Brief Case Studies Of
Exemplary Practices

Prepared for
Innovative and Quality Services Division
Service and Innovation Sector
Treasury Board of Canada Secretariat

Prepared by
Consulting and Audit Canada
Project No.: 550-0743

November 2001

Table of Contents
Page

Government of Canada
CCRA Appeals
CCRA Assistance To Clients And Assessment Of Returns
Citizenship and Immigration Canada
DFAIT Canadian Trade Commissioner Service
HRDC Employment Insurance Services
Industry Canada Competition Bureau (Mergers)
National Library Of Canada
NRCan Earth Sciences Sector
Royal Canadian Mounted Police – Forensic Laboratory Services
Statistics Canada Advisory Services
Transport Canada Technology And Information Management Services Directorate (TIMSD)
Veterans Affairs Program
Private Sector and Other Governments
AMEX Canada Inc.
AT&T Canada
Canada Life Assurance Company
Ontario Ministry Of Transportation - Service Improvement Office
Royal & SunAlliance
Sun Life Financial of Canada
TD Canada Trust
Walt Disney Company (Canada) Ltd. - Division Of Consumer Products

Government of Canada

CCRA Appeals

The Appeals business line of Canada Customs and Revenue Agency (CCRA) is an administrative review available to all CCRA clients, which is intended to provide them with a fair and timely redress and dispute resolution process.  This process covers disputes related to customs and trade matters, assessments of income tax, excise tax, goods and services tax (GST), and harmonized sales tax (HST), as well as Canada Pension Plan (CPP) and Employment Insurance (EI) rulings and assessments.  CCRA is committed to providing Canadians with an impartial and timely review of its decisions, which contributes to the fairness of Canada’s tax and customs administration.

CCRA as a whole has issued a Fairness Pledge, in which it declares that its fairness commitment is based on service to clients that is responsive, consistent and impartial and on the recognition that its clients have specific needs and concerns.  As part of the Fairness Pledge, CCRA is committed to giving its clients accurate and understandable information, advising them of the time it will take to provide the requested service and working toward improving response time.  The Fairness Pledge is available on the CCRA Internet website.

In 1997, CCRA issued its 7-Point Plan for Fairness, which included:
•	developing a comprehensive guide on the rights of clients;
•	publishing standards for the services provided;
•	doing a better job communicating with clients;
•	better equipping employees to respond to client needs;
•	identifying credits, benefits and overpayments for clients;
•	providing clients an opportunity to correct any omissions in their past dealings without penalty; and
•	doing a better job applying the provisions related to fairness in the laws administered.

In response to Point 1, CCRA recently published a new declaration on client rights entitled Your Rights, which lays out what clients may expect in their dealings with CCRA.  The new declaration pledges CCRA’s commitment to client rights and fair treatment.  The declaration is posted in CCRA service areas across Canada.  It can also be found on the back of the T1 tax form and on the CCRA Internet website.  Your Rights include:
•	fair treatment
•	courtesy and consideration 
•	privacy and confidentiality
•	bilingual service
•	information 
•	entitlements 
•	formal review.

CCRA’s Appeals Branch operates in a non-adversarial nature, independently in relation to other CCRA branches, and its staff has a mandate to resolve disputes between clients and the CCRA by impartially reviewing previous CCRA decisions.  Approximately 70,000 objections/appeals/disputes are processed annually, with the bulk of these (50,000) for income tax.

The Appeals Branch receives the appeals and disputes primarily through one delivery channel, namely, mail, and occasionally by fax.  In turn, the Appeals Branch notifies clients of its decisions primarily through mail and occasionally by fax.

Service Standards in Use

The CCRA is actively encouraging the use of service standards within operational branches and regions.  In 1999, CCRA established the Agency Service Standards Steering Committee (ASSSC) to coordinate the development of standards and assist all operational branches and regions with the design and implementation of standards for the services that they provide.  Within the context of the following CCRA strategic initiatives, the Appeals Branch is developing standards for the services it provides further to:
•	Point 2 of the 7-Point Plan for Fairness;
•	the CCRA Performance Measurement Framework, based on the Balanced Scorecard approach, uses service standards with the “quality of service” and “stakeholder satisfaction” components to set the expectations against which performance will be measured; and
•	CCRA’s modern comptrollership initiative, which includes results-based data from the monitoring of service standards.

