Staffing
Benchmarks: A County Government Study". International Journal of Purchasing and
Materials Management, Winter 1995. pp. 29-36.
19. Paine, Katharine Delahaye. "Move Over Tom! Benchmarking is the New Tool for the
90's". IABC Communication World, June/July 1994. pp. 42-44.
20. Petrick, Joseph; Scherer, Robert; Westfall, Frederick. "Benchmarking and Improving
Core Competencies". Quality and Participation, v.17, #4, July/Aug. 1994. pp. 82-85.
21. Roberts, Barbara, Chairperson; et al. Oregon Progress Board. Oregon Benchmarks:
Standards for Measuring Statewide Progress and Institutional Performance. Salem,
Oregon: Oregon Economic Development Department, Report to the 1995 Legislature,
Dec. 1994.
22. Shepherdson, David. Meeting the Challenge: Managing Change in the Nineties. Canada:
The Conference Board of Canada, 1994.
23. Spendolini, Michael J. The Benchmarking Book. New York: AMACOM, 1992.
24. "Benchmarking for Quality Management & Technology: An International Journal".
Quality Service - Guide X - Benchmarking and Best Practices: An Update
Note:
These books, articles and references are available through the Management Resource Centre
of the Canadian Centre For Management Development, Karen McGrath, (613) 995-6170.
Quality Service - Guide X - Benchmarking and Best Practices: An Update
APPENDIX D
BENCHMARKING AND BEST PRACTICES SHARING TEAM
Ivan Blake
Environment Canada
Roman Borowyk
Citizenship and Immigration
Ann Ferguson
Public Service Commission
David Flavell
Treasury Board Secretariat
David Gnam
Solicitor General
Sylvia Gold
Canadian Centre For Management Development
Pat Griffith
Treasury Board Secretariat
Ken Hart
Foreign Affairs
Murray Hay
Public Works and Government Services Canada
Nick Heley
Transport Canada
Duncan Jamieson
Transport Canada
Bruce Lawrence
Revenue Canada (Team Co-leader)
Lise Labelle
Environment Canada
Grant MacKay
Public Works and Government Services Canada
Quality Service - Guide X - Benchmarking and Best Practices: An Update
Sue Morgan
Treasury Board Secretariat
Adel Shalaby
Treasury Board Secretariat
Emmanuel Tsèvi
Treasury Board Secretariat
Mike Whitfield
Atomic Energy Canada (Team Co-leader)
Quality Service - Guide X - Benchmarking and Best Practices: An Update
ENDNOTES
[1]"Quality Services" (9 Guides and An Overview), Treasury Board Secretariat, October 1995.
[2]Mayne, John, Treasury Board Secretariat, Accountability for Program Performance: a Key to
Effective Performance Monitoring and Reporting, September, 1994. (Draft)
[3]"Benchmarking", presentation overheads from the International Benchmarking
Clearinghouse, p. 4.
[4]"Benchmarking", presentation overheads from the International Benchmarking
Clearinghouse, p. 20.
[5]"Survey Shows It Pays to 'Borrow' and Implement the Best Service Practices", Coopers and
Lybrand Consulting Centre for Excellence in Customer Satisfaction, The Lakewood Report,
August 1995, p. 7, 8.
[6] For strategies and performance indicators, please refer to "Quality Services", Guide VIII:
Benchmarking and Best Practices", Treasury Board Secretariat, October, 1995.
[7] Shepherdson, David, "Meeting The Challenge", CCMD, p. 21, 22
[8] "GE keeps those ideas coming", Fortune, August 12, 1991, p. 40-45.
[9]"Re-engineering With Love", The Economist, September 9th-15th, 1995, p. 69.
Quality Service - Guide XI - Effective Complaint Management
Quality Service - Guide XI - Effective Complaint Management
Foreword
Much of the material in this report is adapted from Guidelines for Effective Complaint
Management, published by the Office of the Ombudsman, New South Wales, Australia and
Effective Complaint Systems: Principles and Checklist, published by the Citizen's Charter
Complaints Task Force, London, 1993. Many examples of good practice are taken from the
Report and Recommendation of the Industry Canada Interdepartmental Working Group on
Complaint Resolution Processes, Industry Canada, May 1994 and La gestion des plaintes : un
mal nécessaire ou l'opportunité de s'améliorer?, published by the Réseau-qualité fédéral du
Québec, 1995. In addition, the Treasury Board Secretariat's Interdepartmental Working Group
on Complaints Resolution contributed substantial material, time and effort to this document.
Acknowledgements
This guide is a collective work by the members of the Interdepartmental Working Group on
Complaints Resolution. These individuals include Elaine Leung, Janet Kiff-Macaluso,
Brian Glabb, Charles Data Malé, and Jim Martin, Treasury Board of Canada, Secretariat;
Andrea Spry, Margret Lapensée and Valérie Cosman, Revenue Canada; Jennifer Birch-Jones,
Transport Canada; Dennis N. Brock, Fisheries and Oceans; Chantal Chalifoux, Environment
Canada; Adair Crosby, Justice; Peter Findlay and Jacques Fournier, Canadian Centre for
Management Development; Jean Flowers and Richard Konchak, Industry Canada; Brian Foley,
Citizenship and Immigration Canada; Reg Gatenby, Agriculture and Agri-Food Canada; Mary
Ann Green, Health Canada; Michelle Hamelin, Human Resources Development Canada and
Dave McCulloch, Natural Resources Canada.
The Working Group has benefited from the work done by members of the Complaint
Management Working Group from the Réseau-qualité fédéral du Québec. Their report provided
good examples and practices of complaint management. The Working Group members are:
Jean-François Beaudoin and Marc Millette, Fisheries and Oceans; Bertrand De Serres,
Quality Service - Guide XI - Effective Complaint Management
Julie Laforest-Garon and Roméric Charest, Human Resources Development Canada;
Jeannine Desbiens, Revenue Canada; Sylvie Narbonne, Industry Canada; Patrick Parent,
National Defence; Jacques Urbain, Public Works and Government Services Canada.
Additional comments and advice were received from the members of the Service Standards
Network; the Assistant Deputy Minister's Committee on Quality Services; the staff of the
Innovative and Quality Services Division, which includes Larry Cassie, Chris Dodge, Stephen
Giles, Elizabeth Hochster-Brown, Sue Morgan and Ray Scharf; and the staff of the Regulatory
Affairs Division, which includes Bill Hingston, Arlene Key and Pat Schening.
Quality Service - Guide XI - Effective Complaint Management
INTRODUCTION
An effective complaint management system is an essential part of quality public-sector service.
Complaints - and compliments - are valuable sources of information that organizations can use
to improve program delivery and service. Under international trade arrangements such as the
World Trade Organization Agreement and the North American Free Trade Agreement, the
government must set up procedures to review complaints about mandatory regulatory
services.
This document provides guidelines on complaint management in the delivery of government
programs and services, as well as regulatory programs. It does not cover complaints about
government policy, specific legislation, and regulations, nor discuss formal appeal procedures
that have their own, established rules. In other words, this document deals with complaints
about government processes and not with complaints about the content of government
policies and laws.
To set complaints in context, government departments exist to serve the public and the public
has a right to expect quality programs and services. Most people agree on some basic
principles of good public-sector service, including economy, efficiency, effectiveness, fairness,
impartiality, prudence, responsiveness and, more recently, continuous improvement.
Many program objectives are based on these principles. These principles do not, however,
automatically lead to public satisfaction with government regulations, programs, and services,
or with their delivery. Satisfaction improves when the organization knows its clients'
expectations, and works with clients to improve services. Many departments, however, serve
more than one client group, and groups often have opposing aims.
To improve programs and service, you need to know what clients' expectations are, how well
the organization is currently meeting them, and the extent to which the organization can meet
them. When clients' expectations exceed resources available or what a particular program is
designed to provide, you can use this knowledge to make the necessary adjustments.
Quality Service - Guide XI - Effective Complaint Management
Effective complaint management benefits an organization in four important ways:
•
it identifies areas that need changing and allows clients to provide input to service
improvement;
•
it gives the organization a second chance to serve and satisfy dissatisfied clients;
•
it provides an opportunity to strengthen public support for the organization; and
•
it helps reduce an organization's workload.
Research suggests that relatively few dissatisfied clients bother to complain. As a result, every
complaint received may provide a window into a much larger pool of dissatisfaction. By dealing
with the causes of complaints, the organization can further reduce both the number of
complaints and dissatisfaction with its program delivery or service.
Dissatisfied clients often speak poorly of an organization. The reputation and credibility of the
government, and the public sector generally, may suffer as well. Research shows that
dissatisfied clients will tell up to 20 acquaintances about an unresolved problem. On the other
hand, clients whose problems are resolved quickly tend to be more loyal to and supportive of
the organization than those who do not experience any problems.
Although complaints may generate extra effort initially, they can, in the long run reduce an
organization's workload. By dealing with complaints, systemic or recurring problems are dealt
with thereby reducing further complaints in this area. How your organization handles
complaints will depend on the resources available and on other government and departmental
priorities. Organizations with limited resources must deal with complaints efficiently. Using a
system to manage complaints is more effective than providing ad hoc responses, which can
lead to more serious complaints. A management system also allows you to feed information
into the continuous improvement process, so that the organization can prevent similar future
complaints.
Quality Service - Guide XI - Effective Complaint Management
The following guidelines can be used to build an effective complaint management system.
They are not prescriptive, nor are they Treasury Board policy. Use them as advice on ways to
meet the particular needs of your department and its clients.
Section I of the document discusses the definition of complaints, the reasons why it is
important to define complaints for a particular complaint management system, and the
reasons clients make complaints. Section II describes the underlying principles of a complaint
management system. It also provides a self-assessment method that you can use to check
how well your organization's current systems respond to the principles. Section III gives advice
on setting up a complaint management system with examples of best practices. Appendices
provide more information on best practices and on good investigative and conciliation
practices.
I. WHY DO PEOPLE COMPLAIN?
Complaints arise when clients are dissatisfied with a program or service. To find the right type
of solution, you need to understand the nature of the client's dissatisfaction. Some complaints
are not appropriate for a particular resolution system, and some cannot be resolved. In these
cases, you must still treat complainants with respect and fully explain the reasons why your
organization cannot accept or resolve their complaint. Where appropriate, you should direct
complainants elsewhere for assistance.
What is a complaint?
Organizations should define the nature of complaints covered by each system, and ensure that
employees clearly understand the definitions. The scope of an organization's definition of a
complaint can vary. If its system is designed to deal with serious grievances about a specific
program or service, the organization may select a very narrow definition. However, if the
Quality Service - Guide XI - Effective Complaint Management
system is designed to give the organization insight into client satisfaction and ways to improve
it, a fairly wide definition would be more useful. The following wide definition of a complaint
was adapted from Sydney Electric in Australia:
An expression of dissatisfaction with the organization's procedures, charges,
employees, agents or quality of service.
A good way to determine if an expression of dissatisfaction is a complaint is to ask, "Does the
client's dissatisfaction require the organization to take some action to resolve the matter, other
than providing routine services, information or explanations, or processing an appeal under
standard policy?"
Determine whether a complaint is eligible for consideration under a particular resolution
system before wasting resources on a misunderstanding, a wrongly directed concern, or a
frivolous matter.
Types of complaints
Four types of complaints come up frequently in the regulatory area.
The first type involves the complexity and length of processes to introduce or amend federal
regulations. You should record these complaints so that you can refer to them when reviewing
internal regulatory processes. You should also be aware of ways to speed up the process of
changing regulations, such as possible exemption from prepublication in the Canada Gazette.
Contact your departmental regulatory coordinator or the Regulatory Affairs Division of the
Treasury Board of Canada, Secretariat at (613) 952-3459 if you need further information.
The second type of complaint relates to certain aspects of mandatory regulatory services
related to international agreements, such as the North American Free Trade Agreement
(NAFTA). Under these agreements, regulatory departments must have a complaint procedure
in place to handle these complaints, and must take corrective action when a complaint is
justified.
Quality Service - Guide XI - Effective Complaint Management
The third type of complaint relates to the products and services of regulated entities. Product
complaints are a large part of the workload of certain departments, such as Health Canada
(see example in Appendix A). Organizations may handle this type of complaint differently than
service-related complaints. It is important, however, for departments to avoid taking
responsibility for issues that only the private sector can resolve.
The fourth type of complaint relates to the actual service delivery. Public, industry and other
public sector employees have the right to quality service, and, therefore, have the right to
complain if it is not forthcoming. It is important to remember that we are accountable for each
service transaction, including the design of the processes supporting the service provider, the
physical environment and the manner in which the service, itself, is rendered. Complaints of
this nature are not limited to those involved in regulatory areas, but in all aspects of service to
the public.
Complaints not covered in this guide
Certain complaints raised by clients are not appropriate for the purpose of systems discussed
in this document. Complaints about government policy - as opposed to procedures - and
complaints about the contents of existing legislation and regulations are not eligible. These
concerns are the responsibility of departmental policy development sectors. Formal appeals
made through legislation-based systems, such as the RCMP Public Complaints Commission, are
also ineligible complaints for the purposes of this document. Formal systems to handle appeals
are in place in many government departments, and appellants must use them where
applicable.
Information requests are also not considered complaints, although a complaint may turn out to
be an information request. By providing clients more information, the organization can change
their expectations and increase their satisfaction without changing the way it delivers a
program or service. A poorly handled information request, on the other hand, could turn into a
valid complaint.
Why do clients lodge complaints?
Quality Service - Guide XI - Effective Complaint Management
The first and obvious answer to this question is that clients are dissatisfied. You should find
out what is making them complain - it may not always be the topic of their complaint.
Listening is the most effective way to deal with the emotions of a complainant and to
understand the root of their concern or frustration. To uncover the real problem and determine
an appropriate response, try asking them what resolution they want. Sometimes, complainants
can be quite selfless. They realize that something has gone wrong and that, perhaps, the clock
cannot be put back as far as they are concerned, but they do not want to see the mistake or
fault recur.
