service charter principles - united...

Client ServiceCharter Principles

Service Charters UnitCompetitive Tendering and Contracting BranchDepartment of Finance and Administration

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June 2000

First published in March 1997 as Putting Service First: Principles for Developing a Service Charter by the Department of Industry, Science and Tourism.

ISBN 0-642-43317-8

Produced by the Competitive Tendering and Contracting Branch,Department of Finance and Administration

See the Introduction for all contact details.

Foreword

Service charters are a powerful tool for departments, agencies, management and staff to continuously improve service delivery to the general public and other stakeholders, whether it be across the counter, via the telephone or through electronic means. Around the world, governments are recognising the benefits of client service charters and various models have been adopted to reshape government into a client-focused, open and accountable entity.

The Australian Government has recognised benefits of using service charters as a tool to drive this cultural change. In August 1996 the launch of the inaugural framework for Government service charter Principles took place. This was part of the government’s reform agenda to promote a more open, client-focussed Australian Public Service.

In October 1999 I presented to Parliament the two-year, Whole-of-Government report Service Charters in the Australian Public Service—Serving the Australian Community. This report showed that the overall uptake of the service charters initiative has been pleasing with 125 charters in place at 30 June 1999. Departments and agencies have demonstrated their support for this initiative, their commitment to listening to their clients and serving those clients in the most efficient way possible.

Outstanding service delivery has already been recognised in a number of departments and agencies through the inaugural Service Charters—Awards for Excellence scheme, which I launched in December 1999. The large number of applications received for these awards and the stories they told clearly illustrate that departments and agencies have recognised the value of having a service charter that articulates their service delivery philosophy andcommitments in an objective, open and accountable manner. These Awards will become an annual event.

Given that the concept and implementation of the charter initiative is maturing and thatagencies are integrating service delivery into core business systems, it is appropriate andtimely to announce a revised set of Client Service Charter Principles that more appropriately meet the changing needs of agencies.

While the revised Principles will still assist those agencies that have yet to put a service charter in place, the emphasis has now shifted to assisting agencies to ensure that theircharter continues to be a useful and strategic tool for shaping service delivery. In particular,there is more advice provided on reviewing a charter and on monitoring and reportingperformance against client service standards.

The Principles also address new Government initiatives such as electronic service delivery as well as giving greater recognition to the needs of special and diverse client groups, such as the disabled, and those living in rural, remote and regional Australia.

I commend those departments and agencies that have demonstrated a commitment to good service delivery to the Australian public.

It is with pleasure that I present the revised Client Service Charter Principles as a tool to consolidate the important work we have already done to establish a strong service deliveryculture within Australian Government departments and agencies.

CHRIS ELLISON Special Minister of StateSenator for Western AustraliaJune 2000

Contents

page

Foreword iiiIntroduction 1Strategic principles and sub-principles 4

Principle 1 Key elements of a Charter (What a service charter should contain)

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1.1 Informing clients about the agency 61.2 Avenues of communication 61.3 Client service standards 71.4 Client rights and responsibilities 81.5 Client feedback and complaints 9

Principle 2 Developing a charter(How to develop a charter)

10

2.1 Consultation in charter development 102.2 Charter format and style 102.3 Service charter launch 10

Principle 3 Maintaining and reviewing a Charter (How to maintain and review a charter)

12

3.1 Purpose of review 123.2 Frequency of review 123.3 Consultation in review 133.4 Ongoing promotion 13

Principle 4 Monitoring and reporting(What to monitor and how to report)

14

4.1 Monitoring performance against standards 144.2 Reporting performance against standards 144.3 Reporting on Client complaints and feedback 14

Checklist 16

Introduction

Background to Service Charters in the APS

On 24 March 1997 the Prime Minister announced the Government’s decision to introduceservice charters across Commonwealth Government Agencies as part of his More Time for Business statement. This announcement heralded the Commonwealth Government’scommitment to reform the Australian Public Service by seeking to embed a client-focused,service-delivery culture within departments and agencies through the service charter initiative.

The Whole of Government report Service Charters in the Australian Public Service, covering July 1997-June 1999, indicated that 125 Government agencies had a service charter inplace.

Commitment to charter implementation was further rewarded when Senator Ellison launchedthe inaugural Service Charters—Awards for Excellence scheme. The Commonwealthteamed with the Australian Quality Council to develop appropriate selection criteria and a panel of judges representing industry and consumer groups with a particular interest inservice delivery assessed the applications.

Revision of the Principles for developing a service charter

Initial guidance was offered when the Principles for Developing a Service Charter document was released in 1997. It focused on the steps necessary to put a charter in place. Now with this process largely completed, it was appropriate to revise the Principles to give greater focus to the review, monitoring and reporting of requirements.

The review of the original Principles was a collaborative arrangement between the Department of Finance and Administration (DOFA) and a group of service charter members from a range of Government agencies. To retain the transparent and consultative process,comments were also sought from a number of peak bodies and external organisations with a vested interest in service delivery.

What is a service charter?

A service charter is a short publication that describes the service experience a client canexpect from an agency. It allows for an open and transparent approach that all partiesunderstand and can work within. It covers key information about an agency’s service deliveryapproach and the relationship the client will have with the agency, including:

¶ what the agency does;

¶ how to contact and communicate with the agency;

¶ the standard of service clients can expect;

¶ clients’ basic rights and responsibilities; and

¶ how to provide feedback or make a complaint.

