Independent Complaints Reviewer to the National Archives Annual Report 2006-2007

Seeking a fair resolution

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Contents

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Jodi Berg

Jodi Berg was appointed as the Independent Complaints Reviewer (the ICR) for The National Archives in 2000. The ICR is not part of the management of the National Archives and the service is free to its customers.

Mrs Berg also acts as the ICR for Land Registry, the Charity Commission, the Housing Corporation, Land Registers Northern Ireland, The Audit Commission and The Northern Ireland Youth Justice Agency. She is a solicitor with extensive management experience in both the private and public sectors and is a Fellow of the Chartered Institute of Arbitrators.

Introduction

I am pleased to present my Annual Report for 2006 - 2007 as Independent Complaints Reviewer for The National Archives.

It is rare for my office to receive complaint referrals from people dissatisfied with the service they have received from TNA. Indeed over the past few years I have not been called upon to investigate any complaints. However, this year I have reported on one complaint, and considered four other referrals that have not proceeded to full review. I commend TNA once again for its success in settling complaints internally.

As ICR, I focus my attention on the way in which TNA responds to complaints and the lessons that can be learned from them. People rely on a public body to acknowledge their dissatisfaction, try to resolve matters and facilitate access to independent review should the need arise. I am able to report that TNA continued to do this last year.

Part of my role is to offer systemic feedback, which points to service weaknesses. I am pleased to report that TNA takes a positive attitude to learning from customer complaints and, as a result, some changes have been implemented for the benefit of future customers. This demonstrates the added value that independent review can offer.

I would like to thank both my office team and staff in the Public Services Development Unit at The National Archives for supporting the constructive relationship between us.

My report describes the ICR service; offers an independent view of The National Archives' complaint activity; comments on customer service initiatives during the past year; and provides brief anonymised summaries of complaints referred to me. I hope you will find it interesting.

1. The ICR Service

1.1 The role of the ICR

The ICR office provides a free, impartial complaints review and resolution service, which aims to settle complaints for customers of The National Archives and to make a positive difference for the future. The office is entirely independent from the TNA and our service is free to its customers.

The service is available to anyone who has exhausted TNA's internal complaints procedure but remains dissatisfied with the response and/or redress provided.

The office holds BSI standard CMS58065 in complaint handling and undergoes a yearly inspection to maintain this standard.

1.2 What we do

The ICR role is to act as an impartial referee for people dissatisfied with TNA's final response to their complaint. Our job is to identify whether TNA has provided a satisfactory service or whether there have been shortcomings such as mistakes, delays, unfairness or discourtesy. We take an unbiased view of the merits of each complaint issue and seek a fair outcome.

There are certain complaints I cannot examine. In particular, I do not accept complaints that:

1.3 Access to the ICR service

Our leaflet 'Seeking a fair resolution' contains full details of our service, and a tear-out form on which to make a complaint. The leaflet and the form are also on our website (www.icrev.org.uk). We can provide a translation of it for those who need it. Complaints can also be referred by telephone, fax and e-mail.

Initially we try to resolve complaints by agreement between TNA and its customer, as this generally results in a quicker and more satisfactory outcome for all parties. We ask complainants what they would like TNA do to put matters right. If further investigation is required, we keep complainants informed as to progress and issue a written report once all the evidence has been fully considered. If a complaint is upheld the report may recommend:

If complainants are dissatisfied with the outcome of the investigation, they may ask their MP to refer the matter to the Parliamentary and Health Service Ombudsman.

1.4 Accountability

Customer Satisfaction: We try to provide people with excellent service, both in terms of quality and response times. We encourage feedback, both informally and through customer satisfaction surveys. This information is analysed and, wherever possible, acted upon.

Service Standards: We set challenging targets for responding to customers and dealing with their complaints.

We aim to respond to correspondence within 48 hours and to complete the review of all complaints within 36 weeks. The investigation completed during the reporting period was concluded in 20 weeks from agreement of the issues.

Comebacks and complaints: Where I do not uphold part or all of a client's complaint, it is not uncommon for people to challenge my decision. This is entirely understandable and we respond to every contact of this kind, to try and set minds at rest about the reasons for my decisions.

We recognise that complaints about our own service provide valuable information about people's experience of us, and our success in meeting their expectations. We analyse complaints received, to identify and learn from any failings, and to rectify shortcomings. Last year we received no complaints from TNA customers.

1.5 Making a difference to the service clients receive

In addition to raising systemic issues arising from individual cases, I encourage general good customer service practice. We have regular contact with TNA at management and Board levels, in order to discuss any problem areas that have come to my attention and to share best practice from other areas of our work.