Many complaints arise because the organization has not clearly communicated its regulations,
programs, policies, and services to its clients. If clients make these types of complaints often,
managers should make systemic changes. When people understand what they have a right to
expect from the organization, they will have more accurate expectations of service levels, and
any complaints they do make will be more focused.
Complaints are not always made for the purpose of pointing out who is right and who is
wrong. To resolve a complaint, you may simply need to give more information, provide an
explanation, suggest a solution or, in situations where no solution is possible, express
understanding and empathy . Where appropriate, you should apologize; be careful, however,
in cases of potential liability for possible loss.
II. SELF-ASSESSMENT OF COMPLAINT MANAGEMENT SYSTEMS
To help you determine whether existing complaint management systems are adequate, you
will find here the essential features of a good system and the questions you should ask
yourselves to evaluate existing systems.
The complaint management system should
Quality Service - Guide XI - Effective Complaint Management
•
be easily accessible and well publicized;
•
be available in both official languages;
•
be simple to understand and use;
•
allow speedy handling, with established time limits for action, and should keep people
informed of the progress of their complaints;
•
ensure a full and fair investigation of complaints;
•
respect clients' desire for confidentiality;
•
provide an effective response and appropriate redress to complainants; and
•
provide information to management so that services can be improved.
Complaint management systems based on such principles help organizations resolve
complaints quickly and result in increased client satisfaction.
Access
Complaint management systems should include easily accessible and wellpublicized mechanisms for resolving complaints.
Anyone who has had a problem with a program or service needs to know how to make a
complaint, and to whom. This information should be readily available. Clients should find it
easy to file a complaint, whatever the circumstances. They should not be charged a fee for
lodging a complaint. The organization should encourage people to make their complaints
known and should treat them with courtesy.
Ask these questions:
Quality Service - Guide XI - Effective Complaint Management
•
Does the organization provide information about how to complain and to whom
complaints should be made, including a contact, a phone number, and an address?
How is this information disseminated?
•
Has the organization published its standards of service and made them available so
that people know what standards of service they may expect?
•
Can clients make complaints in a variety of ways - in person, in writing, by fax, and by
telephone?
•
Does the organization provide information about formal independent review bodies,
such as relevant judicial bodies?
•
When necessary, has the organization informed clients about ways that a relative or
friend might help with a complaint if clients have difficulty expressing themselves?
•
Has the organization designated staff to help people formulate and pursue their
complaints?
•
Are there suitable arrangements to allow people with disabilities to complain?
•
Do employees know what to do when they receive a complaint?
Language
In federal government offices located in bilingual regions, complaint mechanisms
must be available in both official languages. Clients have a legal right to this.
Organizations may consider procedures to deal with complaints made in a language
other than English or French where there is a need.
You should make every effort to help people with complaints feel comfortable. These people
may be upset, and they will be able to express themselves more clearly and to make the
government understand their situation better if they can use the language of their choice.
Organizations that deal with clients who feel uncomfortable speaking either official language
may consider setting up procedures to help them use other languages to lodge complaints. For
Quality Service - Guide XI - Effective Complaint Management
example, you could invite complainants to bring a third party to translate, or offer them a list
of voluntary translation services.
Ask these questions:
•
Has the organization publicized the locations of bilingual offices?
•
At designated offices, can clients quickly get access to information in the official
language of their choice, and to staff who can serve them in their chosen official
language?
•
At unilingual offices, are procedures in place to deal with people who are not
comfortable in the official language of the office?
•
Are there procedures in place to deal with people who are not comfortable in either
official language?
Simplicity
Complaint resolution mechanisms should be simple to understand and use.
Organizations should handle complaints according to clearly established procedures that are
easy to understand. Procedures should, where possible, be consistent across different parts of
the organization, and should apply to the entire organization. Resolutions, however, will vary
according to the type and nature of the complaint.
Ask these questions:
•
Is written guidance on complaint resolution procedures available for
•
- members of the public
- staff
- members of Parliament?
Quality Service - Guide XI - Effective Complaint Management
•
Are the steps of the procedure set out clearly so that people making complaints know
what to do next?
•
Are managers, staff, and clients involved in developing complaint procedures?
•
Does the organization review these procedures regularly? How?
•
Do the procedures set out clear responsibilities for individual staff members at every
level?
Responsiveness
Complaint management systems should allow employees to handle complaints
quickly, and should include established time limits for action that reflect the
complexity of various types of problems. They should also allow employees to keep
clients informed of the progress of their complaints throughout the process.
Organizations should deal with complaints as quickly as possible. Employees can frequently
handle complaints immediately at the point of delivery without using formal complaint
procedures. If not, employees should give the complainant a single contact name for the
complaint, tell clients when they can expect a response, keep the clients informed of progress
on a regular basis, and give clients an explanation if the organization does not meet the
deadline. Such information must be realistic. For example, employees could tell clients that the
organization meets its deadlines under normal circumstances, but that resource constraints,
periods of heavy workload, and other special circumstances may affect service.
Organizations should train all employees who deal with complaints regularly in techniques for
handling complaints, and ensure that they are aware of their individual responsibilities. This
training could include instruction in negotiation and alternative dispute-resolution skills, and in
skills for dealing with difficult people.
Ask these questions:
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•
Do procedures allow employees to resolve complaints on the spot if possible, and to
provide immediate redress, where appropriate?
•
If employees cannot deal with an appropriate complaint on the spot, do the procedures
set out further stages, including steps for conducting a full investigation and for
providing a full final reply?
•
Are there time limits for dealing with various types of complaints, and for each step in
the procedure, such as acknowledgment, interim reply, and final reply?
•
Does the organization monitor time limits and review them regularly?
•
Do employees keep complainants informed of the progress of their complaint?
•
Are staff trained to handle complaints?
•
Are staff trained in interpersonal skills, including skills for dealing with abusive and
threatening behaviour?
•
Does the system allow employees to retrieve information about a complaint quickly?
Fairness
Complaint management systems should ensure that investigations are full, and fair
to all concerned.
If staff cannot resolve complaints immediately, they should analyze the complaints more fully.
Line managers should handle most complaints to ensure responsibility and accountability.
Procedures should allow for independent review within the organization, however, when a
serious (but not criminal) complaint involves an employee. Departments should use existing,
formal procedures to deal with problems such as harassment and criminal or corrupt conduct.
The organization should deal fairly with both clients and employees involved in a complaint.
The organization should tell clients about the various stages of the complaint system. Clients
should be satisfied that the organization has investigated their concerns fully and fairly, even if
their complaint is not resolved to their satisfaction.
Quality Service - Guide XI - Effective Complaint Management
Ask these questions:
•
Has the organization ensured that all complaints are investigated fully and fairly, from
the point of view of both complainants and employees?
•
Has the organization provided for independent review within the organization for major
complaints directed at employees?
•
Does the organization deal with all complaints equally, regardless of the status of the
persons who complain and who receive the complaint?
•
Are there mediation and adjudication procedures that dissatisfied clients can use?
Confidentiality
Complaint management systems should respect people's desire for confidentiality.
In the interests of clients and staff alike, financial or personal details should be kept
confidential as far as possible. Consult experts within your organization about confidentiality
issues. The Access to Information Act and the Privacy Act outline the legal requirements.
Remember that complainants are not bound by these Acts and may disclose any information
they receive during the complaint process.
Complaint resolution mechanisms should ensure that neither complainants nor employees
involved in complaints are subject to discrimination or retaliation.
Ask these questions:
•
Do complainants know that the organization will deal with their complaints in
confidence?
•
Do employees know that they should treat complaints in confidence?
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•
Does the procedure make clear to employees that clients should not be treated
adversely as a result of making a complaint?
•
Are employees assured confidentiality?
•
Do employees know that they will not be treated adversely as a result of referring a
client's complaint to the complaints process?
Outcome
Complaint management systems should allow employees to provide an effective
response to eligible complaints, and to provide a redress, when appropriate.
Organizations should address complaints directly and, where appropriate, remove the source
of the problem in order to improve service. Redresses should be readily available, appropriate
to the nature of the complaint, and consistent. You should apologize when appropriate,
exercising due caution where potential liability for possible loss exists.
Ask these questions:
•
Does the procedure guarantee a response to all complaints?
•
Does the organization ensure that it has fully addressed all the points at issue?
•
Do responses explain to clients who are still dissatisfied that no further redress is
available within the complaint system and, if appropriate, how they may pursue the
issue?
•
Are there clearly established redresses for all types of complaints?
•
Does the organization provide information about forms of redress?
•
Do employees express regrets spontaneously, regardless of the nature of the
complaint?
Quality Service - Guide XI - Effective Complaint Management
Complaint management systems need to provide information to management so
that services can be improved.
Complaints are a positive form of feedback and a means of establishing better customer
relations. They are a general invitation to seek feedback from the public with the intention of
improving services. The message to the public will then be that the organization values what
they have to say, good or bad. The message to the staff is that getting complaints need not be
a negative experience: management is not concerned with apportioning blame but rather with
using the feedback in a constructive fashion. Organizations can use both complaints and
compliments to improve services and increase public satisfaction. You should analyze trends in
complaints and take appropriate action.
Ask these questions:
•
Is there a system for recording complaints?
•
Does the organization monitor the recording system?
•
Is information about complaints and compliments regularly fed into central
management information systems?
•
Does the organization use information about complaints to monitor services provided
through contractors?
•
Has the organization set performance targets for handling complaints?
•
Does the organization monitor client satisfaction with complaint and redress
procedures?
•
Does the organization monitor the effectiveness of staff training in handling
complaints?
•
Do managers include information on the handling of complaints and compliments in
their regular reviews of staff performance?
Quality Service - Guide XI - Effective Complaint Management
Reporting back
Learning the lessons from complaints is important; but so is demonstrating that the
organization has done so. A positive outcome or improvement in service resulting
from handling complaints may boost the public's confidence in government
services and programs in the long term. It is therefore important to publicly report
on complaints analysis and to show where this has led to improvements.
Ask these questions:
•
Has the organization made service improvements after analyzing problems highlighted
by complaints?
•
Does the organization publish information about complaints and their resolution, and
make that information available to clients?
Conclusion
Departments implementing programs, regulations, and services will interact with clients.
Complaints will be part of that interaction. If existing complaint resolution systems fall short of
the basic principles described above, or if no system exists to deal with complaints,
departments will not be giving good quality service and management will be ignoring a
valuable source of information.
To help you improve existing systems and develop new ones, the following section offers a
prototypical model and advice on the different elements of a well-managed complaint
resolution system. However, you should design your system to meet the specific needs of your
department or program.
Quality Service - Guide XI - Effective Complaint Management
III. SETTING UP A COMPLAINT MANAGEMENT SYSTEM
No single complaint management system would perform well in all departments and agencies
of the federal government. Systems must respond to specific regulatory environments,
programs, and services. This section provides advice on the basics of a system, greater detail
on specific parts, and examples of best practices from within federal departments and
agencies. Appendix A contains additional descriptions of complaint resolution systems that
respond to specific classes of complaints. Appendices B and C give more detailed advice on
good investigative and conciliation practices.
The complaint resolution system has two parts: the management system and the complaint
handling system. The bare bones of the model appear as diagrams in the next two
subsections, so that you can see the more detailed advice on various elements in context. The
numbers on the diagrams refer to the numbers in parentheses in the paragraphs of the text
that follows the diagrams.
1. The Complaint Management System
The following diagram illustrates the elements of the management system, starting with
developing a definition of complaint for the specific system. Definitions were discussed in
Section I of this document.
Develop a process for lodging complaints (1)
This process should address the basic questions of how, where, when, and to whom
complaints should be made. It is important to let clients know whom they should approach if
they wish to complain in person and where they should write if they wish to be more formal. It
is very helpful to provide phone numbers. Some large organizations provide a central
complaints officer or a toll-free number to help clients get a speedy resolution to their
complaints.
Examples of Best Practices
Quality Service - Guide XI - Effective Complaint Management
The RCMP Public Complaints Commission, a formal panel, offers a toll-free number for
registering complaints. Informal complaint processes could use a similar system.
Contact: Executive Director RCMP Public Complaints Division Toll Free: 1-800-267-6637
Industry Canada's Corporations Directorate notifies all clients of its service standards and
invites them to inform the department when service does not meet the standards.
If clients do not like a statutory decision, they often have a right of appeal to, or a right to
initiate an action before, a court of law. Employees tell clients about these rights when they
give clients the results of decisions.
Contact: Director General Corporations Directorate Industry Canada (613) 941-2837
Veterans Affairs Canada distributes a brochure to its clients called At Your Service. It contains
the department's services and service standards, and outlines the actions clients should take if
they have complaints.
Contact: Portfolio Quality Services Corporate Planning Division Veterans Affairs Canada
(902) 566-8021
Prioritize complaints (2)
Not all complaints are of the same importance to an organization. When an organization
cannot immediately handle all the complaints it receives, it should prioritize them. For instance,
it may consider complaints related to public health and safety concerns, humanitarian issues,
and political issues to be high priorities.
Establish procedures for special cases (3)
You may need to treat some types of complaints in special ways. For example, departmental
staff will generally be required to notify their minister if a complaint concerns corrupt conduct,
Quality Service - Guide XI - Effective Complaint Management
and the organization may automatically refer complaints related to criminal action to the
police. You may need special arrangements for keeping such complaints confidential.
Figure 1: The Complaint Management System
Some complaints should simply be referred to certain sections of the organization. For
instance, complaints of financial impropriety may be referred to the internal audit section.
Example of Best Practice
Quality Service - Guide XI - Effective Complaint Management
Revenue Canada set up the Problem Resolution Program to deal with high-profile problems.