A charter need not cover every function and service an agency provides, or detail every aspect of service delivery. Rather, it should focus on the key areas seen as important by the

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Client Service Charter Principles—June 2000

agency’s clients, stakeholders and staff. Essentially, it is a living document that must evolve in line with changes to the agency and its clients.

A charter in itself is not intended to confer legally enforceable rights on clients of Commonwealth agencies, although some individual commitments in that charter may have legislative links.

Agencies might consider having their charter reviewed by a legal expert to ensure that the wording used does not inadvertently give rise to legal liability.

A service charter is a public document that should be used as the driver for cultural change within the agency. This change can encompass client-focus, changed business practices,outcomes rather than process, better and more responsive communications, and improved relationships with clients.

Who must have a service charter?

All Government bodies which provide services directly to the public are required to develop a service charter. Agencies which have indirect client contact (such as policy departments that contract their service delivery to other agencies or outsource providers) are strongly encouraged to put in place a service charter that ensures good service delivery.

An agency may have one or several service charters. Some departments and agencies have several different functions, products or services which result in them having distinct client groups, each requiring an individual service charter to match their specific service delivery needs. To meet the needs of people with particular communication requirements, the charter could be produced in several different formats.

Who has a vested interest in the success of the charter?

These Principles identify three distinct groups with a role and interest in the success ofservice charters:

¶ departments and agencies that offer a product or service;

¶ clients; and

¶ stakeholders.

Departments and agencies consist of any organisation that is part of the Commonwealth—whether covered by the Financial Management and Accountability Act, the CommonwealthAuthorities and Companies Act or other enabling legislation.

Clients can consist of:

¶ members of the public;

¶ staff of another department or agency or State or territory government;

¶ members of the community, industry and other groups; or

¶ people overseas.

The term ‘client’ is preferred as it infers a level of empowerment to those undertaking atransaction with the department or agency and also denotes that service delivery is broader than financial transactions.

Some agencies can easily identify their clients and articulate them as discrete groups in their charter. However other agencies may have a broader, generic, client base, such as the

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Australian community. Both descriptions are correct. The issue is for the agency to identify and consult with the ‘client’ to whatever level it feels is appropriate and to align the service delivery to meet client needs.

Stakeholders can be:

¶ community groups;

¶ another government agency;

¶ an institution;

¶ a business group; or

¶ another entity that has an affiliated interest in the success of that agency.

If an agency wishes to link its charter to a particular client group, service or function, thenflexibility is given to include that detail in the charter title. The agency may wish to offer an explanation of who the client group is, or what the specific service or function is, in thedocument. Further detail is given in sub-principle 2.1.

Agencies should consider aligning their service charter report with other accountabilitymechanisms of an agency, such as the portfolio budget statements, the annual report, the outcomes and outputs framework and corporate plan.

Where to obtain further information and assistance

Responsibility for carriage of the service charter initiative resides with the Department of Finance and Administration (DOFA).

The Service Charters Unit is located in the Competitive Tendering and Contracting Branchwithin DOFA. This Unit can be contacted as follows:

Service Charters UnitCompetitive Tendering and Contracting Branch Department of Finance and AdministrationGPO Box 1920CANBERRA ACT 2601

Email address: [email protected]: 1800 650 531Fax: (02) 6275 3749Web address: http://www.ctc.gov.au/charters/index.htm

Assistance is available online at the web site address listed above. The site contains case studies, links to completed charters, details of the service charter awards and a variety of publications relating to charter development as well as overseas practices.

DOFA also chairs and coordinates the Service Charter Network. All agencies are invited to join and meetings are held several times a year. These forums are a useful opportunity to keep up to date with what is happening with service charters and to share experiences and best practice ideas for charter activities. A list of service charter officers in each agency, and their contact details, is maintained by DOFA.

While DOFA has carriage of service charter policy, and manages the Whole-of-Government

reporting process, it relies heavily on the support of the service charter network to ensure the

successful implementation and integration of good client service into agency business

practices.

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How to use this Booklet

This booklet has been created to help agencies:

¶ develop a new service charter;

¶ review an existing service charter; and

¶ monitor and report on their performance against the service commitments listed in theirservice charter.

For ease of reference and use, the information has been set out in three layers:

¶ the Strategic Principles (the key charter activities);

¶ sub-principles (which break the key activities up into topics); and

¶ guidelines (which describe recommended inclusions, features, best practice suggestions,and issues to think about).

PRINCIPLE

Strategic Principle 1

Key elements of a Charter

SUB-PRINCIPLE

1.1 Informing clients about the agency1.2 Avenues of communication1.3 Client service standards1.4 Client rights and responsibilities1.5 Client feedback and complaints


Developing a charter2.1 Consultation in charter development2.2 Charter format and style2.3 Service charter launch


Maintaining and reviewing a Charter

3.1 Purpose of review3.2 Frequency of review3.3 Consultation in review3.4 Ongoing promotion


Monitoring and reporting4.1 Monitoring performance against standards4.2 Reporting performance against standards4.3 Reporting on client complaints and feedback

The guidelines are to be applied at the discretion of the agency except where specifically noted as ‘mandatory’.

The guidelines allow agencies a great deal of flexibility. This recognises the diversity of agencies in the Australian Public Service (in terms of size, products and services offered,client groups, resources, legislative constraints and other operational factors). Instead of a ‘one-size-fits-all’ approach, these guidelines offer individual departments and agencies the ability to tailor their charter activities to their unique circumstances.