As a result of the Appeals Renewal Initiative (ARI), launched in 1997, the Appeals Branch committed to have periodic national surveys of a representative sample of its clients to obtain their views about the impartiality, accessibility, openness, timeliness and overall quality of the redress process.  The Program Evaluation Division of CCRA’s Corporate Affairs Branch was requested to conduct such a national survey in 1998 on client satisfaction with the service provided by four of its five appeals programs, namely, GST/HST, CPP/EI, Customs Adjudication, and Income Tax.  Trade Administration was not included in the survey as it was not part of the Branch when the surveys were initiated.

The survey instruments used were mail back (or self-administered) questionnaires, with a different questionnaire developed to reflect the differences between the four different appeals programs.  Two main questions asked respondents to rate their perceptions on different service criteria related to communications about the redress process, accessibility, timeliness, fairness and transparency of the redress process, service from staff, and the knowledge and interpersonal skills of Appeals staff.  The results of the survey, released in March 1999:
•	provided a measure of client satisfaction;
•	served as a baseline for future improvements;
•	identified potential areas of improvement or further study; and 
•	provided information to assist in the review and development of service standards, especially related to timeliness of the Appeals process.

Specifically, the survey found that CCRA clients showed a significant level of dissatisfaction with the time to first contact and about the lack of available information about the dispute or processing timeframes.  In response to client feedback as expressed in the survey and in accordance with Point 2 of the 7-Point Plan for Fairness, the Appeals Branch developed the “30-day meaningful first contact” as its first and currently only service standard for implementation.  This first contact with appellants (or clients) is to be through a meaningful initial letter to the client within 30 calendar days of the date an objection, dispute or appeal is received.  The service standard is intended to increase client satisfaction in the redress process by improving service delivery.

The service standard and the initial letter expedite a dialogue with the client about their objection, appeal or dispute, provide clients with relevant useful information, foster a common understanding of the facts, and establish realistic expectations on what services the Appeals business line can deliver.  In short, the 30-day meaningful first contact service standard and initial letter let the Appeals’ clients know what kind of service they can expect, when to expect it, and from whom.

The standard was piloted in 15 tax services offices, including Customs and Trade business lines, across Canada.  In December 2000, the Appeals Branch announced that it would formally implement this service standard across Canada in April 2001.  This involved changing some work processes to facilitate achieving this timeliness standard.  This service standard is to be captured and monitored by the Appeals Information and Reporting System (AIRS).  The Appeals Branch is considering the implications of categorizing the cases by complexity and modifying the service standard for different categories.

Exemplary Practices

The CCRA Appeals business line has exhibited the following exemplary practices in its approach to developing, implementing, monitoring and using its service standards:
•	use of service pledge to publicly commit CCRA Appeals to the 30-day meaningful first contact service standard, and to communicate the standard to clients.
•	use of customized initial contact letter to help manage client expectations and improve service.  Prior to the pilot, the initial contact letter was a mainframe system-generated letter that was issued under the name of the Director of the local tax services or tax centre office and provided less information to the client.  The pilot project introduced a new MS-Word-based letter that provides more information to the client and allows for customization to each individual case.

The objective of the new initial letter is to establish a basis for an early dialogue with clients, provide them with more information about the objection process, and establish realistic expectation on what services CCRA Appeals can provide.

The client letter now in use includes some of the following information:
•	acknowledgement that the objection, dispute or appeal was received,
•	confirmation of the issue(s) in dispute,
•	contact name, telephone number and fax number of the Appeals officer,
•	offer to provide additional information (transparency),
•	the approximate date of the next contact,
•	indication of information required or pending, and
•	explanation of interest consequences on unpaid amounts (where applicable).

In the pilot offices, informing clients about when they should expect a decision reduced the number of phone calls made by clients to the office.  Through the use of the initial letter, clients waited until their indicated due date before calling rather than calling continuously.

•	extensive consultation with clients and staff during piloting of timeliness service standard and initial letter and sharing of “best practices”.  The Appeals Branch invested the time and resources to adequately test the service standard and initial letter with pilots in 15 tax services offices across Canada.  This allowed for much opportunity for staff and clients to provide feedback and to dialogue on the format and their understanding of the content of the service standard and initial letter and to offer suggestions for improving them.  The pilot sites and other Appeals offices were visited and local CCRA staff were consulted to ensure that it was realistic and possible to implement the standard within their operation.