Problem resolution staff in tax services offices and tax centres resolve problems that cannot be
handled through regular complaint resolution channels. They locate the sources of
administrative problems, solve the problems, and ensure that steps are taken to prevent their
recurrence. The program allows the department to monitor and analyze the nature and
frequency of complaints, which helps the department anticipate and respond to taxpayers'
ever-changing needs and demands.
Contact: Service Quality and Analysis Division Client Services Directorate Assessment and
Collections Branch, (613) 957-9354
Clearly define responsibilities for dealing with complaints (4)
The complaint management system must clearly define who is responsible for dealing with
complaints at each stage. It may be the responsibility of all staff to deal with first-stage
complaints, or it may be more practical to designate a special officer in each section or branch.
Wherever the responsibility lies, those people must be clear about what their role is in dealing
with a complaint. More senior staff should deal with complaints that cannot be resolved
immediately.
Provide remedies (5)
As well as defining responsibilities, the complaint management system should specify the
authority that employees have to take remedial action. The system should include a checking
mechanism so that the department can ensure that staff have provided remedies, where
appropriate. As far as possible, you should ensure that, at the end of the process,
complainants are in the position they would have been in if nothing had gone wrong. To do
this, you may simply need to provide the desired service. Sometimes you cannot completely fix
the mistake, so you should consider providing some alternative remedy. The organization's
approach to remedies should be consistent.
Quality Service - Guide XI - Effective Complaint Management
You will not be able to remedy or redress some complaints. In those cases, explain the
situation clearly to the complainant, so that the lack of redress does not cause the complaint to
escalate.
Develop service standards (6)
Research shows that clients are more likely to be satisfied and to view the organization
positively if the organization resolves their complaints quickly. Time limits for each step in the
complaint management procedure - including initial acknowledgment, response to internal
requests for information, and final response to the complainant - will encourage employees to
resolve complaints quickly. Response time will depend on the complexity and seriousness of
the complaint. If some form of investigation is necessary, staff should tell the complainant and
keep him or her informed at regular intervals.
Example of Best Practice
The Spectrum Management Service of Industry Canada has published service standards for its
licensing activities. A brochure distributed to clients outlines the objectives of the Service, gives
detailed standards for the quality and timeliness of each part of the Service, and describes
what the Service will do if it cannot meet its standards. If clients are not satisfied, the Service
invites them to complain to the employee who served them or to a supervisor, and promises to
respond to the complaint within five working days.
Contact: Chief Spectrum Control Spectrum Management Operations (613) 990-4745
Control and monitor the complaints system (7)
Large departments may assign overall responsibility for managing the complaints system to
one person or group. This person or group ensures that the system works; produces regular
management reports on the frequency and nature of complaints; and provides useful
information derived from complaints to relevant sections of the organization to prevent the
recurrence of problems. Some successful organizations have conducted follow-up surveys to
find out if complainants were satisfied with the organization's response to their problem.
Quality Service - Guide XI - Effective Complaint Management
Small organizations may not be able to hire a full-time person to manage the complaint
system. They should base their decision on the volume and nature of complaints they receive.
Small organizations may want to use existing centres such as Reference Canada or Canada
Business Service Centres to process complaints initially.
Example of Best Practice
Veterans Affairs Canada has established health care committees to review certain complaints
informally. The process is flexible. Committee members, who are medical or counseling
professionals, review each case on its own merit. The committees meet frequently and their
membership is stable, so their decisions are consistent.
Contact: Director General Health Care Division Veterans Affairs Canada (902) 566-8302
Report outcomes (8)
Always consider who needs to know about the information coming from complaints. As well as
reporting these results to higher levels of authority, you may wish to provide them to other
people who may encounter similar situations. Do not forget confidentiality and the legal
provisions for access to information.
Internal reporting on complaints should
•
clearly identify the problem that arose;
•
identify causes, including both systemic elements and personal factors;
•
estimate the likelihood of recurrence;
•
propose strategies to prevent or limit recurrence;
•
include a benefit-cost analysis of any system change; and
•
make recommendations for any necessary system changes.
Quality Service - Guide XI - Effective Complaint Management
External reporting can be a powerful tool of public accountability. By publishing generalized
complaints - and the results of those complaints - in a public report, you can tell the public
about the effectiveness of your organization's complaint management system and show how it
compares to those of other organizations.
Such a report should briefly describe the complaint management system and include some
basic data. The complaints could be broken down into the following three major categories:
•
service delivery, which includes such matters as
- rudeness
- delay
- failure to take action
- incorrect or inappropriate action
- mistakes
- inefficiency
- failure to reply to correspondence and
- failure to give reasons;
•
misconduct of a serious nature, such as complaints about actions that are
- unreasonable, unjust, or oppressive
- improperly discriminatory
- based on improper motives, irrelevant grounds or
irrelevant considerations or
- based on mistakes of law or inaccurate facts; and
•
misconduct that is
- corrupt in nature or
- contrary to law.
Quality Service - Guide XI - Effective Complaint Management
The report could also include
- the number of complaints and action taken to resolve the complaints and to
prevent similar complaints from happening in the future;
- a carry-over figure for matters unresolved at report date; and
- a breakdown by the methods used to resolve complaints, such as conciliation,
investigation, external means, mediation or court.
2. The Complaint Handling System
The second part of the model covers the detailed elements of a complaint handling system,
from determining whether a complaint is appropriate for a particular system to determining a
final solution.
Develop a tiered structure for resolving complaints (9)
While there should be as few stages as possible, a good system provides at least three levels
of review.
•
First stage: The intake officer screens the complaint and registers it if it is appropriate.
Then front-line staff attempt to resolve it.
•
Second stage: When clients are still dissatisfied, a more senior official or a complaints
officer investigates their complaints and reports the results to them.
•
Third stage: When the organization cannot resolve the complaint internally, you should
consider using mutually acceptable, alternative dispute resolution mechanisms. These
include mediation, which helps the parties move toward a mutually agreeable solution
Quality Service - Guide XI - Effective Complaint Management
while remaining in control of the process. If this is not possible, a third party could
mediate or arbitrate the matter.
Document complaints (10)
Some organizations may not consider it useful, necessary or cost effective to formally register
complaints. However, client complaints provide valuable information that organizations can use
to improve service. A record will help the organization identify areas where service levels do
not match client expectations. Only genuine complaints should be recorded.
Registration systems vary in their complexity and expense. If there are a large number of
complaints and the organization needs information in different formats and levels of detail, an
electronic system may yield a higher net benefit than a manual system. You can use a
software package to create a registration system on departmental electronic networks.
Alternatively you can simply ask complainants or intake officers to fill out a brief form, and
then save the information in a database on an electronic network. Although you may be
tempted to try to capture as much information as possible, you will undoubtedly encourage
departmental staff to use the system rather than bypass it if you keep it simple and easy to
use.
Develop a format for describing complaints
Staff will need a simple process for recording complaints made by phone or in person. They
could use paper-based or computer-based systems. Initially, the client should not be required
to fill out a form. If the complaint proceeds to the next stage, the client should put the
complaint in writing. Larger organizations may wish to establish a special format for this
process. Ask complainants to provide details about what they believe is wrong and, if
appropriate, about the type of resolution they want. Be careful when asking clients what
redress would satisfy them, so that you do not raise expectations above what the organization
can reasonably deliver.
Advise the complainant of alternatives (11)
Quality Service - Guide XI - Effective Complaint Management
If they cannot resolve a client's complaint on the spot, employees should tell the client about
any alternative remedies. For instance, clients may have the right to complain to a supervisor
or to a third party. Although it may be difficult to ask a complainant to go to your supervisor,
providing the complainant with alternatives is an important aspect of resolving complaints.
Investigate further (12)
You should use different resolution processes for different types of complaints. If you cannot
solve the problem right away, assess the relative seriousness of the complaint to determine
the right type of process to use. Conciliation is best for less serious cases and, perhaps, as a
first stage for more serious complaints that do not involve criminal activity.
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Quality Service - Guide XI - Effective Complaint Management
The organization should establish a basic procedure for investigating more complex or serious
complaints. See Appendix B for advice on good investigative practices.
The people responsible for resolving simple grievances should be given guidance and training
on ways to conciliate complaints. See Appendix C for advice on conciliating complaints.
Example of Best Practice
Justice Canada has developed an advisory paper on selection criteria for resolving disputes.
According to this paper, dispute resolutions can be used when
•
safeguards of the courts are not needed to protect the interests and rights of the
parties;
•
parties are willing to consider settlement; and
•
settlement of the dispute does not affect the interests or rights of individuals who are
not parties to the dispute.
Contact: Dispute Resolution Project, Department of Justice (613) 941-4111.
IV. CONCLUSION
You may be able to use conciliation to resolve less serious complaints that do not allege
criminal or corrupt conduct. In this way, you can avoid costly and time-consuming
investigation processes. To achieve agreement or some other solution to a complaint, you may
simply need to explain why action was taken in a particular way; to explain the procedural
Quality Service - Guide XI - Effective Complaint Management
requirements of a situation; to offer advice; or to apologize when the organization has not
provided a satisfactory level of service.
An organization can reduce amount of workload, save money and achieve better relations with
clients if it can resolve complaints without resorting to formal investigative or appeal
processes.
To improve client satisfaction with regulatory programs and other government services,
increase public confidence in government, and foster a more professional and effective
organization, try to prevent problems from recurring. In other words, use a problem-solving
approach to focus on preventing complaints as well as on resolving complaints.
Organizations should continue to fully investigate more serious complaints. Where criminal or
corrupt conduct is alleged, specialized agencies such as the police should conduct the
investigation.
However, when employees make honest mistakes or errors of judgment, focus on resolving
and preventing future complaints rather than on proving guilt or innocence.
Clients and the public are much more likely to have confidence in the organization if it listens
to complaints and deals with them quickly and appropriately. Do not forget that many
complaints arise from mistakes, misconceptions, and misunderstandings, for which there may
well be shared responsibility. You must resolve these complaints to prevent similar problems
from arising in the future.
APPENDIX A
Best Practice for Specific Classes of Complaints
Quality Service - Guide XI - Effective Complaint Management
The Health Protection Branch (HPB) of Health Canada has a four-step complaint resolution
system for complaints about food and drug products. It is founded on the principles of
professional judgment, courteous service, and risk determination, and is based on sound
science. It recognizes that the department may not be able to resolve all complaints, and that
some complaints are unverifiable.
Step 1: Receiving the complaint
mployees obtain as much information about the complaint as possible in order to evaluate it.
They record the name and address of the complainant so he or she can be contacted.
Step 2: Evaluating the complaint
HPB makes a decision about the complaint based on the answers to the following questions.
•
Is the complaint valid?
•
Is it outside its jurisdiction?
•
Does it require further investigation?
•
Is it unverifiable?
Step 3: Acting on the complaint
•
Invalid complaints: HPB informs the complainant of the decision.
•
Complaint outside of HPB jurisdiction: HPB informs the complainant of the appropriate
agency to complain to, and forwards the complaint to that agency.
•
Unverifiable complaint: HPB informs the complainant and files the complaint for
information.
•
Further investigation of complaint required: HPB determines the priority of the
investigation. Depending on the risk presented by the non-compliant product, HPB may
decide to investigate immediately, or to wait for a scheduled inspection. Once it has set
Quality Service - Guide XI - Effective Complaint Management
the priority, HPB will investigate the complaint. The Branch may meet or call the
complainant for more details, analyze the suspect product or a similar one, determine
storage and sale conditions at retail and wholesale levels, and determine conditions of
manufacturing or importation.
Step 4: Resolving the complaint
If the complaint is valid and HPB knows the source of the problem, the Branch takes
appropriate enforcement action. The Branch will inform the complainant of the action it has
taken. If, after an investigation, HPB determines that the complaint is unverifiable or invalid, it
closes the file and informs the complainant of the actions taken and the results.
APPENDIX B
Good Investigative Practice
Most complaints can be dealt with quickly and efficiently. However, where a more substantial
inquiry is required, the following guidance may be helpful to investigating officers. The officer
who makes the final decision about the complaint should not carry out the investigation.
•
Find out whether the organization has received any previous complaints from this
person.
•
Contact the complainant to
- clarify the complaint;
Quality Service - Guide XI - Effective Complaint Management
- where appropriate, clarify the outcome sought, although this may change
during the course of the investigation;
- check whether the complainant needs support of any kind. The person may
have poor sight or hearing, or a language difficulty. Find out what he or she
needs to understand the discussion properly; and
- explain the investigation procedure.
•
Become knowledgeable on the relevant legal and administrative background of the
complaint.
•
Assess whether the complaint management system is the most appropriate way to
handle this complaint. Consider alternative possible procedures, such as
- appeal to tribunals;
- legal action; and
- police involvement.
•
Consider whether conciliation is appropriate (see Appendix C, Conciliating a complaint).
If it is not, discuss alternatives with the complainant.
•
Consider whether the complaint could be resolved without further investigation.
•
If the complaint concerns an action proposed by the organization, consider whether the
action should be deferred while the complaint is investigated.
•
Obtain originals of all relevant documents, not copies. These may include files, log
books, and time sheets.
•
Use the files to establish the relevant sequence of events, as well as the names of
employees most directly involved in the complaint.
•
Prepare questions for each person to be interviewed.
•
In the interview
- use open, not closed, questions;
Quality Service - Guide XI - Effective Complaint Management
- use neutral, not leading, questions;
- do not express opinions in words or by body language; and
- ask single, not multiple, questions.
•
Inform all those to be interviewed that a friend, union representative, or counsel may
accompany them, provided that the friend does not supervise the interviewee. Explain
the complaint clearly to them.
•
Consider whether you need an observer for a particularly difficult interview.
•
Conduct interviews in an informal and relaxed manner, but persist in your questions if
necessary. Do not be afraid to ask the same question twice. Make notes of each
answer.