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Strategic principles for the development, review and reportingon client service charters by Australian Governmentdepartments and agencies

Key strategic principle

Principle 1 Key elements of a charter (What a service charter should contain)

1.1 Informing clients about the agency

To ensure that clients, stakeholders and staff have a common understanding and recognition of the agency, and its relationship with its portfolio department or head organisation, thefollowing identification features are recommended:

ü agency’s name and logo;

ü what the agency or program covered by the Charter does;

ü who the clients or potential clients are;

ü agency Head statement; and

ü relationship to portfolio department or parent organisation.

1.2 Avenues of communication

A service charter is to contain statements on how clients and stakeholders can communicate with the agency.

Contact issues cover:

ü how to contact the agency—key contact details; postal or street address, phone, TTY (telephone typewriter), fax or toll free number, email and Web site address;

ü appropriate avenues to meet client needs including people with disabilities and peoplewith English as a second language. This includes providing information in accessibleformats. See 2.2 for further guidance on accessible formats;

ü counter service facilities;

ü contact details (e.g. by area, regional, rural or remote sites if appropriate);

ü hours of opening;

ü online services, whether via a web site, email or other electronic services.

1.3 Client service standards (mandatory)

The main purpose of having a charter is to define the service experience the client will have with that organisation and the responsibilities of both the agency and the client. This experience is described through the key standards of service. Where service delivery is

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outsourced the provider is required to comply with the service standards set by the department.

The charter should make clear whether the service standards are:

¶ aims (i.e. ‘stretching’, but generally achievable standards that a client can expect to have met on the majority of occasions); or

¶ service guarantees (standards that will always be met on all occasions).

The service charter is not intended to confer legally enforceable rights on clients ofCommonwealth agencies, unless otherwise determined by legislation. Agencies mightconsider having their charter reviewed by a legal expert to ensure that the wording used does not inadvertently give rise to legal liability.

Agency responsibilities to clients

It is mandatory for the charter to include service standards. However, there is no requiredminimum or maximum number of standards.

ü A charter could include standards in one or more of the following areas of the service experience:

¶ the quality of the relationship with the client;

¶ the quality of the services provided; and

¶ the timeliness of service delivery.

ü Relationship-related standards cover the client’s expectations and understanding of theirrelationship with the agency and what it can achieve for them. Service standards couldinclude:

¶ compliance (e.g. explaining clearly what the client needs to do; rights andresponsibilities, mutual obligations);

¶ advice (e.g. consistency, accuracy, impartiality); and

¶ staff manner and interpersonal skills (e.g. friendliness, helpfulness, respect, sensitivity to the clients’ individual needs, identifying themselves, explaining, listening carefully to the client).

ü Service standards could include:

¶ responsiveness (e.g. prompt referrals, availability of help in emergencies);

¶ clarity (e.g. of letters, forms and publications, processes and other product information)and be understandable by people with disabilities;

¶ accuracy (e.g. of advice, information, payments or filled order); and

¶ appropriateness (e.g. fit to clients’ needs and circumstances).

ü Timeliness-related standards cover the speed and efficiency of the administration of theservice delivery process and the delivery of the agency’s products. This could include:

¶ responding to client contacts (e.g. letters, emails, phone messages);

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¶ processing (e.g. registration, applications, claims for products and services, filling orders);

¶ appointments (e.g. availability from time of booking, waiting times for a booked appointment to start);

¶ emergency service (e.g. help where no appointment has been made);

¶ telephone service (e.g. time to get through to a staff member, phone appointments);

¶ availability of service or information online (see 2.2 for resource details); and

¶ complaint resolution.

ü When deciding which standards to publish, agencies should take account of the following:

¶ client and stakeholder views and expectations;

¶ the fifteen values as described in the Australian Public Service Act 1999 (Part 3, Section 10). For the first time, this Act incorporates values of service as one of the criteria for managing public service outcomes. It may be useful to reference them in an agency’s charter;

¶ the diversity of staff and clients. This is articulated in the Charter of Public Service in aCulturally Diverse Society, available on the Department of Immigration and MulticulturalAffairs web site at: http://www.immi.gov.au/charters/char-ps.htm;

¶ alignment with the agency Corporate Plan (especially strategic goals and businessoutcomes);

¶ their ability to measure performance against each standard, and current levels of performance; and

¶ realistic and achievable service levels.

ü If compensation and redress are offered by an agency, in the event that service standards are not met, clients of the agency should be informed.

NOTE:

It is at the discretion of the agency to determine appropriate response times for correspondence, processing material, appointments, telephone calls, etc. A model for such service standards could be similar to that used by the United Kingdom Cabinet Office. See their web site http://www.cabinet-office.gov.uk/servicefirst/2000/introduc/six.htm

1.4 Client rights and responsibilities

A service charter should set out the rights of clients and what they can expect from an agency. Similarly, it should set out the responsibilities of clients to abide by certain codes of behaviour, to help the agency provide good service to them and to ensure a successfulongoing relationship.

Client rights Clients have:

ü the right to review and appeal;

ü the right to lodge a complaint;

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ü the right to privacy and confidentiality;

ü the right to see information (i.e. Freedom of Information obligation);

ü the right to access services, facilities and information in a manner which meets their needs.

Client responsibilities Clients are obliged:

ü to treat agency staff with courtesy;

ü to attend scheduled meetings punctually;

ü to respond to requests for information by the agency accurately, thoroughly and in a timely manner;

ü to abide by any legal requirements and other obligations that clients are to meet in order to be eligible for payments or services sought.