In the last year, for example, we offered advice on TNA's complaints procedure leaflet, in the interests of making it more accessible for complainants

1.6 Sharing good practice

The ICE office is an associate corporate member of the British and Irish Ombudsman Association (BIOA). We are committed to BIOA Principles of Good Complaint Handling. We share information about the ways in which we improve our own service and look for opportunities to learn from the experience and expertise of colleagues. In this way, BIOA members enhance their service for complainants, and offer worthwhile outcomes for them and for organisations complained about.

Information about other Ombudsman and complaint handling schemes can be obtained by visiting BIOA's website at www.bioa.org.uk.

2. The National Archives

2.1 New developments

As ICR, I take an interest in all customer service initiatives taken to improve people's experience of TNA. There were several developments during the year:

At Kew:

Staff have access to an on-call military specialist, to help them advise readers who have unusual or difficult enquiries.

A virtual tour of TNA's onsite service is now available on its website.

More free to search online collections are available, for example, passenger lists and first world war service records.

At the Family Records Centre:

The reading room design has been completed. The improved layout provides a central enquiry point, more online access and an online quiet area.

The FRC is holding drop-in sessions three times a week, at which there is a 20-minute talk to help new users make the most of their visit.

2.2 Customer contact

Last year 238,277 people visited The National Archives, and 24,033 written enquiries were received, a reduction in both for the second year in a row. The number of telephone enquiries also reduced to 93,674, a decrease from last year but broadly in line with previous years. Website use averaged 37,215 visits per day

Against this background, the numbers of complaints received by TNA are remarkably low. Last year saw a slight increase in referrals to 77, only 9 more than the previous year.

During the reporting period, the ICE office received 4 complaint referrals and completed 1 review. As always, we also responded to several enquiries by providing advice and assistance to help people take concerns forward. I see the provision of advice and assistance as a helpful service for TNA customers. Although TNA could answer many of the questions raised itself, there are people who prefer to have things explained by an independent observer.

In the cases where I did not complete a review, complainants had not completed the full Archives' internal complaints procedure. I referred these cases back to The National Archives and it has successfully answered these complainants without further reference to me.

2.3 What we found

Managing customer expectations

Mr A was researching naval records to try to locate details of a former colleague. He contacted The National Archives about this and was given contradictory advice. TNA apologised and a free search was made, but without a satisfactory result.

Mr A complained to the ICR that four different advisors had each given him different decisions, causing a great deal of concern and inconvenience. Another search was carried out, again without finding the information required, and it was revealed that TNA only held around 10% of the available records. Mr A was told that he would have to contact the other organisations where the material was held and pay further fees to search the records.

As a result of Mr A's further representations another organisation's archives were searched free of charge, again without finding the required information. Mr. A was then informed that a further search would incur a fee.

Mr A complained to the ICR that he had received incorrect and confusing information, that TNA failed to consult all the information available and wrongly asked for further fees to search for the information held in different locations.

The ICR noted that the fact that four different officers dealt with Mr A's complaint meant that he did not receive a co-ordinated response, although she recognised that staff tried to be helpful.

The ICR commented that it would have been appropriate to tell Mr A at an early stage that it was likely that the records he was seeking were not held, and that he could approach other organisations but would incur their search fees.

The ICR concluded that Mr. A's complaint in this respect was justified. However, she was satisfied that TNA had tried to provide him with redress, including carrying out two free searches. Apologies had also been given. The ICR found that the redress given was proportionate to the problems encountered by Mr A and, for this reason, his complaint was not upheld

The ICR noted that fees paid to one archive could not cover a search at another, as these organisations were independent. She commented that this should be made clear to users, so that similar confusion could not arise. In response, an amendment will be made to the Research Guide on Merchant Navy Crew Lists to advise researchers that information is held by a number of organisations which charge a search fee.

I do not uphold a complaint if, at the time it is accepted for investigation, TNA has already fully addressed matters and appropriate redress has been provided, offered or instigated.

In the above complaint, 3 allegations of maladministration were made: 2 relating to practice and procedure and 1 to communication. None of these allegations were upheld, although the complaint about communication was initially justified.

This is encouraging and demonstrates the good complaint response offered to TNA customers, even in what can be difficult circumstances.

2.4 Improved recording

I am pleased to report that in response to my recommendation in my last report The National Archives has introduced a system to record compliments it receives. They are filed electronically, and are available for staff to see. Moreover, selected compliments are posted on the TNA Intranet site. I regard this as a significant step forwards for TNA, which encourages staff to strive for customer satisfaction.

I note that during 2006-2007, TNA received 223 compliments about the service provided, as well as up to 100 letters of thanks a month in response to written replies to enquiries.

3. The ICR Team

If you would like to complain to the ICR or if you require additional copies of this Annual Report, please contact:

The Office of the ICR
New Premier House
150 Southampton Row
London
WC1B 5AL

Telephone: 020 7278 6251
Fax: 020 7278 9675

E-mail: enquiries@icr.gsi.gov.uk