•
Try to separate hearsay evidence from fact by asking interviewees how they know a
particular fact.
•
Deal with conflicting evidence by seeking corroborative evidence. If this is not
available, then, as an exceptional measure, consider organizing a meeting between
parties.
•
At the end of the interview, summarize the main points covered by the interviewee and
ask if he or she has anything to add.
•
Make a formal record of the interview from your written notes as soon as possible after
the interview, while your memory is fresh. Never put off this task for more than a day.
•
If appropriate, make an unannounced visit to the establishment that is the subject of
the complaint to check normal practices.
•
Draft a report setting out the evidence you have obtained, preferably without including
your own opinions. Circulate this for comment to all those interviewed, including the
complainant, unless there are special reasons not to do so.
•
Consider comments and amend the report as necessary. Add conclusions and, if
appropriate, suggest a remedy for the complainant.
Quality Service - Guide XI - Effective Complaint Management
APPENDIX C
Conciliating a Complaint
Conciliation is an informal process in which a passive third party is positioned between the
parties to create a channel for communications, usually by conveying messages between
parties who are unwilling to meet face-to-face, to identify common ground and to eventually
re-establish direct communications between the parties. The term is often interchanged with
mediation; however, conciliation involves a more passive third party. The process can be
readily combined with mediation.
(From Short glossary of dispute resolution terms, The Law Society of Upper Canada, July
1992.)
Conciliation can be an effective way to deal with relatively minor complaints and matters at an
early stage. Be aware that a client's question, if not answered properly, may lead to
dissatisfaction. Dissatisfaction may turn into a complaint. A minor complaint can turn into a
major problem, depending on how employees handle it. Someone other than the person who
is at the centre of the complaint usually someone senior to that person should undertake
conciliation. Depending on the nature of the complaint, departments could ask a third party
from a disinterested department or the private sector to conciliate.
Some people are better at conciliation than others, due to temperament, training, or
experience. Structure helps. Certain questions that a conciliator can ask may help all parties
reach a satisfactory resolution.
Do not conciliate a particular complaint if
Quality Service - Guide XI - Effective Complaint Management
•
the facts are likely to be in dispute, despite investigation;
•
disciplinary action is a possible outcome;
•
questions of precedent for the organization may be involved.
The time frame may also be relevant. Sometimes, passage of time may help resolve a
complaint by giving the complainant time to cool down, and giving the organization time to
obtain advice and to investigate alternatives.
How to conciliate a complaint
•
Listen to what the person has to say.
•
If the complaint is not clear, ask in a non-judgmental way what happened.
•
Ask, "What do you want to happen? or "What do you want to be done?"
•
Decide on a mutually agreeable course of action to adopt.
•
Take this action.
•
Report on the process and the outcome.
How to increase the likelihood of a successful conciliation
•
Explain why the organization took the action that is the subject of the complaint,
referring to the relevant legislation and the organization's procedures.
•
Apologize if the organization did not deliver appropriate service.
•
Take action. This may involve delivering the service, counselling staff, or taking other
creative measures.
What if the conciliation is appropriate but unsuccessful?
Quality Service - Guide XI - Effective Complaint Management
•
It will not always be possible to satisfy complainants or to agree to all the terms of
conciliation that they want. If so, further action may not be necessary. Use common
sense to determine what is reasonable or achievable.
•
Retain all conciliation results. You could include them in a public report, with due
regard for confidentiality.
APPENDIX D
Bibliography
The Citizen's Charter Complaints Task Force. Effective Complaint Systems: Principles and
Checklist. Citizen's Charter Unit, Cabinet Office, United Kingdom, 1993.
The Citizen's Charter Complaints Task Force. Good Practice Guide. Citizen's Charter Unit,
Cabinet Office, United Kingdom, June 1995.
The Citizen's Charter Complaints Task Force. Putting Things Right. Citizen's Charter Unit,
Cabinet Office, United Kingdom, June 1995.
Department of Justice. Dispute Resolution Reference Guide. Ottawa, June 1995.
Ombudsman for New South Wales. Guidelines for Effective Complaint Management.
Government of New South Wales, Australia, date unknown.
Réseau-qualité fédéral du Québec. La gestion des plaintes: un mal nécessaire ou l'opportunité
de s'améliorer? Rapport du Groupe de travail sur la gestion des plaintes, R-QFQ, 1995.
Quality Service - Guide XI - Effective Complaint Management
Veterans Affairs. At Your Service. Ottawa, 1995
Quality Service - Guide XII - Who is the Client? - A Discussion Paper
Quality Service - Guide XII - Who is the Client? - A Discussion
Paper
CLIENTS AND THE QUALITY SERVICES INITIATIVE
EXECUTIVE SUMMARY
The government aims to improve levels of client satisfaction with the delivery of government
services. In the wide array of government relationships, however, the meaning of the term
"client" is not always clear.
This paper defines a client as the direct recipient of "products" - in government's case, that
often means services - who engages in transactions with service providers to get access to
those services.
There is a considerable difference between clients and stakeholders. There is also a difference
between clients and citizens, since clients of government services are not always citizens.
Client satisfaction is a function of policy, products and services, and service delivery. The
quality services initiative, which is the stimulant for this series of guides, concentrates primarily
on the service delivery process, while providing useful information on developing policy and
defining products.
Policy making often involves balancing the diverse views and interests of clients and
stakeholders. Service delivery processes provide clients with services that policy has
determined the organization will make available.
The concept of "client" applies to both internal and external service recipients. Client
satisfaction is a mindset, a value framework, and organizations must maintain this mindset
internally if they wish to satisfy their external clients consistently.
Quality Service - Guide XII - Who is the Client? - A Discussion Paper
Organizations that provide regulatory, enforcement, and inspection services can improve their
responsiveness and encourage voluntary compliance by applying principles of quality service
and client orientation. The benefits to the organization, its clients, and its stakeholders are
significant.
In concert with Program Review and related initiatives to "get government right," organizations
are working to improve client satisfaction measurably. By doing so, they aim to increase
Canadians' confidence in the Government of Canada and in the Public Service.
This guide is intended to help all public service employees develop that common
understanding, so that together we can measurably improve client satisfaction.
INTRODUCTION
The quality services initiative is designed to measurably improve client satisfaction with
government service delivery. The word "client" can have many different meanings in the public
sector. This guide has been prepared to help public service employees become more client
focussed in their service delivery by giving them a clearer and more consistent understanding
of
•
the meaning of the word "client" in service delivery;
•
the concepts of internal and external clients; and
•
client satisfaction in regulatory and enforcement environments.
Quality Service - Guide XII - Who is the Client? - A Discussion Paper
The public sector must balance the interests of many parties whose ideas, needs, and desires
may differ. It may not be easy to figure out who the client is, particularly when these interests
conflict.
Satisfaction with service delivery differs from satisfaction with material products. A closer look
at the nature of client satisfaction with service delivery may help organizations identify their
clients more clearly, which may help them improve levels of client satisfaction.
Some organizations may wonder whether they have clients at all. For instance, several
government departments exist to serve other departments, and do not deal directly with the
public. How does the idea of "client" apply to these situations? Does Treasury Board
Secretariat, for example, have clients? In another example, consider information management.
This is an important support function, but information managers do not deal with the public.
Does this function have clients?
Other organizations, such as regulation and enforcement agencies, may feel that the idea of
client focus, which is gaining acceptance in many parts of the public sector, is at odds with
their role. Does the idea make sense in inspection situations? In law enforcement? In
regulatory compliance?
CLIENT DEFINITION
Complexity of Government Relationships
Government acts on behalf of its citizens. In one sense, citizens as a collective are the
government's client. Yet individual citizens relate to government services in a number of ways
Quality Service - Guide XII - Who is the Client? - A Discussion Paper
- sometimes as direct recipients, sometimes as affected parties, sometimes as taxpayers
concerned with the way their resources are spent.
The federal government also relates to a wide range of groups and institutions: provincial,
municipal, and international governing bodies; major business, labour, and environmental
interest groups; and others. All of these organizations have legitimate interests that must find
their place in the government agenda.
In addition, government sometimes serves non-citizens and parties outside Canada, such as
international governing bodies, foreign businesses, tourists, and people applying to become
immigrants.
The work of government itself is a complex mixture of policy making, regulation and
enforcement, administration, inspection, and service delivery. These functions must balance
the often-conflicting views of interested and affected people, whose needs, values, and beliefs
cover a very wide spectrum.
Citizens as Stakeholders
Perhaps the term "stakeholder" best describes the interests of society at large. Property
owners beyond child-rearing age, for example, are not clients of the education system,
although they are undoubtedly affected by the outputs of that system, and have interests in
the taxes they pay towards that system. Similarly, those who contribute to unemployment
insurance but who have never been claimants are not clients of that system, but they have an
interest in the system at many levels.
Stakeholders have an important role to play in determining government policy. Consensus
among all stakeholders is rare, particularly if some of them represent single-issue interest
groups. Stakeholders can and should influence government priorities, policies, and programs.
The policy development and political arenas balance stakeholder concerns.
Citizens as stakeholders probably share one common perspective: a concern with taxation
levels. Here again, their interest is not as individual consumers of government services, but as
Quality Service - Guide XII - Who is the Client? - A Discussion Paper
the source of funding for government expenditures. Their interest is direct and significant, but
they are not clients or recipients. They are stakeholders and affected parties.
CLIENTS - RECIPIENTS OF GOVERNMENT SERVICES
From time to time, individuals will use certain government services. Usually, they obtain these
services through government because there is no alternate source. Passports, unemployment
insurance, and Canada Pension are examples. These transactions, in most cases, are not
commercial; no competitors provide the same service, and the services are funded through tax
revenues, although user fees may recover some portion of costs.
Private-sector organizations can often identify their clients by determining who pays for a
particular product or service. While this concept can be useful in the public sector, and may
have increasing relevance there as cost recovery and alternative service delivery approaches
develop, it does not always apply. People who receive social benefits support, for example, do
so at the expense of others. Yet the benefits recipient is the client: he or she applies for the
service and deals with the service provider. There are many similar examples in the public
sector of program clients who are not the people who pay for a particular service.
Nonetheless, it may become more important in the public sector to define clients by looking at
who pays for a particular service. Governments are beginning to recover more costs from the
people they serve directly, so they are under increased pressure to be accountable to those
they serve - and charge. People paying for services must feel those services are relevant, and
must be satisfied with the way these services are delivered.
People who use government services directly are clients. We use the term "client" rather than
"customer" to help differentiate between public-sector and private-sector transactions.
Quality Service - Guide XII - Who is the Client? - A Discussion Paper
Definition of Client
It is doubtful that any single definition adequately describes the complete scope of
relationships between government and all the parties government affects.
In the context of being client focussed, the term "client" means direct recipients of
government services, who get access to those services by dealing directly with service
providers. Clients experience what it is like to register for a GST number. Clients know what is
involved in obtaining a passport. Clients go through the application process to receive UIC
benefits. Through these direct service experiences, or transactions, clients decide whether they
are satisfied with service delivery.
The term "stakeholder" is a broader definition encompassing all of the relationships through
which government interacts with parties affected by government operations. Satisfaction of
stakeholders is no less important than client satisfaction; in some cases, it may be more
important. However, the processes through which governments balance stakeholder concerns
are quite different from the direct transactions through which it serves clients. Sometimes, the
terms "indirect clients" or "secondary clients" are used to describe stakeholders.
This distinction has to do with separating policy from operational delivery. Diagrammatically, it
might look something like Figure 1.
"Policy" has to do with setting objectives and priorities, specifying expected outcomes, and
allocating resources. "Operations" has to do with providing services, and managing the
resources devoted to these tasks.
Other jurisdictions wrestle with the same dilemma. The following quote from a publication of
the Management Advisory Board of the Australian government puts it well:
Once the nature of the services is specified and resources
allocated it is the responsibility of the Public Service and its staff
to see that the services desired by the Government are delivered
effectively, efficiently and in a timely fashion, with proper
Quality Service - Guide XII - Who is the Client? - A Discussion Paper
courtesy and sensitivity and with full regard to the legal rights
and entitlements of clients. For the Public Service this is the nub
of client focus and service quality.
There are many instances where clients are also stakeholders, citizens, and taxpayers. There
are also instance where the beneficiary is someone other than the client. An example might be
the approval process for new drugs, where the beneficiary is the public, but the client is the
pharmaceutical industry. Individuals may well have roles at both ends of the spectrum. Their
different roles are recognized through different processes. Improving client satisfaction with
service delivery is a very different issue from balancing conflicting interests in the formulation
of policy. Being clear about these differences in roles may help organizations clarify the
concept of "client" in service delivery.
SATISFACTION
What constitutes satisfaction? The literature pertaining to both the private and public sectors
on this question is considerable. As it pertains to government services, three elements appear
to be central.
The "What" in Client Satisfaction - Policy
First, satisfaction comes from establishing service priorities. This is the policy domain, through
which government decides what services it will offer. At this stage, the government balances
conflicting demands for services and resources to best meet the requirements of all
stakeholders. It also determines the "what" of government operations, through the political
process and through internal decision-making processes such as Program Review.
Quality Service - Guide XII - Who is the Client? - A Discussion Paper
The "What" in Client Satisfaction - Services and Products
Once the government makes policy decisions, it determines what products or services it will
deliver to meet policy objectives.
Clients form expectations based on their awareness of these products and services.
Unemployment benefits are available under certain conditions. Immigration applications are
approved using specific criteria. Passports are available to eligible applicants. Canada Post
provides coast-to-coast postal services. These statements are the operating expression of
policy in specific deliverable terms. One might think of these as the "products" of government
operations.
Clients expect these "products" to be available to them "as advertised," and they will be
satisfied only if they receive the "product" they expect. If the client receives a tax refund that
is lower than he is entitled to, he will not be completely satisfied, no matter how quickly or
politely the cheque was delivered!