1.5 Client feedback and complaints (mandatory)

Each agency must have avenues for clients to provide feedback and make complaints and have mechanisms to report on that data. A service charter must contain information on the feedback and complaints processes. Aspects to consider are:

ü that the agency welcomes feedback (complaints, compliments and suggestions);

ü how to make a complaint, including relevant postal and email addresses, and phone and fax numbers. Include options (e.g. in person, comment card, on-line feedback form, by phone, letter, a TTY phone number for people who are deaf, hearing or speech impaired);

ü how to give feedback specifically about the Charter itself;

ü that the feedback and complaints handling process is accessible, easy to use and free;

ü that the agency records data on complaints, compliments and suggestions and this isused to help improve client service;

ü that using the agency’s complaint handling system does not prevent the client from usingexternal dispute handling and appeal mechanisms at any time and should list contactdetails for these services;

ü complying with the Complaints Handling standard. Recognition is given to Standards Australia AS 4269-1995—Complaints Handling. This standard is recommended for application by agencies, as it specifies the essential elements of an effective complaints handling process for both complainants and complaint recipients. It also covers the implementation of a complaints handling process, managing that process and dispute resolution.

NOTE:

It is important for all client contact staff to be trained in receiving feedback, including assistingclients to articulate their concerns as well as processing and actioning that feedback. Staff training should also cover dealing with members of the public, especially those who are likely to be distressed.

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Principle 2 Developing a charter (How to develop a charter)

2.1 Consultation in charter development

In preparing a service charter, the agency should consult with clients, staff and other keystakeholders including people with additional or diverse needs in relation to:

ü selecting service standards for inclusion in the Charter;

ü setting service guarantees, where appropriate;

ü determining the amount and level of detail in a charter;

ü deciding whether more than one charter needs to be developed to cater for different discrete business functions;

ü deciding how performance against the Charter standards and commitments will be measured and monitored (if mechanisms do not already exist);

ü any additional Charter reporting that is desired.

Consultations with the community should also take account of the needs of all client groups,including those in rural, regional and remote parts of Australia. People with disabilities also need special consideration. The Office of Disability Policy, Department of Family and Community Services, has prepared a booklet to assist Commonwealth organisations to ensure their consultation processes cater for the needs of people with disabilities. Copies of this publication can be obtained from their Web site at: http://www.facs.gov.au/disability/ood/congdein.htm.

2.2 Charter format and style

Service charters across Commonwealth agencies should have a set of common features for ease of recognition and readability by clients. These features should be designed to assist aclient’s understanding of the service charter.

To ensure that the service charter meets the client’s needs consider the following:

ü a title that clearly identifies the document as a Client Service Charter;

ü the date of Charter publication;

ü a plain English style of presentation;

ü a concise, straightforward and user-friendly presentation;

ü also include the relevant contact details as described in 1.2 above;

ü accessible formats appropriate to meet client needs, such as;

¶ languages other than English

¶ web-based documents and sites that do not impose access barriers and pass an accessibility test such as ‘Bobby’ (see http://www.cast.org/bobby/)

¶ braille

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¶ audio tape

¶ large print

ü a design that meets the needs of a wide client base (i.e., good contrast between text and background; use of colour; size of text; and no background images under text);

ü the date of the next review;

ü how to give feedback on the charter itself;

ü a statement of purpose of the Charter (if not accounted for in Agency Head statement in 1.1);

ü the need for supporting documents. The service charter should state where clients couldobtain agency publications and whether they are available for a price or free.

Resources available to agencies include:

ü Office of Disability Policy, Department of Family and Community Services, on 1800 630 839 and TTY 1800 672 682, for obtaining advice on accessible formats.

ü Human Rights and Equal Opportunity Commission guidelines for access guidelines at:http://www.hreoc.gov.au.

ü English as a second language service. See the web site of the Department of Education, Training and Youth Affairs at: http://www.detya.gov.au/ty/well/default.htm;

ü Community Languages and Interpreter Services. See the Department of Immigration andMulticultural Affairs interpreter services web site at:http://www.immi.gov.au/settlement/TIS.htm);

ü Online services, particularly with reference to providing appropriate services online by2001 as detailed in the Prime Minister’s Investing for Growth statement. Source material on this initiative is as follows:

¶ the Office for Government Online (OGO) Government Online—A Strategy for the Future at; http://www.govonline.gov.au/projects/strategy/actionplans.htm#top, whichshows the requirement for agencies to develop Online Action Plans related to the agency’s customer service charter;

¶ the Australian National Audit Office (ANAO) audit report which analysed the level of preparedness by the major departments to deliver services electronically at; http://www.anao.gov.au/rptsfull_00/audrpt18/rpt18-00.pdf

2.3 Service charter launch

Agencies should consider a strategy for launching their service charter to achieve maximumexposure. This may include:

ü a high-profile launch by the Minister or appropriate dignitary;

ü managing a media campaign and an ongoing communications strategy;

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ü communication and distribution of the Service Charter to all staff, clients andstakeholders;

ü distributing the charter to all client contact points;

ü placing it on the agency’s Web site.

Examples of communicating the launch are:

ü managing an external media campaign (e.g. local press, TV, radio);

ü including articles in relevant agency staff magazines and other publications;

ü Including articles in relevant client publications.

