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| This work was commissioned by The Scottish Office in 1996 as part of a set of measures to improve the quality of the service provided by planning authorities. The effective management of complaints is acknowledged as an essential part of any commitment to improved quality of service. The approach adopted was participative and user-focused to avoid the negative reactions which can be provoked by the topic of complaint handling. The study draws general conclusions and makes recommendations on best practice in this area and offers a definition of complaint and the interaction between complaints and service levels. |
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| Main findings |
- The users of planning services have strong views about the service. Applicants set considerable store by an efficient and responsive service.
- Three-quarters of the respondents were satisfied by the way their routine contact was handled.
- The problems most frequently encountered by non routine contacts concerned issues of speed and information.
- The number of complaints currently recorded has little or no link with levels of dissatisfaction amongst users of the planning service.
- A very narrow formal definition of a complaint is being operated by planning departments.
- The overall level of satisfaction with the handling of any problem or query with regard to planning was similar to other council services, but low by current private sector standards. The experience of dealing with the planning service decreased the confidence of almost a third of the users in the system and those who dealt with the service most frequently, such as agents, expressed the lowest satisfaction.
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| Planning Issues |
| Planning Authority or Service? |
| What is the nature of the planning function provided by local authorities in Scotland? The term "planning authority" conveys the notion of decision making with planning professionals and elected representatives regulating local development within a framework of national legislation and local policy. |
| A "planning service", on the other hand, introduces concepts such as management, resource allocation, service standards, targets and performance monitoring. Apart from the evolving role of the Accounts Commission, the spread of compulsory competitive tendering (CCT), and the role of the Ombudsman, there has been little national control on how planning service delivery is to be undertaken by local authorities. Moreover, service issues are generally determined by officials than by councillors: it is seen as management rather than policy. |
| Above all, the service approach also introduces the concept of the customer, which is discussed next. The treatment of complaints from customers by planning departments is one indication of where the balance lies between "authority" and "service". |
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| Who is the Customer? |
| There is a legitimate debate about who is the customer of the planning service. Is it the direct user of the service, such as the applicant, the applicant's representative, the person who asks for clarification about a planning matter or who urges enforcement to be taken against a third party? Does it include the object of enforcement action, and the objector to a planning application? Does it include the local population, and their elected representatives? Does it also include occasional visitors from elsewhere? Unborn populations? |
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| Planning for Service Design and Delivery |
| Service design and delivery are concerned with those who directly use the service, and the report asserts the priority of providing a decent service to the users of the first resort. Doing this does not mean that the interests of the wider or future populations should be forgotten. An effective, responsive planning service does not entail foolish and damaging planning decisions, any more than a badly organised, haphazard planning service entails good and far-sighted planning decisions. |
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| Study Approach |
| The researchers adopted an approach which was participative and user focused, and which emphasised where possible reducing formality in complaint handling. |
| The study approach was also informed by the recent local government reorganisation. In many councils the structure of planning departments within which a complaints procedure would operate had been changed significantly. Moreover, a number of new councils were in the process of developing corporate approaches to complaint handling, which could have a significant impact on the handling of planning complaints. |
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| Three surveys were undertaken: |
| (a) A survey of planning departments. Thirty two of the 34 departments with planning responsibilities responded to a postal questionnaire. |
| (b) A survey of contactors: 7 planning departments each provided a sample of contactors, including applicants, objectors, routine enquirers, those involved in enforcement action. A 39% response rate was achieved. |
| (c) A survey of complainers: only 5 councils were willing and able to provide a sample of people who had complained since 1 April 1996: a total sample of 49. This survey did not produce statistically significant findings, although over half of the sample responded. |
| In addition, 4 planning authorities which had won a Chartermark were surveyed, all of which were in England. |
| Two workshops for planners were held, the first to test the approach and secure survey volunteers, and the second to discuss draft findings. |
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| Conclusions from Study |
| The main drivers of satisfaction for people routinely contacting the planning service are: |
- ease of access, by telephone and personal visit;
- speed of response, by telephone and correspondence;
- staff behaviours and competencies, such as understanding, helpfulness and knowledge;
- quality of information, such as clarity, timeliness and comprehensiveness.
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| The main conclusions on routine handling are: |
- set standards which meet the expectations of users;
- communicate these standards;
- set targets;
- measure performance.
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| The main conclusions on the handling of non-routine contacts, such as problems and complaints are: |
- place complaint handling within the context of clear service standards;
- have a named complaints officer;
- reduce the number of formal complaint stages to a maximum of two;
- use IT for more consistent handling and analysis.
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| A Framework for Action |
| The study points to a number of key aspects which would be important to improve delivery of Planning Services in Scotland. These include: |
- Define the service to be offered
- Communicate service standards to the public
- Set targets
- Define measures to support targets set
- Encourage comments on system
- Create council wide means of escalating issues
- Measure satisfaction with outcomes both for routine and non-routine contacts.
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| Defining the Service |
| Based on the findings, the report proposes setting service targets for telephone access, obtaining appointments, correspondence response times, staff behaviours and competencies, quality of information, and user satisfaction. Targets are set over time, which offer the prospect of being met and the prospect of being improved. Guidance is given on measurement, which should be done by a mixture of logging information and surveying users. |
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| Concluding Remarks |
| The report concludes that the findings and recommendations including the targets and the means of achieving and measuring them need to be actively promulgated. The consultants recommend the continuation of the participative approach by holding a conference or seminar hosted by an appropriate professional body to pool best practice and to define further the relationship between good service practice and the effective management of dissatisfaction and escalated complaints. |
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| "Contact and Complaint Handling by the Planning Service in Scotland ", the research report summarised in this Research Findings, may be purchased (price £5 per copy). |
Cheques should be made payable to The Stationery Office and addressed to:
The Stationery Office Ltd, Mail Order Department, 71 Lothian Road, Edinburgh, EH3 9AZ. Telephone: 0131 228 4181 Fax: 0131 622 7017 The report can also be ordered online from:www.thestationeryoffice.co.uk |
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| This Research Findings may be photocopied, or further copies may be obtained from: |
The Scottish Office Central Research Unit
Area 2J CRU
Victoria Quay
Edinburgh EH6 6QQ
Tel No: 0131 244 5397 or Fax No: 0131 244 5393 |