The "How" in Client Satisfaction - Service Delivery
Quality Service - Guide XII - Who is the Client? - A Discussion Paper
The third component of satisfaction has to do with the delivery process itself. Once policy has
been determined - eligibility criteria for unemployment insurance, for example - client
satisfaction depends on the delivery process.
Many aspects of the delivery process affect clients' perceptions and their level of satisfaction.
These might include
•
access to case workers;
•
the simplicity of the application process;
•
the nature of clients' interactions with public service employees while receiving the
"product."
The service delivery process is quite distinct from the "product," although they are closely
linked in terms of client satisfaction. Just as a client will be unhappy with a defective product,
even if it is delivered quickly and politely, a client will also be unsatisfied if an organization
delivers a satisfactory product through a difficult, confrontational process.
To satisfy clients, therefore, organizations must focus on the delivery process itself and ensure
that the service transaction produces results to which the client is entitled, in ways that meet
the client's expectations for service delivery.
Front-line personnel do, in fact, frequently serve both clients and citizens at the same time. For
example, in assisting an applicant, front-line people serve the applicant as a client. At the
same time, they serve the citizen by ensuring applicants who are approved meet the eligibility
criteria. Balancing these interests is a delicate matter, and places unique demands for
sensitivity and diplomacy on front-line service delivery employees.
Service delivery often involves personal interaction between the recipient and the service
provider. Unlike a production process, the "service" cannot be examined and quality tested
before it is delivered. Client satisfaction with service delivery is created through the interaction
itself. The expected outcome of a transaction, and the process used to reach that outcome,
Quality Service - Guide XII - Who is the Client? - A Discussion Paper
jointly determine client satisfaction. It is here that the quality services initiative has its
influence.
THE QUALITY SERVICES INITIATIVE AND CLIENT SATISFACTION
Overall satisfaction is a joint function of policy, product, and delivery process. Program Review
focuses on policy and product; it will determine "what" the government should provide and
what services it will use to do so. The quality services initiative determines "how" the Public
Service will deliver the services.
This is not to undervalue the important flow of information between the service delivery
process and the policy and program definition processes. The organization learns critical
information about its clients during the service transaction, and it should capture that
information and provide it to those who determine policy and define products. However, it is
not the role of those who deliver services to change policy or product. Nor is it the role of the
service delivery process to address the concerns of all stakeholders. That would place an
unreasonable and unrealistic burden on front-line personnel.
No single initiative is likely to address all of the issues involved for all of the participants and all
of their interests. The quality services initiative can, however, improve client satisfaction by
smoothing the delivery process, and by feeding the intelligence gained during client
transactions into the policy and product development functions.
Client Satisfaction in Regulatory and Enforcement Environments
The shift towards a client-centred focus has particular sensitivities in the areas of enforcement
and regulation. Traditionally, particularly in enforcement, government's use of coercive
Quality Service - Guide XII - Who is the Client? - A Discussion Paper
authority to force compliance has created adversarial, rather than service-oriented,
relationships.
Service Delivery and Obligation Delivery
The writings of Malcolm Sparrow of Harvard University's John F. Kennedy School of
Government speak directly to the dilemma. In his book, Imposing Duties, he observes that it is
impossible to separate service delivery and regulation in government, because many agencies
are involved in both activities. But, he adds, "some agencies of government are much more
heavily involved than others in using the authority of the state, when necessary, to make
citizens act the way society deems appropriate. These agencies have special problems
maintaining a plausible image as public servants rather than public oppressors."
It is hard to consider enforcement and regulation in the context of customer-driven
government, Sparrow adds, because the primary clients of enforcement actions are society at
large. The polluters, tax evaders, or other lawbreakers who must deal with enforcement
officers are also clients, but they are usually unwilling ones.
He points out, however, that any agency that tries to serve the public better will likely improve
its public image, extend its range of contacts, and receive better cooperation from the public.
For those reasons, regulatory and enforcement agencies should develop a stronger service
orientation.
That message is particularly applicable to the quality services initiative. A service orientation
does much to encourage people to fulfil their obligations as citizens voluntarily. Enforcement
can also promote voluntary compliance. Certainly, both clients and enforcement agencies
would welcome a greater focus on voluntary measures and less reliance on coercive measures.
Revenue Canada, by making it easier for people to comply with its rules and by improving
service to tax filers, has had significant impact. There can be little doubt that Revenue
Canada's client-centred approach has earned the department much goodwill, enhanced
voluntary compliance, and improved the working atmosphere for front-line staff.
Quality Service - Guide XII - Who is the Client? - A Discussion Paper
Similarly, it makes sense to be client oriented at border crossings. Travellers undergoing
examination, whether they are in compliance with the law or not (and the vast majority are),
deserve courteous, timely, respectful service that helps them continue their journey. In
another example, drivers who break speed limits are no less deserving of polite service. It is
highly likely that, even though one may not enjoy the experience, one may gain respect for
the enforcement official if one is treated respectfully. A pleasant encounter may increase
voluntary compliance.
Regulatory organizations encounter similar circumstances. The ultimate beneficiary of an
approval process is society at large. Yet, by adopting a client focus, regulatory organizations
can help those seeking approval to comply with regulations as easily as possible, without
compromising the regulation involved. The Canadian Standards Association approves new
products, Health Canada approves new drugs, and Agriculture and Agri-Food Canada approves
new processes: these situations all involve transactions between regulators and their clients.
Regulators can apply the principles of the quality services initiative to improve client
satisfaction with these transactions.
Policing experiments in many communities in Canada and in other jurisdictions have provided
abundant evidence that the benefits Sparrow talks about are real and achievable. The Peel
Regional Police in Ontario, for instance, received a Canada Award for Excellence Certificate of
Merit in 1995, as part of the annual recognition program of the National Quality Institute.
While the cultural shift may be more challenging in some enforcement and regulatory
environments, it seems clear that heightened client sensitivity can make a real difference to
client satisfaction, voluntary compliance, community goodwill, and the atmosphere of the
workplace.
Quality Service - Guide XII - Who is the Client? - A Discussion Paper
INTERNAL CLIENTS
The ideas of client service and client satisfaction apply to all public service employees and all
functions. Client satisfaction is a mindset, an attitude, a value framework for the way we work.
It does not matter whether those we serve are inside or outside the Public Service - the
concept remains the same.
All public service employees produce outputs intended to serve recipients. Whether the
recipient is a pensioner receiving a cheque, or a co-worker who depends on the work you do
to do her work, the idea of "client" still holds. Whoever receives your work is engaged in a
service delivery transaction with you, in which you are the service provider and he is your
client.
Whether we are considering an organization or an individual, the work process looks like the
diagram in Figure 2.
We take inputs - for example, our own skills and knowledge - and do something with them to
produce outputs that go to those who use our work. Our work exists to meet the needs of
whoever receives the outputs we produce. The value that we add is reflected in the degree to
which our outputs satisfy our clients. This model is true for all work, and for all organizational
Quality Service - Guide XII - Who is the Client? - A Discussion Paper
levels and forms. It may seem simplistic, but it is extremely helpful to focus on what you do
for whom, and the extent to which recipients are satisfied with what you do for them.
Internal Client Satisfaction - A Route to External Client Satisfaction
The quality movement has been around for many years. The literature on the subject is
considerable and growing. One consistent theme, even among experts who disagree on other
matters, is that the concept of client satisfaction must be applied to internal clients if
organizations are to satisfy external clients.
How we perceive our work environment determines how we work. If our work environment is
callous, insensitive, unresponsive, and apparently uncaring, we will inevitably adopt similar
attitudes and values. These values and attitudes will become part of the culture, part of the
way people work. A service orientation does not begin at the point where the organization
interacts with its external clients. It is created by behaviours within the organization, and by
leadership that models what the organization expects, requires, and values. It is simply not
possible to create sustained external client satisfaction through an internal environment not
dedicated to the same ethic.
It is easy to imagine the desirability of a workplace in which each employee is treated as a
client worthy of being satisfied, and where all employees' work is designed to serve the needs
of those who depend on it. A workplace built to continuously improve internal client
satisfaction is well placed to serve its external communities in the same way.
CONCLUSION
Quality Service - Guide XII - Who is the Client? - A Discussion Paper
The government with its emphasis on client-focussed service delivery seeks measurable
improvements in client satisfaction with the delivery of government services.
This means a focus on the delivery of services to direct recipients through the transactions
with the service provider that the client experiences.
The concept of client satisfaction in these terms applies equally to internal and external clients.
A strong case can be made that the improvement of external delivery begins with
improvements to internal client satisfaction. It is unlikely that organizations can continue to
satisfy external clients in an environment that does not value the same attitudes and
characteristics in its internal behaviour.
While this focus is probably most visible in areas of traditional service delivery, it also applies
to regulatory and enforcement functions, both internal and external.
The quality services initiative embraces the delivery of government services - the "how." It
does not directly affect the "what" of government services - that is, what services the
organization chooses to deliver. In conjunction with Program Review and similar initiatives to
establish policy and define the "what," the quality services initiative is a significant undertaking
to improve the quality of services and the level of client satisfaction with those services.
Getting Government Right - A Progress Report, published by the Canadian government in
March 1996, states, "The first challenge will be to continue to organize service delivery from
the perspective of those receiving the services. This will mean providing services in a manner
that is convenient to the client, efficient, and flexible."
This challenge is being addressed with this series of publications. It is hoped that this guide
will help public service employees understand the use of the term "client" as it applies to
implementing client-focussed service delivery.
Quality Services - Guide XIII - Managers' Guide for Implementing Quality Services
Quality Services - Guide XIII - Managers' Guide for Implementing
Quality Services
DECLARATION OF QUALITY SERVICES PRINCIPLES
The Government of Canada is committed to delivering quality services to Canadians. Our
clients can expect to receive service that:
•
is prompt, dependable and accurate;
•
is courteous, and respects individual rights, privacy and safety;
•
reflects a clear disclosure of applicable rules, decisions and regulations;
•
is good value for money, and is consolidated for improved access and client
convenience;
•
respects the Official Languages Act;
•
is regularly reviewed and measured against published service standards, and these
reviews are communicated to clients; and
•
is improved wherever possible, based on client suggestions, concerns and
expectations.
Acknowledgments
A multi-regional, interdepartmental working group contributed numerous hours over many
months to ensure successful production of this guide. The executive sponsor of the group is
Joy Kane, Assistant Deputy Minister of Corporate Services for Treasury Board of Canada,
Quality Services - Guide XIII - Managers' Guide for Implementing Quality Services
Secretariat and Finance Canada. The members of the working group include, in alphabetical
order:
Sheril Armstrong, Treasury Board of Canada, Secretariat;
Geoff Dinsdale, Treasury Board of Canada, Secretariat;
Marie-France Dufour, Natural Resources Canada;
Peter Findlay, Canadian Centre for Management Development;
Bal Gandhi, Transport Canada;
Eleanor Glor, Health Canada;
Alan Gratias, Agriculture and Agri-Food Canada;
Gaston Guénette, Treasury Board of Canada, Secretariat;
Dave Kay, Human Resources Development Canada;
Gregory Kostrysky, Foreign Affairs and International Trade Canada;
Lynne Laviolette, Indian and Northern Affairs Canada;
Leslie Lawry, Revenue Canada;
Monique Leclair, Conseil des hauts fonctionnaires fédéraux du Québec;
Grant MacKay, Public Works and Government Services Canada;
Bernard Maltais, Conseil des hauts fonctionnaires fédéraux du Québec;
Sheril McKendry, Treasury Board of Canada, Secretariat;
Dee Pannu, Foreign Affairs and International Trade Canada;
George Paterson, Health Canada;
Emy Romanos, Citizenship and Immigration Canada;
Scarlett Ryan, Royal Canadian Mounted Police; and
Andrew Siman, Industry Canada.
We want to thank others who contributed to the guide, too, including:
Denis De Gagné, Geomatics Canada;
John Dingwall, Canadian Centre for Management Development;
Greg Evans, Revenue Canada;
Bruce Lawrence, Revenue Canada;
Martin Leigh, Revenue Canada;
John Marchio, Human Resources Development Canada;
Jocelyne Perreault, Revenue Canada;
Quality Services - Guide XIII - Managers' Guide for Implementing Quality Services
Chris Dodge, Director of Innovative and Quality Services Division, and members of her staff:
Allison Fader, Nancy Fahey, Stephen Giles, Sue Morgan, Ray Scharf and Jeremy Thorn;
members of the Interdepartmental Quality Network; and officers and managers from a number
of regions.
Introduction
This guide, prepared by a working group of Public Service managers, is intended to be a
practical reference for managers and supervisors embarking on the quality services journey.
It is designed to help you get started on a service-oriented initiative. It provides
•
a suggested step-by-step approach to implementing quality services;
•
examples of successful quality initiatives in the federal government; and
•
references for additional information.
It is based on the experiences of public-sector managers who have worked diligently for many
years to satisfy clients and employees. There are many examples of organizations, such as the
Shawinigan office of Revenue Canada, that have improved service by applying a quality focus.
Quality initiatives have improved both service and employee satisfaction, even during
significant downsizing or restructuring. This guide will help you apply the lessons these
organizations have learned to your situation.
The Government of Canada is committed to providing Canadians with affordable, responsive
services that will measurably improve client satisfaction. In June 1995, the government
Quality Services - Guide XIII - Managers' Guide for Implementing Quality Services
undertook the quality services initiative, and reaffirmed that commitment in the 1996 Speech
from the Throne and Budget.
Every employee and every level of management is responsible for implementing the initiative.
You, as a manager or supervisor, have a particularly important role to play, because you lead
the efforts of all front-line staff and participate fully yourself. This guide complements the
series of quality services guides that interdepartmental working groups developed in the
summer of 1995. Those guides have since been expanded, and, like this guide, will continue to
be revised to reflect new experiences.