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Principle 3 Maintaining and reviewing a charter (How to maintain and review a charter)

3.1 Purpose of review

The service charter should be a living document that evolves in line with changes that occurwithin the agency and that affect its clients. This means that agencies must regularly review their charter to ensure its ongoing relevance and effectiveness. Questions to address are:

ü whether the charter continues to reflect the agency’s approach to client service and any significant new initiatives in that area;

ü whether the service commitments and standards are still aligned to the needs and priorities of the agency’s clients and key stakeholders.

ü whether the charter continues to meet the client service principles;

ü whether the current content is accurate (e.g. Agency information on function and contactdetails);

ü whether the format, design and availability meet client needs;

ü whether there is reliable and effective data collection on client feedback, service standards and complaints;

ü whether changes should be made to the complaint handling processes. Apart from directagency/client processes, consider the impact of third party review for unresolved complaints, such as:

¶ in-house review by an independent officer, or

¶ through external avenues, such as the:

Á Ombudsman;

Á Administrative Appeals Tribunal; or

Á Human Rights and Equal Opportunity Commission.

3.2 Frequency of review

Agencies should review their charter on a regular basis. This review may occur as part of a programmed cycle or may be prompted by a specific event. It is suggested that an agency:

ü Regularly review its charter internally (an appropriate period might be every 12-18 months);

ü May also consider having the charter reviewed by an external body (an appropriate external review period might be every three years).

ü Triggers for reviewing a charter could be:

¶ changes to the agency’s organisation structure;

¶ changes to Administrative Arrangement Orders;

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¶ changes to the client profile;

¶ changes to service delivery mechanisms;

¶ unsolicited feedback from clients on the Charter.

3.3 Consultation in review

To be open and accountable, agencies should consult with appropriate clients and stakeholders during the review process. It is suggested that agencies:

ü determine the scale and mechanisms for consultation;

ü invite comments from clients, staff and stakeholders (e.g. through sample telephone surveys, counter surveys, etc.);

ü consider feedback data from external sources (e.g. Ombudsman’s Office).

3.4 Ongoing promotion

Once the review has been completed and the service charter revised and updated, appropriate methods of promoting the updated charter to clients, stakeholders and staffshould be considered.

Agencies should consider:

ü developing a communications strategy to raise awareness of the changes identified in the review process;

ü making the revised version of the Charter available to all staff, clients and stakeholders;

ü making the revised charter available to all client contact points (ie peak bodies);

ü posting the charter on the agency’s web site.

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Principle 4Monitoring and reporting (What to monitor and how to report)

4.1 Monitoring performance against standards

The agency publicly accounts for its operations by publishing its client service charter andinformation on its compliance with the charter and the agency’s service performance. This is to ensure that the public and staff are aware of the charter and allows the public to assessand provide feedback on the agency’s related service performance.

Issues to consider include:

ü regularly monitoring agency performance against the service standards andcommitments published in the Charter (both internally and from a client perspective);

ü regularly monitoring the level of client awareness of the Charter;

ü developing, easy-to-use, electronic, performance monitoring systems (if they are not already in place).

4.2 Reporting performance against standards (mandatory)

Agencies are accountable for their performance against their service charter standards (see 1.3) and must:

ü publish performance against Charter commitments in the departmental Annual Report each year;

ü provide Charter performance information annually to the Department of Finance andAdministration for the Whole-of-Government Report on Service Charters.

Agencies could also consider:

ü developing and applying a strategy to report on performance against the charter standards to clients, staff and stakeholders.

This has the benefit of ensuring openness and accountability so that an ongoing relationship with clients, stakeholders and staff of the agency is maintained.

4.3 Reporting on client complaints and feedback (mandatory)

Agencies are required to have a strategy to manage and report on feedback and complaints(see 1.5) and must:

ü publish a summary, with reference to complaints data, and the department’s generalresponse to complaints, in the department’s annual report;

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ü provide requested summary information annually to the Department of Finance and Administration for the Whole-of-Government Report on Service Charters.

NOTE

For 4.2 and 4.3 reporting, see section 11, Report on Performance, Requirements forDepartmental Annual Reports, Department of the Prime Minister and Cabinet.

Optional

In addition to reporting by general type of feedback (i.e. complaint, compliment or suggestion), agencies might choose to report in more detail, on the subject matter of that feedback. Different break-ups could include, for example:

¶ policy versus service delivery issues;

¶ by program, product or service offered by the agency;

¶ by key aspects of service delivery (e.g. staff attitude, speed); or by

¶ efficiency, office environment issues, etc.

This level of reviewing and reporting on client feedback can help an agency to better target areas for service delivery improvement. However, the practicality and usefulness of thisapproach will vary between agencies and will be influenced by factors such as the number,nature and complexity of the products and services delivered and on the ability of theagency's feedback system to record that level of detail.

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Checklist for developing a Service Charter

Service charter commitment and consultation

ü Has commitment from management been obtained for the development of the service charter?

ü Have you identified the agency’s purpose in preparing a service charter?

ü Do staff understand what the service charter means to the agency’s business?

ü Have clients, staff and other key stakeholders been consulted during development of the service charter?

Service charter coverage

ü Does the service charter state who the agency’s clients are?

ü Has the service charter covered how agency staff will treat its clients?

ü Does the charter state the services it covers, including those delivered directly to the public, those that are delivered indirectly on behalf of the agency, and those that are not delivered directly by the agency, but nevertheless have an impact on the community?

ü Is it clear to clients that the charter covers all of the agency’s overall operations or only certain programs or services for which the agency is responsible?