We want this guide to be a useful reference. Please let us know your suggestions for
improving it. You can contact us at
Innovative and Quality Services Group
Treasury Board of Canada, Secretariat
L'Esplanade Laurier
140 O'Connor Street, 10th Floor, East Tower
Ottawa, Ontario K1A 0R5
Telephone: (613) 952-8781
Fax: (613) 954-9094
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Key Principles of a Client-Centred Approach
Quality Services - Guide XIII - Managers' Guide for Implementing Quality Services
This guide offers practical, how-to suggestions for implementing service delivery that focuses
on clients. For those new to the subject, the quality services guides referred to in the
introduction may be helpful. You'll find more references in Appendix C to this guide.
Three principles are fundamental to quality service.
Satisfying clients
When working to deliver quality services, organizations focus on improving the level of client
satisfaction. As the service provider, you need to know
•
the nature and mandate of your business;
•
client needs, expectations, and priorities relative to that business;
•
the present level of client satisfaction; and
•
the resources you have.
Using this information, you can consider what improvements would most improve client
satisfaction. Then, working with clients, you can make plans for improving satisfaction. This
allows you and your clients to agree on what is possible. It will also help you in setting realistic
client expectations and in charting the future direction of your organization.
Involving employees
Employees know how they interact with clients. They also have views about the way their
work is structured and carried out. Because they serve clients directly, they are, in many ways,
better equipped than anyone else to see ways of improving delivery.
Employees also must be able to use their own discretion and respond creatively to each client's
particular needs. Involving employees in change is basic to gaining their commitment to the
outcomes desired. If employees are part of the changes, and see themselves in the new ways
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of doing things, their sense of ownership is much stronger than it is when organizations
impose change.
For all of these reasons, involving employees is critical to improving client satisfaction.
Continuous Improvement/Adaptation/Change
Client expectations change as their needs and experience change. So does your capacity as
the service provider. And employees continually gain new skills and find new ways of solving
challenges creatively.
This means that, regardless of the present level of client satisfaction, all organizations can
improve continuously. It is an ongoing task because so many things continue to change.
Characteristics of Service Delivery
Quality service has some unique characteristics.
•
Clients are a direct part of the process, bringing perceptions and expectations to the
transaction that become part of their interaction with you.
•
Unlike a manufactured product, which can be made, inspected, and controlled for
quality before it is released to the client, service quality cannot be inspected before
delivery.
•
Because clients participate fully in the transaction, they are concerned both with the
output or result of the transaction, and the process for delivering that outcome.
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•
In a production environment, eliminating variance is critical to making high-quality
goods. In delivering service, satisfying clients depends not on eliminating variance, but
rather on personalizing the service delivery to the unique circumstances of each
transaction. Applying certain principles consistently, rather than providing an identical
response to each transaction, is the key to delivering quality service.
•
Client satisfaction is subjective. It is made up of two essential ingredients expectations and perceptions of delivery. Clients have unique expectations based on
their individual experience and needs. They have their own perception of what they
received. Any difference between what they expected to get and what they perceive
they got will affect their satisfaction level. Figure 1 illustrates the idea of the
"satisfaction gap." It also shows how organizations can affect client satisfaction.
Figure 1 - Satisfying Clients
It will be helpful to bear these principles and characteristics in mind as we look at an approach
to implementing quality services.
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Overview of the Approach
Many approaches to implementing quality service have been successful. You will develop your
approach to suit your circumstances. What works in one situation doesn't necessarily work in
another. However, all of the approaches include the basic elements of the six steps suggested
in the following approach.
Where are you now?
Steps 1 and 2 are designed to help you and your employees get as clear a picture as you can
of how well you are satisfying clients and involving employees.
Where do you want to be?
Steps 3 and 4 focus on your goals and objectives.
How can you get where you want to be?
Steps 5 and 6 look at actions and measurements that will move you in the direction you want
to go, and will help you steer the way.
Figure 2 shows these six steps, framed on one side by clients' expectations, and on the other
by employees' expectations. Fully involving clients and employees is a key aspect of delivering
quality service. Involving union partners can strengthen your quality approach. As we examine
each of the six steps, remember that each step has to reflect the world of your clients and
your employees.
Figure 2 - A Client-centered Approach to Achieving Quality
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The Six Steps of the Approach
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We will look now at the six steps of the approach in detail. Integrating the steps with clients
and employees is clearly fundamental. If you wish to explore either of these dimensions
further, you may find three guides in the quality services series helpful: Guide I: Client
Consultation, Guide VI: Employee Surveys, and Guide IX: Communications.
1. Defining Your Products, Services, and Clients
STEP 1: KEY POINTS
Products and services
Does each person in your work unit have a list of the products and services he or she produces
that go to others?
Has your work group reviewed and added to the list of products and services of each group
member?
Have you examined the products and services against the mandate of your organization?
Clients
Has each individual defined the people to whom his or her products and services go?
Does your team understand the idea of both internal and external clients?
Does your team understand the concept of clients as those who receive your products and
services directly?
You and your employees are the only people who can identify the specific services that your
unit or branch provides. You could ask each person to list the things he or she produces that
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go to people who depend on those things to do their work. Note that you are looking for a list
of services or end products, not a list of activities.
When a work group does this exercise together, each person should specify his or her products
and services for the other members of the group. The other members can then add to, modify,
and otherwise clarify the list. Incidentally, this builds cross-knowledge among group members.
It also helps them understand how each person contributes to products and services that the
group produces together.
After identifying products and services, you should list beside each one the person who uses
those products and services. These people are your clients. Clients receive your products and
services directly from you.1
There is a great deal of debate about the definition of the word "client" in a public-sector
context. Operating managers concerned with improving client satisfaction should focus on the
specific products and services they produce, and on the people who use them directly.
2. Identifying Present Levels of Client and Employee Satisfaction
This is the next step in establishing a clear picture of where you are now. Two guides in the
quality services series - Guide II: Measuring Client Satisfaction and Guide VI: Employee
Surveys - offer more detailed suggestions on interacting with clients and employees to
understand current levels of satisfaction.
Satisfying clients
Your experience and intuition have already given you a good deal of information about what is
important to your clients and about their present levels of satisfaction. Consulting regularly
with your clients, however, will keep you informed about their changing needs and
circumstances.
STEP 2: KEY POINTS
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Satisfying Clients
Has each team member reviewed outputs with his or her clients to find out whether clients are
satisfied?
Does your organization solicit client feedback through
- focus groups?
- surveys?
- comment cards?
- complaints?
Do you log and review inquiries and complaints?
Do you know which of your services are most important to your clients?
Do you know what your clients' expectations are?
Do you know what service improvements your clients would most like to see?
Are you aware of changes in client circumstances to which you may need to adjust?
Your needs and wants change as your work environment changes. The same thing happens to
your clients. What you understand to be important to them today may not be a priority to
them in the future.
It is worth noting again that clients' satisfaction is based on their perception of the degree to
which their expectations were met. Assessing client satisfaction includes, therefore,
understanding those expectations. Knowing that clients are dissatisfied with one aspect of your
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outputs is useful, but it is much more useful to know what their expectations are, and what
changes would be necessary to satisfy them better.
Developing valid client survey tools can be a delicate matter. You may wish to obtain
professional advice if you decide to use surveys.2
Satisfying employees
As well as assessing client satisfaction, you must find out how satisfied your employees are
with the way services are now delivered and with their work environment.3
Regardless of what methods you use to get information about employee satisfaction, you can
clarify your understanding of that data and build your relationships with your staff by using
that data as a basis for discussions with your employees. Since it is their data, and since you
are interested in their perceptions, their interpretation of the information is crucial.
Use the data as the starting point for employee discussions to
•
interpret the data;
•
identify common themes in employee perceptions;
•
involve employees in identifying aspects of the work environment that affect their
satisfaction or that limit their ability to satisfy clients; and
•
involve employees in searching for, identifying and implementing appropriate actions to
improve the work environment.
Involving employees will ensure that your conclusions reflect your employees' feelings about
the meaning and importance of issues. It also builds employee commitment towards changes
you may decide to implement.
Quality Services - Guide XIII - Managers' Guide for Implementing Quality Services
STEP 2: KEY POINTS (cont'd)
Satisfying Employees
Do you conduct regular surveys?
Do you periodically discuss improvement possibilities with your employees at team meetings?
Do you review performance appraisals and attrition and absenteeism information as indicators
of employee satisfaction?
Do you discuss symptoms and concerns you may have with your employees to get their
interpretation and suggestions?
When you seek employee input, do you provide feedback on findings, actions, and decisions?
(Few things generate cynicism more than asking for opinions and providing no feedback.)
Do you encourage employees to express concerns they have with the work system and the
workplace?
3. Defining and Declaring Where You Want to Be
Once you and your staff have defined your products, services, and clients, and you have
determined how satisfied clients and employees are with the present service delivery, the gaps
in satisfaction will become clear.
Decide whether the gaps are due to inappropriate expectations, or stem from perceptions
about the delivery process. These causes are quite different, and require different approaches
to improving client satisfaction.
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Developing a sense of direction by actively involving both clients and employees can be a
highly stimulating and energizing undertaking. By including the affected people in shaping the
picture of the future you want to create, you will be building commitment to making it happen.
Once you have developed the picture of the future, or vision, you need to articulate it clearly
for your employees and clients. The vision is particularly powerful in creating appropriate
expectation levels, as well as in "reality testing" your direction. It also becomes a foundation
upon which you and your organization can manage accountability and performance.
STEP 3: KEY POINTS
Do you have a group-developed sense of what you are trying to create?
Do you and your staff have a shared understanding of satisfaction gaps for clients and
employees?
Are you and your staff clear on the causes of satisfaction gaps?
Do both your clients and your staff understand the expected levels of client and employee
satisfaction?
This is a critical part of the leadership role that you need to perform if your journey towards
quality is to succeed. You cannot delegate it, although you can - and perhaps should - share it.
4. Identifying Areas for Potential Improvement
Potential areas of improvement flow directly from the baseline data you collected earlier in the
process. Understanding client and employee expectations and satisfaction levels will show you
quite clearly where you can improve your current performance to increase satisfaction.
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When analyzing the data to decide which areas you should change to improve satisfaction, pay
particular attention to
•
broad-based perceptions (as opposed to perceptions held by only a few);
•
very negative perceptions;
•
issues that clients feel are very important;
•
issues that you have the technical, legal, and other resources to act on; and
•
issues that relate to achieving your work goals and objectives.
These criteria should help you in selecting areas for improvement that are most likely to
improve satisfaction levels. You will need to set priorities, unless you are in the enviable
position of having the resources to do everything at once. Consult with clients and employees
when setting your priorities. They will tell you what is most important to them, usually in fairly
definite terms.
STEP 4: KEY POINTS
Have you and your staff analyzed satisfaction gaps for magnitude, frequency, and client
impact?
Have you involved clients and employees in setting priorities for improvement?
Realistically, do you have the resources to apply to the areas you have decided are priorities?
This test may lead you to rank priorities further, and to set an improvement sequence that you
can follow as resources allow.
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Have you reviewed your priorities for their relevance to your work goals and objectives?
If you are debating between doing several things at a mediocre level versus using your
resources to do a few things well, the research suggests you will create greater satisfaction by
doing a few things well, then moving on to the next task.
5. Developing and Implementing Action Plans for Improvement
As a manager, you are already familiar with the processes of managing performance planning, organizing, allocating resources, monitoring performance, and so on.
Some tools you may consider in implementing a quality management approach include4
•
best practices;
•
benchmarking;
•
training in quality concepts, and in analyzing and solving problems;
•
process mapping;
•
integration of client and employee involvement in and feedback into work processes;
•
service standards;
•
regular progress reports to clients and employees; and
•
organizational self-assessment.
When implementing quality programs, many organizations try to increase responsiveness to
clients by giving employees who directly provide service more authority to make decisions.
That task is not always easy. It involves creating an environment where front-line employees
feel comfortable making decisions and exercising discretion in ways that may be new both to
them and to the organization.
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Make sure your employees have the tools they need to act appropriately. Frequently, this
involves providing information systems that allow employees to see a client profile or history
during a transaction. Employees need the fullest possible context to guide their judgments and
decisions. They may also need training in such skills as customer relations and problem
solving.
You should encourage and support your employees' efforts to gain new skills and to exercise
judgment and discretion. Your encouragement, and the rewards and recognition that should
accompany success, will help your employees gain confidence in themselves and in the vision
you are all trying to accomplish. This confidence will inspire employees to take more initiative
and to innovate. By developing and making full use of employees' capabilities, the level of
employee satisfaction in your organization will increase.
Sometimes, managers are concerned that giving employees more power to make decisions is
risky. When this is a new responsibility for employees, you should guide your staff carefully so
that their actions reflect your organization's culture. Remember, also, that this culture may
restrict your ability to create your vision quickly.
As you and your staff develop confidence in the approach and the skills, you can gradually give
front-line employees more power to make decisions. You won't instantly achieve the vision you
and your employees developed in the third step. You will, however, start moving in that
direction. Your success at each stage will smooth the way for the next steps.
A recent study on the things employees most want to know from their managers may help you
in improving employee satisfaction. The top three concerns, in order, were
•
what is my job?
•
how am I doing?
•
does anybody care?
These three questions underscore the need for
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•
shared direction and an understanding of each person's part in the process;
•
clear expectations of performance and accountability;
•
feedback on actual performance; and
•
recognition for good performance and consequences for poor performance.
By improving your organization in these areas, you will probably improve employees'
perceptions of their workplace.
Implementing a quality services approach requires an investment of time, effort, and
resources. This investment will improve relationships with clients and employees by
•
preventing errors;
•
eliminating rework;
•
reducing absenteeism;
•
increasing productivity;
•
reducing waste;
•
reducing non-essential tasks and activities; and
•
promoting innovation and creativity.
These benefits have been thoroughly researched and documented. They don't come, however,
without an up-front investment. In times of fiscal restraint, it will probably be hard to find the
energy and resources to make the investments needed. Most organizations approach this
challenge by reallocating existing resources, building as resources become available, and
reinvesting the gains as they go along.
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You may be reassured to know that senior managers are wrestling with the same dilemma as
they include strategies for improvement in their annual departmental business plans.
STEP 5: KEY POINTS
Are your employees actively involved in creating the action plans?
Do your employees have the knowledge, context, skills, authority, and responsibility they need
to do the job?
Do your employees need training before you can reasonably expect them to do their part?
Is accountability for results clearly established?
Have you planned for appropriate ways of recognizing and celebrating success?
Have you considered the various tools and techniques that may be applicable, such as service
standards, benchmarking, best practices, and process mapping?
Does your plan include progress reporting methods and schedules for employees and clients?
Are your expectations of employees appropriate? Do they have a clear understanding of what
you expect?
Have you considered ways of giving employees feedback as they learn and progress?
Does your plan include measures of performance that your employees understand?
Do your employees know you care? (The question is not whether you care, but whether your
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employees know it.)
You may be able to conduct useful discussions with clients and employees without taking on
major research projects. In fact, in many cases it is better to be informal. Even training could
be covered by adding modules to existing programs if you cannot provide a full-fledged course
on quality service.
6. Monitoring, Reporting on, and Continuously Improving Performance
This section outlines ways to track your organization's progress toward improving quality.
•
You should report unit performance to employees regularly, and discuss the results
with them. Seek their interpretations and advice, and get their agreement on the next
steps. Monthly reviews are appropriate in many cases.
•
When you are building service standards into your action plan, be sure to report
performance against standards to your employees. (You may also wish to post
performance information where clients can see it.) Clearly visible wall charts that cover
an extended period can allow all staff to see both current performance and trends over
time. For example, you can plot monthly performance on a 12-month chart as it occurs.
Your employees are probably used to traditional measures of internal performance.
However, tracking performance against client-driven service standards, and tracking
client satisfaction, may be new to them. Particularly at the outset, you should review
performance results thoroughly and frequently, asking employees for their thoughts
and suggestions. This process will reinforce your program and allow you to recognize
exceptional employees.
•
Measure client and employee satisfaction regularly, and share the results with your
staff. These measures differ from familiar production measures, such as the number of
applications processed or the number of tax refunds issued. Remember, your purpose
is to produce outputs while improving client and employee satisfaction levels, so you
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must measure and report on these levels as a regular part of your assessment
procedures.
•
If you are using benchmarking or best practices, it may be useful to measure progress
against these comparators. For example, if you discover a best practice that makes
sense for your operation, you may decide to implement it in stages. Posting progress
towards that method of operations can motivate all employees.
•
Your goal is continuous improvement, based on the assumption that you must
continuously adapt to change. Your monitoring and measures will indicate what is
working well, and what things you may want to change. Use this data to make
decisions with your clients and staff about what changes would be beneficial, and build
them into your evolving plan. The point of the plan, and measures against it, is not to
put you in a straitjacket, but rather to help all of the partners to discover and adjust to
new conditions and new experiences.
•
Recognition is vital to encouraging and supporting employee efforts in quality services.
Guide V: Recognition in the quality services series contains many suggestions for
ensuring that employees receive personal gratification from you and from the
organization for their contributions.
STEP 6: KEY POINTS
Do you regularly review and report progress to employees, management, and clients?
Do you have visible measures posted to track performance against service standards over
time?
Are you periodically measuring client and employee satisfaction?
Are your employees involved in reviewing performance, and in creating changes and
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adaptations as needed?
Do you celebrate success and recognize team and individual contributions?
Conclusion
Reorganization, downsizing, program review, and fiscal restraint are challenges most
organizations face. New demands for services, and pressures to maintain existing ones,
compete for scarce resources. Employees seek more meaning in their work, and more
influence on their own working lives. The challenge and the exhilaration of managing in these
times comes from balancing these demands, and seeing progress towards a better future.
The quality services initiative is all about creating that better future. You are at the heart of
the matter. Take heart from the examples around you of other managers' success in
energizing their organizations through this approach. These organizations have improved client
service, increased employee satisfaction, and met or exceeded their goals. The case studies in
Appendix B will give you concrete evidence. Any of the people involved in these experiences
will be delighted to share what they have learned.
As you progress, others can learn from you. Please share both your positive and negative
experiences with us. We will include your knowledge in future updates of this guide, and let
others know what you have found through publications such as Transformation, a quarterly
newspaper devoted to quality service issues in the Public Service.
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Your efforts are a major step toward building the kind of Public Service we all want - a
responsive, effective Public Service that is oriented to employees and clients, and that is
recognized and respected for the quality services it provides using the resources available.
This effort will be a challenge, but the payoffs will be rewarding. The Canadian Public Service
has earned an outstanding reputation internationally. You have been part of that history, as
you will be part of its future.
Enjoy the challenge, and relish the results!
Quality Services - Guide XIII - Managers' Guide for Implementing Quality Services
Appendix A: Glossary
This appendix includes definitions for some of the terms used frequently in this guide. The
definitions may differ to some degree from those found in other publications on the subject of
quality services, but the concepts should be much the same.
Baseline data: These are data captured at the beginning of a process that an organization
can compare with the same type of data collected at the end of the process. They allow
organizations to measure differences in performance.
Benchmarking: This is the continuous, systematic process of measuring and assessing
products, services, and practices of recognized leaders in a field to determine the extent to
which they might be adopted to achieve superior performance.
Best practices: This is the search and adoption of processes, or initiatives, that have
demonstrably improved organizational effectiveness, service delivery, or employee satisfaction
in a similar work environment.
Client: This is a direct recipient of a product or service.
Client consultation: This is a two-way flow of information between clients and service
providers for the purpose of developing an action plan that will increase understanding of the
clients' needs and the provider's limitations.
Client-centered approach: This occurs when an organization regards its clients' satisfaction
as a primary goal of its operations, and conducts itself accordingly.
Client expectations: These are the assumptions that each client has about the kind of
service that will be provided during a transaction. The expectations are usually related to
timeliness, reliability, accessibility, responsiveness and product quality.
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Client involvement: This means clients have input into the way services are delivered to
them.
Continuous improvement: This is the ongoing process of assessing performance against
desired results and client feedback, and subsequently making adjustments to improve
performance.
Empowerment: This is a set of practices, attitudes, and behaviors that frees people up - that
enables them to make full use of their knowledge, energies, and judgments to provide better
service.
Focus group: This is a small group of clients - usually between 6 and 12 - brought together
to provide their views on particular services and products.
Innovation: This involves implementing new methods or ideas to improve the quality of
service provided. An innovative approach to providing quality service includes looking beyond
traditional methods of doing business.
Managing client expectations: This involves informing clients of the level and type of
service that they can reasonably expect to receive.
Process mapping: A process is any series of tasks or activities carried out in providing a
service. The mapping of a process uses a flow chart to help discover opportunities for
improvement.
Quality: This is the degree of excellence clients perceive, based upon their needs and
expectations.
Satisfaction gap: This occurs when there is a difference between what clients expect and
what they perceive they received.
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Service standard: This is a pledge that a service will be delivered at a defined level. It
provides a yardstick against which services can be measured.
Stakeholder: This is an individual or organization who has an interest in the outcome of
providing a particular service or product.
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Appendix B: Case Studies
Human Resources Development Canada
Canada Employment Centre
Niagara Region, Ontario
Service Delivery Model
Background
Under the system that Human Resources Development Canada (HRDC) previously used, clients
came into a Canada Employment Centre (CEC) and checked in at the reception and inquiries
desk. They then had to wait for each officer who would be dealing with a particular aspect of
their case and explain the same information over and over again.
Objectives
The department moved to a new system to
•
make service to clients faster, more accessible, and more personal;
•
improve the quality of information offered to clients;
•
cope with downsizing and fiscal restraint;
•
make better "matches" between people seeking employment and people offering
employment; and
•
use employees' abilities and potential more fully.
Process
Based on the concepts of one-stop service and multi-skilling, the service delivery model that
HRDC is implementing calls for two levels of client services. This has resulted in new positions,
such as client service officer, universal agent, and universal agent/investigation and control
officer (ICO).
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Now, when clients come into the CEC Niagara Region, a client services officer (PM-1) greets
them and deals with all aspects of any straightforward cases. Close to 85 per cent of all cases
are straightforward and can be dealt with at this level.
In more complex cases - for instance, someone who has voluntarily left his or her job or who
was terminated with cause - a universal agent (PM-2) sees the client. This second-level officer
is trained and authorized to calculate, adjudicate, and finalize the case. As a result, service is
now more streamlined and personal. In addition, the universal agent is better able to detect
potential misuse.
A technical advisory support unit and its management, who have taken on a coaching and
facilitating role, back up the two levels of officers.
The new delivery system relies heavily on technology, and the technical support unit plays a
critical role. This unit maintains equipment and develops systems; eliminates redundancy in
data gathering; improves databases on job vacancies; makes services accessible from a wider
variety of points; and uses networks to make the CEC more accessible and convenient. For
example, clients can now get information on a number of government services and programs
by using a resource centre.
Technology has brought the CEC's services closer to clients. When registering large numbers of
students for summer jobs, officers visit the educational institutions, set up registration systems
in computer labs, and transfer the information to the government's system using diskettes.
Future Plans
Future plans involve implementing self-managed teams to give the staff more "ownership" in
and accountability for their work. The self-managed team concept fits well into the continuous
learning environment. It helps employees share more information, integrate services, and
enhance the knowledge components of services. As offices implement self-managed teams,
the role of management is shifting from one of control to one of support.
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Offices will keep encouraging and enabling clients to take more responsibility for their share of
the service ("co-production" of the service) by using new technology and databases to ensure
a better match between clients' skills and the skills employers are looking for.
Results
The CEC regularly uses random sampling to survey clients who have just used its services. In
the surveys, close to 95 per cent of the people rate the service as "very good" or "excellent."
Specifically, they are pleased about dealing with one person and about not having to wait in
line and then repeat the same information several times. Clients are particularly happy that
"people coming up to us" meet them at the front door, and feel that the CEC is "not like a
government office."
With the new service model, the office has been able to handle an increased workload with a
smaller staff. The number of employees has decreased from 145 to 100 since the project
began, and the number of managers has dropped from five to three. Processing costs have
been cut from $44 to $34 for the most common type of claims - a decrease of close to
25 per cent.
The generalist officers, particularly in the universal agent/ICO category, now have monitoring
and enforcement responsibilities, and are better able to do cross-checks. As a result,
employees are making better decisions, leading to improved service and tighter administering
of program funding.
From the employees' viewpoint, the new service model has broadened their responsibilities
and given them a chance to develop and use a more diverse set of skills and abilities. With
better-trained officers responsible for a wider range of activities, staff make decisions more
quickly and have clearer lines of accountability, since the work for each client is not split
between several employees. People know their jobs better, and they understand more of the
context and the links - that is, more of the "why" as well as the "what."
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The most gratifying aspect of the change is increased direct contact with a more appreciative
public. Employees are dealing with real people and not just processing pieces of paper. They
regularly receive positive feedback from clients, and hear the words "thank you" more often.
Unfortunately, because of the government's downsizing program, staff reductions have still
been necessary despite the notable improvements in productivity and service. This has been
difficult for all concerned.
Learning and Training
There was a substantial need for training, but most of this training was done in house, using
internal resources. Sometimes employees trained each other, and sometimes the office used
internal consultants and resource people from regional and national headquarters.
When designing and implementing the project, the management team made every effort to
survey the relevant literature and to visit other sites that were making similar changes, such as
HRDC offices in Cornwall, Ottawa, and Montreal, as well as some nearby private-sector firms.
Lessons Learned
Consulting extensively, both internally and externally, made the project work. The
management team "did its homework" in consulting the staff, the clients, and the community.
For more information, contact John Marchio, CEC St. Catharines, Tel.: (905) 988-2703,
Fax: (905) 988-2722.
Revenue Canada
Shawinigan Taxation Centre
Quality Partners
Background
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Clients felt that it was even more important for the Shawinigan Taxation Centre to provide
quality service than it was for the office to process millions of income tax forms within
reasonable timeframes.
Staff indicated that, in addition to meeting production targets, they needed a client-centred,
service orientation. They felt they should act from a sense of "partnership" with internal and
external clients.
Process
Since 1992, the office has conducted many activities to make leaders and teams more
responsive to client needs. Every team held a two-day planning session with a facilitator to
prepare plans for improving service, teamwork, communications, and other factors. Several
teams raised the issue of providing quality service when production goals seemed to take
priority.
The office provides internal consultation on and support for quality service. Local and regional
managers also support the initiative. The "Quality Partners" umbrella project, which the
Quebec Region ADM initiated and which coordinators in each office support, set the tone for
efforts in the Shawinigan office. After internal consultations, the office has also launched many
new initiatives.
The office's management team has unconditionally supported efforts aimed at continuously
improving service quality and the working environment. These efforts have included
•
surveying employees several times to determine the results of the initiatives and to
provide a basis for future improvements;
•
forming project teams to deal with larger issues;
•
inviting the Parminou Theatre Company to present a quality service play about work
situations, leadership and team behaviours. As the actors went horribly "off track," an
emcee "froze" them in their positions and invited employees in the audience to provide
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solutions. This was a low-cost, humorous training session that involved staff and
promoted sharing;
•
holding forums for all 150 team leaders and following up to ensure that the office met
the needs they had identified;
•
soliciting and sharing best practices, and holding a contest to select the 10 most
valuable best practices;
•
using local facilitators to provide staff workshops on topics such as moving from a work
group to a team environment and managing change;
•
creating a "tool box" that allows leaders and teams to evaluate their current state and
to improve their leadership, teamwork, and approach to quality service;
•
holding regular meetings between the management team, employees, and managers to
share the departmental vision, objectives, and priorities;
•
developing managers at all levels around the theme of "Knowing Yourself!" so that they
can become better leaders and coaches; and
•
consulting external clients to evaluate their satisfaction with the office's services and to
get comments and suggestions, which allowed the office to reconcile clients'
expectations with what the office was trying to accomplish.