ü Should there be more than one charter from the same agency designed to cover specific client groups or services?

ü Does the agency provide online communication strategies and online service delivery?

ü Does the charter cover the specific needs of clients in rural and regional Australia?

ü Does the charter cover the values expressed in the Australian Public Service Act 1999,and the principles in the Charter of Public Service in a Culturally Diverse Society from the Department of Immigration and Multicultural Affairs?

ü Does the charter cover all of the mandatory requirements expressed at 1.3, 1.5, 4.2, and 4.3?

Service charter format

ü Is the language, format and presentation of the charter understandable, readable andaccessible to the agency’s clients, including those with specific needs?

ü Is there more than one version of the charter to suit the needs of client’s with particular communication needs?

Service standards

ü Are the standards within the service charter measurable (i.e. quantitative) or qualitative?

ü Are the service standards set to encourage improvement in the agency’s performance?

ü Does the service charter set out clients’ rights and responsibilities?

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Complaints handling

ü Does the service charter state the agency’s complaints handling procedures and encourage client feedback?

ü Does the agency have accessible internal complaints handling procedures in place?

ü Does the service charter provide contact details for external dispute handling mechanisms?

Monitoring and review

ü Does the charter state the agency’s monitoring and internal review procedures?

ü Does the charter articulate an external review process to measure performance against the service charter standards?

ü Do the monitoring and review procedures provide avenues for participation by clients, staff and other key stakeholders?

ü Has the agency developed reporting and accountability procedures, including, for example, publication of the Service charter’s performance in its annual report?

ü Has a review date been set for the charter?

ü Is the charter consistent with the framework as set out in this Principles booklet?

Service charter promotion

ü Has the agency developed procedures to ensure the promotion of the charter, and its availability?

ü Has the agency considered a broad range of marketing methods so that staff, stakeholders and clients will all know what the charter is and where to find it?

Principle 1—Identification of the organisation and its clients

A service charter is to clearly identify the agency, the agency’s purpose, its client base and

its services.

100% of service charters met this Principle.

Service Charters in the Commonwealth Government 13

Principle 2—Communication

A service charter is to detail information which facilitates communication between the

agency and its clients.

99% of service charters complied with this Principle.

Of the 143 service charters that reported against this Principle, 141 (99%) of staff indicated awareness

of their charter by staff, 138 (97%) indicated awareness by clients and 135 (94%) indicated awareness

by stakeholders.


CHART 4—AWARENESS OF SERVICE CHARTER BY GROUP

(NUMBER AND PERCENTAGE)

141

(99%)138

(97%)135

(94%)

Staff Client Stakeholder

Á CASE STUDIES

Office of Film and Literature Classification

Communication and consultation at the Office of Film and Literature Classification was effectively

managed through a comprehensive, multifaceted approach including: formal meetings; receiving and

responding to community and industry suggestions and complaints; discussions with staff; and through

a client survey.

Austrade

In December 1999, Austrade received a Silver Award for Excellence from the Special Minister of

State in recognition of its communication strategy which targeted a global network of more than

90 offices in Australia and overseas.

Bureau of Meteorology

Communication at the Bureau of Meteorology is managed both online through Internet and email

commentary, and in more traditional external focus groups and internal discussions.

14 Second whole-of-government report

Principle 3—Client service standards and client rights and

responsibilities

A service charter is to set out the agency’s client service standards and client rights and

responsibilities.

99% of service charters met this Principle in at least one of the ways listed below.

Of the 143 service charters that reported against this Principle:

¶ 127 (89%) included details on how they deliver services—for example, time taken to respond to a

letter;

¶ 124 (87%) covered the quality of the agency’s relationship with clients;

¶ 99 (69%) reflected the values of the Australian Public Service Act 1999;

¶ 92 (64%) complied with the Government’s Charter of Public Service for a Culturally Diverse

Society under the Commonwealth Access and Equity Strategy;

¶ 65 (45%) confirmed that their charter covered those living in rural, remote and regional Australia;

¶ 60 (42%) covered online service delivery;

¶ 56 (39%) addressed delivery of services to people with disabilities;

¶ 45 (31%) accounted for service delivery to people from non-English speaking backgrounds; and

¶ 30 (21%) covered services to be delivered by outsourced providers.

Chart 5 illustrates the number of service charters that have defined service standards and embraced

contemporary government reforms.


CHART 5—SERVICE CHARTERS THAT ADDRESS

CONTEMPORARY GOVERNMENT REFORMS (TOPIC AND NUMBER)

0

20

40

60

80

100

120

140

Ser

vice

deliv

ery

Clie

ntre

latio

nship

APS

Act

Cultu

rally

diver

se

Rur

al a

cces

s

Online

serv

ice

deliv

ery

Disab

ility ac

cess

Non

-Eng

lish

Out

sour

ced

prov

ider

Yes

No

No response

Á CASE STUDY

Aboriginal Hostels

In December 1999, the Special Minister of State presented a Silver Award for Excellence to

Aboriginal Hostels in recognition of its work in clearly explaining clients’ rights and obligations

through its service charter.