Results
A cultural shift has occurred at the Shawinigan Taxation Centre. Now, the client comes first. If
an employee discovers that a taxpayer has additional entitlements, he or she ensures that the
client is aware of these entitlements, explaining them thoroughly, and making sure the client
understands. This process takes precedence over meeting production quotas. Quality service
reduces frustrating return visits for the client.
Participative leadership, teamwork, and involvement ensure that employees follow, share, and
enhance quality practices. The initiative has created a growing partnership between
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management, employees, and the union in providing quality service. As a result, the office
increasingly handles internal problems informally, and employee satisfaction has increased.
Employees are more willing to assume new responsibilities and more adaptable to change than
they were before the program started. The meaning of the word "teamwork" has also
expanded to include interdivisional and interoffice activities. In several projects, different
activity sectors, offices, and sectors of headquarters worked together.
For more information, contact Jocelyne Perreault, Shawinigan-Sud Tax Centre, Tel.: (819) 5366516.
Human Resources Development Canada
Canada Employment Centre
Dartmouth, Nova Scotia
Standards of Service Quality Initiative
Background
In their 1993-94 Operational Plan, the managers of the Canada Employment Centre in
Dartmouth (CEC Dartmouth) established service standards in each of its program and service
areas. Here is the concept as Dave Kay, manager of CEC Dartmouth, envisioned it:
"To ensure quality service at CEC Dartmouth, we needed to set standards of
service that captured the actual expectations clients had of our service. We also
needed to put proper monitoring mechanisms in place to test the standards and
to ensure we were meeting these expectations. As a manager, I knew that
employees needed a proper work environment if they were to provide topnotch, quality service to the public. I wanted our staff to have a better place to
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work and more support from management, and to have some fun at work as
well."
Process
After management introduced the concept of service standards, all meetings at CEC Dartmouth
included discussions of service standards, and supervisors were recruited to lead the process in
their units. These discussions were based on feedback from customer surveys, focus groups,
and face-to-face meetings with clients. Through these discussions, the organization began to
identify potential system improvements and service standards.
The process also included focus group meetings with staff. The first focus group meeting was
held before the organization made its commitment to service standards, and the results were
overwhelming. The responses indicated that many problems arose from internal systems and
processes that prevented people from doing a quality job. Employees noted opportunities for
eliminating some internal processes. These changes would allow them to improve service to
the public.
Eventually, the office developed measurable goals and standards for client service. It also
developed standards related to serving internal customers, such as backing up other units by
answering the phone. After continuing discussions within units, and others conducted by the
staff-run Service and Delivery Committee, a final set of standards was developed for each unit.
A concept poster has been developed that CEC Dartmouth is considering using to promote its
quality service goals to the public. A similar poster illustrating internal operating principles was
also developed to remind employees of their commitments to each other.
The office has developed a system for measuring and tracking the success of its unit
standards. Service standards are not static. Achieving a previous standard does not mean that
units can become complacent and leave their standards unevaluated and unimproved. Rather,
a well-designed monitoring, feedback, and evaluation system will prompt an ongoing cycle of
review and improvement.
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Organizations should stay informed during this review and improvement process, by
conducting staff and customer focus groups, or spot surveys of employees who interact with
customers.
Lessons Learned
There are no shortcuts. The standards would not be acceptable if imposed from above or
simply borrowed from elsewhere. The process itself is important, and the entire office needs to
be involved.
As a result of the quality service process at CEC Dartmouth, employees now understand each
others' jobs more clearly. They also realize that their job is to focus clearly on all customers:
clients, claimants, contractors, employers, and each other.
Management needs to be prepared before starting the process. Organizations should develop a
plan. It is important to clarify the language you will be using. You should define terms such as
quality service, standards, measures, and monitoring.
Include training in the process plan.
Individual focus groups could be tailored more specifically in the future; for instance, they
could focus on a particular client group, service, or program.
Surveys should be short and focused so that it is clear what they are designed to measure,
and to ensure they capture that information.
Don't overuse surveys or any other single method of gathering information. Use other
avenues, such as focus groups and face-to-face feedback, in developing and refocusing survey
techniques.
Encourage complaints, no matter what system you're using to collect information.
Quality Services - Guide XIII - Managers' Guide for Implementing Quality Services
Tell participants in focus groups, and clients who have participated in surveys or complained,
what the organization has done to fix the situation they identified, or what the organization
learned from their feedback.
Develop a service recovery system for situations when the organization does not or cannot
meet standards. What will the organization do when it does not meet a service goal? How can
the organization manage the customer's expectations?
It is important to recognize employees for their efforts.
For more information, contact Dave Kay, CEC Dartmouth, Tel.: (902) 426-5996,
fax: (902) 426-7301:
Geomatics Canada
Centre for Topographic Information, Sherbrooke
Implementing the ISO 9001 Quality Assurance System
Background
The Centre for Topographic Information in Sherbrooke is part of Geomatics Canada. Its
mission is to provide Canadians with topographic information. From 1988 to 1991, staff
produced digital topographic data according to a plan to revise data for the entire country over
a 10-year period. In 1991, the Centre decided to establish more efficient links with its clients
to better understand their needs. Its annual plan is now based on that information. A client's
name is attached to every file the Centre produces.
While the organization was becoming more client-oriented, it started looking for new ways of
increasing client satisfaction. In 1993, staff first heard about the International Organization for
Standardization's (ISO's) standards for quality, ISO 9001. At that time, the Centre was
completing a project for the government of Mexico and staff were aware that ISO 9001
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accreditation was becoming a major issue for organizations competing in the global
marketplace.
Process
Staff studied two alternatives for implementing ISO 9001. The first one was to hire a
consultant who would take full responsibility for doing whatever was needed to get the
accreditation. But this option did not fit the Centre's management philosophy. Instead,
employees took a two-day training course on ISO 9001 and the Centre purchased
documentation explaining the requirements.
A new team interpreted the information within the context of the Centre and looked for new
ideas. In addition, a consultant came in for one day every two or three months to answer
employees' questions. During that period, staff also visited other organizations who were
already certified, such as IBM in Bromont.
Once employees understood all the major requirements, the team started designing the new
quality assurance system. It required employees to do new tasks, such as providing after-sales
service and soliciting continuous feedback from clients.
All the employees received training in ISO 9001 standards and the team presented the new
system for comments. Implementing the system soon became a Centre project, not just a
team project.
Under ISO 9001, organizations describe in detail what they do, and then prove they are doing
it. So the major task is writing down the procedures for all activities related to making the
product. Once these procedures have been recorded, the employees are trained in using them
and consistently documenting their use of them.
Once the organization has approved all the procedures and employees are using them, the
basic infrastructure of the ISO 9001 system is in place. The second phase consists of installing
mechanisms to increase product quality. The Centre defines quality as "meeting the client's
expectations, not less and not more." A committee composed of two directors and
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three employees analyzes all the data related to client complaints, client satisfaction, and
problems with the quality assurance system discovered through internal audits. The committee
then proposes new projects that increase quality. The committee meets every six months.
The Centre has completely implemented the system and should receive final accreditation in
October 1996. Staff put two years of effort into implementing the system. More than 30 people
participated on a part-time basis. Only one has been working full time on the project.
Benefits
ISO standards, which are accepted worldwide, increase the credibility of an accredited
organization, giving it an inherent advantage over its competitor. Organizations can often use
this accreditation when advertising their products.
The Centre informed all of its suppliers of its commitment towards quality and of its effort in
implementing ISO 9001. Many of them decided to seek ISO accreditation, and some have
already completed the process. This side effect not only improves the competitiveness of the
Canadian industry, but increases the quality of the work suppliers are doing for the Centre.
Because the Centre now documents all of its activities and keeps those records up to date, it is
easier for staff to identify the causes of problems and to implement a solution quickly.
Employees rotate between projects on two- to four-year cycles. The Centre can now train
employees more quickly and easily because descriptions of all work tasks are available. This
has also allowed staff to develop new systems and to transfer them to other organizations very
rapidly.
The main challenge for employees is keeping up with their tasks, while documenting the work
process. However, the accreditation process has given employees an excellent opportunity to
review every aspect of their work processes and to consider ways of improving them.
The new information coming from clients helps the Centre keep pace with a continually
changing environment. Employees feel they are accomplishing something useful for clients,
whom they are getting to know better.
Quality Services - Guide XIII - Managers' Guide for Implementing Quality Services
For more information, contact Denis De Gagné, Centre for Topographic Information, Tel.:
(819) 564-4801, Fax: (819) 564-5698.
Revenue Canada
Collections Re-engineering
Quality Service and Client Satisfaction
Businesses and individual Canadians have asked that Revenue Canada contact them once, not
several times, to pay the different taxes the department collects. Industry standards confirm
that early telephone contacts are effective.
In addition, Revenue Canada is committed to reducing outstanding moneys that taxpayers owe
from 4.6 per cent of tax revenue to 4.0 per cent by 1997. This difference amounts to several
million dollars. The department is looking for resource savings that it can re-invest in front-line
activities that add value.
To achieve these goals, Revenue Canada needed to improve its collection procedures.
Involvement
Integrating collections was part of the larger consolidation of Customs, Excise/GST, and
Taxation into the present Revenue Canada. A national project team reporting to the
Departmental Management Committee (DMC) worked with local committees, working groups,
and coordinators to achieve this integration. Then a collections re-engineering project team,
which included both field and headquarters representatives, examined work processes. An
outside consulting firm trained team leaders, team members, and facilitators in using re-
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engineering techniques. Everyone had a specific and defined role. Six to eight weeks into the
process, a business case for change was presented to the DMC.
Continuous Improvement
The department consulted extensively with clients and employees throughout the process of
integrating collections. Teamwork and involvement were continuous. The department shared
best practices nationally, in both written and electronic format.
The collections re-engineering project builds on integration, using techniques related to
identifying problems, benchmarking, analyzing data, planning action, and developing and
presenting a business case. The methodology was modified during the project to introduce
best practices from other organizations. To reduce future costs, the department has purchased
training materials, so that a pool of trained leaders, team members, and facilitators is available
to contribute to future re-engineering exercises.
Results
•
Clients are receptive and responsive to early telephone contact.
•
Revenue Canada will provide clients the convenience of "one stop" collection activities
to the extent possible.
•
Revenue Canada expects to meet its target of reducing outstanding moneys to 4.0 per
cent of all tax revenue by 1997.
•
The department is saving money that it can invest in core programs.
For more information, contact Martin Leigh, Collections Re-engineering, Tel.: (613) 952-9708.
Quality Services - Guide XIII - Managers' Guide for Implementing Quality Services
Appendix C: Resources
Internet Sites
Treasury Board of Canada, Secretariat Home Page: http://www.tbs-sct.gc.ca/tb/homeeng.html
Interdepartmental Quality Network: http://fox.nstn.ca/~riqn/
Innovation and Quality Exchange: http://www.tbs-sct.gc.ca/tb/iqe/mnpgen.html
Organizations
Innovative and Quality Services Group, Treasury Board of Canada, Secretariat
Canadian Centre for Management Development
Interdepartmental Quality Network
Service Standards Network
Training and Development Canada
Publications
Treasury Board of Canada, Secretariat. Quality Services Guides
- Benchmarking and Best Practices. Guide VIII. Ottawa, 1995.
- Benchmarking and Best Practices: An Update to Guide VIII. Guide X. Ottawa,
1996.
- Client Consultation. Guide I. Ottawa, 1995.
- Communications. Guide IX. Ottawa, 1996.
- Effective Complaint Management. Guide XI. Ottawa, 1996.
- Employee Surveys. Guide VI. Ottawa, 1995.
- Measuring Client Satisfaction. Guide II. Ottawa, 1995.
- An Overview. Ottawa, 1995.
Quality Services - Guide XIII - Managers' Guide for Implementing Quality Services
- Recognition. Guide V. Ottawa, 1995.
- Service Standards. Guide VII. Ottawa, 1995.
- A Supportive Learning Environment. Guide IV. Ottawa, 1995.
- Who is the Client? Guide XII. Ottawa, 1996.
- Working with Unions. Guide III. Ottawa, 1995.
Quality Services - Guide XIII - Managers' Guide for Implementing Quality Services
Notes
1. The Treasury Board discussion paper on clients clarifies the differences between clients, as
direct recipients, and stakeholders, beneficiaries, citizens, taxpayers, and other interested
parties. These other groups may have legitimate vested interests but do not obtain services
from you directly, and are not direct users of your work. As an example, while the purpose of
drug approvals may be protecting the health of Canadians, the direct product or service is an
approval given to the pharmaceutical manufacturer. In this case, the pharmaceutical company
is the client that goes through the process to obtain the approval it requires to do its
work.[Return]
2. Guide II: Measuring Client Satisfaction, in the quality services series, discusses activities for
determining client satisfaction.[Return]
3. Guide VI: Employee Surveys, in the quality services series, outlines a number of ways of
gathering information about employee perceptions.[Return]
4. Several guides in the quality services series may be helpful, including Guide VIII:
Benchmarking and Best Practices, Guide VII: Service Standards, and Guide IV: A Supportive
Learning Environment. Both the private sector and government organizations, such as the
Canadian Centre for Management Development and Training and Development Canada, offer
training programs in quality orientation and methods. Specific guidance is also readily available
through the Innovative and Quality Services Group at the Treasury Board of Canada,
Secretariat.[Return]
Quality Services - Guide XIII - Managers' Guide for Implementing Quality Services
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Quality Services Guides
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