Á CASE STUDY

Australian War Memorial

Results from measuring performance standards at the Australian War Memorial showed that:

¶ approximately 27 500 people attended national ANZAC Day and Remembrance Day

commemorative ceremonies (up 2% from 1998–1999);

¶ the Memorial's commemorative services received an average rating of 4.8 on a scale of one to five

(with five being the highest rating) in a visitor exit survey;

¶ the Memorial recorded that 39 407 clients visited the Research Centre Reading Room, a 297%

increase1998-99. As well, 514 247 user sessions were recorded accessing the Memorial's web site,

a rise of 109% on the previous year;

¶ all Memorial galleries received a rating of 4.4 or higher, on a scale of one to five (with five being

the highest rating), in a visitor exit survey;

¶ 100% of visitors indicated in a survey that they were moved by stories in the exhibitions they

visited, with 99% saying they found the Memorial's family holiday program to be value-for-

money;

¶ 83% of visitors surveyed said they knew more about the Second World War after viewing the

Memorial's Second World War galleries;

¶ 90% of visitors surveyed rated the Memorial’s education programmes as good or excellent;

¶ compliments received increased greatly in number for 1999–2000 while complaints only increased

marginally; and

¶ 85% of visitors said in an exit survey that the Memorial had improved its performance since their

last visit.

Principle 4—Client feedback and complaints

A service charter is to articulate an agency’s policy on obtaining feedback and handling

client enquiries and complaints.

92% of service charters have formal systems to record complaints feedback for a full year.

Of the 133 service charters that reported against this Principle:

¶ 100 (75%) had systems in place for recording compliments;

¶ 110 (83%) had systems for recording suggestions; and

¶ 123 (92%) had systems for reporting on complaints.

Chart 6 provides a comparison with the 1997–1999 figures on client feedback.

Several agencies reported that due to internal restructuring their recording systems were being

reviewed. The ten agencies with charters under development, being re-developed or having an interim

charter were not able to report on this Principle.


CHART 6—SERVICE CHARTERS WITH SYSTEMS TO RECORD

CLIENT FEEDBACK (PERCENTAGE)

Comparison

of two reports:89%

82%82%

92%83%

75%

Systems to record

compliments

Systems to record

suggestions

Systems to record complaints

1997-1999

1999-2000

Á CASE STUDY

International Child Abduction, Child Support and Civil Procedure,

Attorney-General’s Department

The existing performance standards for international child abduction, child support and civil procedure

predominantly relate to timeliness and the quality of relationships with clients and services provided.

No complaints were received and there was no misuse of personal information. Feedback was positive

and established processes and procedures are well maintained. Participative management practices

sought to foster professionalism, innovation and best practice.



Á CASE STUDY

Child Support Agency

The Child Support Agency charter asks clients who have a problem to directly contact a client service

officer or manager. If the client is still not satisfied they can call a complaints officer on a dedicated

complaints telephone number for the cost of a local call. In addition, clients can register complaints

through a free fax and teletypewriter system. A holistic approach to complaints management has been

introduced by integrating the complaints system, letters to Ministers, complaints through the

Ombudsman and privacy complaints. Improvements to the system are designed to position the

Complaints Service to be the complaints mechanism of choice for clients.

Principle 5—Consultation in charter development

A service charter is to be developed in consultation with clients, staff and other key

stakeholders.

99% of service charters were developed in consultation with the agencies’ clients, staff and/or

stakeholders.

As Chart 7 indicates, of the 143 service charters to report against this Principle, two (1%) did not

provide a response to this question. The remaining 141 (99%) indicated that their service charters were

developed in consultation with others, as follows:

¶ 65 (45%) consulted with all groups (clients, staff and other key stakeholders);

¶ 28 (20%) consulted with staff and stakeholders only;

¶ 18 (13%) consulted with clients and staff only;

¶ 12 (8%) consulted with stakeholders only;

¶ 10 (7%) consulted with clients and stakeholders only;

¶ 7 (5%) consulted with staff only; and

¶ 1 (1%) consulted with clients only.

Some agencies also consulted with community groups that represented their client’s interests. This

approach has the benefit of the agency becoming aware of client concerns through a readily accessible

group that represents a spread of individuals likely to have dealings with that agency.


CHART 7—CONSULTATION IN SERVICE CHARTER

DEVELOPMENT (NUMBER AND PERCENTAGE)

Staff only

7 (5%)

Stakeholders

only 12 (8%)

All groups

(clients, staff and

stakeholders)

65 (45%)

Staff and

stakeholders only

28 (20%)

Clients and

staff only

18 (13%)

Clients and

stakeholders only

10 (7%)

No response

2 (1%)

Clients only

1 (1%)

Á EXTRACT

Commonwealth Ombudsman

We have just completed a major client survey …This analysis will give us a great deal of objective

information about how we have performed quantitatively and qualitatively against the service charter.

More importantly, this information will provide a valuable focus when reviewing the service charter.


Principle 6—Format, style and promotion

A service charter should be designed and promoted in a format and style suitable for an

agency’s clients.

98% of service charters were presented in formats suitable to their clients needs.

Of the 133 service charters to report against this Principle, three (2%) did not respond to this survey

question. The remaining 130 (98%) reported on format, style and promotion as follows:

¶ 92 (69%) are available in paper and electronic formats;

¶ 25 (19%) are available in paper format;

¶ 7 (5%) are available in electronic, paper and other* formats;

¶ 4 (3%) are available in electronic format; and

¶ 2 (2%) are available in paper and other* formats.

The ten agencies with charters under development, being re-developed or having an interim charter

were not able to report on this Principle.

* ‘Other’ is defined as charters provided by agencies in formats such as braille, large print and

teletypewriter (TTY).


CHART 8—FORMATS OF SERVICE CHARTERS


Paper only

25 (19%)

No response

3 (2%)Paper, electronic

and other

7 (5%)

Paper and other

only 2 (2%)

Electronic only

4 (3%)

Paper and electronic

only

92 (69%)

Á EXTRACTS

Department of Employment, Workplace Relations and Small Business

The service charter will be released as a printed version, in PDF and in HTML on the Internet. We

are also looking at large print versions, braille and languages other than English, together with

availability through Teletypewriter for hearing impaired clients.

Australian Customs Service

The service charter is available in brochure format and on the Internet. The online version will be

made available in a number of different languages. As part of Customs’ Internet strategy, the charter

will be placed on foreign language search engines to better position it for clients overseas and clients

in Australia who speak a language other than English.


Principle 7—Complaints handling processes

A service charter is supported by complaints handling mechanisms for resolving client

complaints.

96% of service charters have complaints handling processes that track and manage complaints.

As Chart 9 indicates, of the 133 service charters that reported against this Principle, 128 (96%) have a

process that tracks and manages a complaint, from receipt through to resolution. Increasingly these

processes are electronic-based and tailored to suit the operations of an agency. By way of comparison,

89% of charters reported systems for the 1997–99 period (Chart 10).

CHART 9—SERVICE CHARTERS WITH COMPLAINTS HANDLING PROCESSES


Processes

in place

128 (96%)

Processes not

in place

5 (4%)


CHART 10—SERVICE CHARTERS WITH COMPLAINTS

HANDLING PROCESSES (PERCENTAGE)

Comparison

of two reports:

89%

96%

1997-1999

1999-2000

Á CASE STUDY

Family Court of Australia

The Family Court of Australia is implementing Casetrack and Caseflow, two new systems designed to

accelerate the time it takes to handle cases within the court.

Casetrack is a case management computer system that will automate lengthy administrative

procedures and provide an integrated replacement for many dated systems. Stage two of Casetrack

will enable electronic filing of forms and documents, and the electronic storage of files.

Caseflow will be a more service-oriented and productive way of responding to client needs by

proactively managing cases to resolution. Caseflow staff will supervise the progression of all cases

from initiation through to a fully defended hearing. They will supervise the overall progress of cases

and liaise with all professional staff, judicial officers, solicitors and litigants, to ensure holistic

management.


Principle 8—Monitoring and review

A service charter commits the agency to monitor and review arrangements.

66% of service charters are underpinned by systems designed to track and measure their effectiveness

against the charter standards.

Of the 133 service charters that reported against this Principle, 88 (66%) are underpinned by systems

designed to track and measure their effectiveness against the charter standards. Chart 11 demonstrates

that of this number, 54 (40%) have systems for all of their standards, whilst 34 (26%) have systems for

some of their standards.

Principle 8 also commits agencies to regularly review their charter. Of the 133 service charters that

reported against this Principle, 111 (83%) are reviewed regularly internally, usually on an annual

basis, and 51 (38%) are reviewed by an external provider, usually on a three-year basis.

Chart 12 compares returns from the first and second whole-of-government reports on the percentage of

charters underpinned by systems designed to measure charter standards.

CHART 11—SERVICE CHARTERS WITH SYSTEMS TO MEASURE

THE EFFECTIVENESS OF CHARTER STANDARDS


Some

34 (26%)

All

54 (40%)

None

42 (32%)

No response

3 (2%)


CHART 12—SERVICE CHARTERS WITH SYSTEMS TO MEASURE

SERVICE CHARTER STANDARDS (PERCENTAGE)

Comparison

of two reports:39%

28%

40%

30%

3%

26%

2%

32%

All

standards

Some

standards

No

standards

No response

1997-1999

1999-2000

Á CASE STUDY

Child Support Agency

In monitoring and reviewing its charter, the Child Support Agency conducted a survey in May 2000

against its six performance standards. These were measured using a Client Satisfaction Index and

Professionalism Index. The results on a five-point scale (one being very dissatisfied to five being very

satisfied) were:

Objective and unbiased 3.6

Prompt 3.4

Accurate 3.4

Respectful 3.9

Sensitive to your needs 3.4

Professional 3.6

Despite dealing with a difficult and sometimes traumatic area of service delivery, these results have

remained consistent or are improved when compared to 1998–99.


Principle 9—Accountability

The agency publicly accounts for its charter operations by publishing its client service

charter information on its compliance with the charter and the agency’s service

performance.

86% of service charters published performance information in an annual report document.

Of the 133 service charters that reported against this Principle, 114 (86%) reported on charter

performance in their own annual report, or provided a summary in their portfolio annual report

document (Chart 13).

CHART 13—SERVICE CHARTERS REPORTED ON IN AN

ANNUAL REPORT DOCUMENT (NUMBER AND PERCENTAGE)

Did not report

19 (14%)

Reported

114 (86%)



Á CASE STUDIES

Aboriginal and Torres Strait Islander Commission

The 1998–1999 Aboriginal and Torres Strait Islander Commission (ATSIC) Annual Report included

information on the development and promotion of ATSIC’s service charter and issues dealt with

through their Complaints Scheme.

Department of Veterans’ Affairs

In December 1999, in recognition of the service delivery standards, the Department of Veterans’

Affairs received two gold category Special Minister of State Excellence Awards. These were

presented for: Excellence in raising client awareness through service charter development and use; and

excellence in integrating service charter-driven, client service outcomes, with core business practices.

service charter principles - united...

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