Although the pilot sites were asked to follow a specific approach, they were also encouraged to adapt the proposed approach to suit their local operation and clientele.  This fostered flexibility and innovation in how the pilot sites achieved the standard.  The “best practices” were shared among pilot offices and they improved the overall approach to achieving the standard.

•	developed the Appeals Branch Service Standard Implementation Kit, with introduction from the Appeals Branch Assistant Commissioner, to facilitate a customized implementation of service standard and initial letter.  The Implementation Kit was a useful tool for informing regional staff on guidelines for implementation and how to deal with frequently asked questions.  As well, the Kit was designed to ensure maximum consistency among offices, and to recognize that some flexibility to customize the letter to address specific issues that may arise in an office, and included examples of the letter for each of the five Appeals business lines.

•	did not hesitate to seek advice from outside Appeals Branch.  The Appeals Branch consulted with CCRA staff in other branches and outside stakeholders (e.g., the appeals Advisory Committee) to discuss its approach and to learn from the experience and expertise of others.

•	establishment of mechanism to provide redress to clients when the service standard is not met.  A complaint system was established to serve as a redress mechanism for the 30-day meaningful first contact service standard to deal with any expression of dissatisfaction from clients.  Using the information from tracking client complaints is an essential component of the service standards monitoring strategy and a valuable indicator of client satisfaction with the service.

•	commitment by a quasi-judicial or administrative review unit to carry out client satisfaction surveys on a regular basis.  The CCRA Appeals Branch is committed to carrying out surveys of its clients, including those who had not received favourable decisions, even though evidence suggests that the ‘outcome’ of the decision may be more of a factor in client satisfaction than the ‘service’ surrounding the decision.  Working within this context, the first surveys of the various appeals programs were carried out in 1998 for clients of four appeals programs and resulted in a number of changes in service delivery and the development and implementation of the first service standard for the Appeals business line.  A second set of surveys is planned for 2002-03 to see whether satisfaction has increased.

Lessons Learned

Willingness of Appellants to Provide Feedback
1.	In an appeals environment, clients (i.e., appellants) might not receive favourable decisions or outcomes and might be predisposed to be dissatisfied with the government.  Nonetheless, surveying these appellants still provides useful information on the nature of the communication, accessibility, timeliness, fairness and transparency, service from the staff, and the knowledge and interpersonal of Appeals staff.

Appellants’ Expectations
2.	Appellants want and expect a favourable decision.  But they also expect a well reasoned and timely decision, and to be informed on when they can expect the decision to be made on their case, irrespective of the outcome.  Appellants are entitled to know when to expect a decision.

Consulting with Staff
3.	In determining service standards and how to deal with the difficulties of implementation, consulting with both Appeals and non-Appeals staff in headquarters and especially the regions, as well as with clients, contributes to improving service.

Contact

For more information on the services provided by the CCRA Appeals business line, please contact:

Nathalie Dumais
Manager
Client Consultation and Services Section
Appeals Branch
Canada Customs and Revenue Agency
Tel  613-952-7400
Fax  613-952-0197
e-mail  nathalie.dumais@ccra-adrc.gc.ca

CCRA Assistance To Clients And Assessment Of Returns

The Assistance to Clients and Assessment of Returns business line of Canada Customs and Revenue Agency (CCRA) consists of numerous programs aimed at ensuring that clients are aware of and fully understand their entitlements and obligations under the law.  The objective of this business line is to foster self-assessment and compliance and to process client returns.  The business line includes activities related to advice to clients of their rights and obligations; providing clients with the necessary forms and information for filing returns accurately and on time; responding to client enquiries in a timely and accurate manner; assessing and processing clients' returns in a timely manner; advising clients on the results of assessments; processing of payments in a timely and accurate manner; developing and maintaining a registry of clients; and conducting limited verification of items.

CCRA as a whole has issued a Fairness Pledge, in which it declares that its fairness commitment is based on service to clients that is responsive, consistent and impartial and on the recognition that its clients have specific needs and concerns.  As part of the Fairness Pledge, CCRA is committed to giving its clients accurate and understandable information, advising them of the time it will take to provide the requested service and working toward improving response time.  The Fairness Pledge is available on the CCRA Internet website.

In 1997, CCRA issued its 7-Point Plan for Fairness, which included:
•	developing a comprehensive guide on the rights of clients;
•	publishing standards for the services provided;
•	doing a better job communicating with clients;
•	better equipping employees to respond to client needs;
•	identifying credits, benefits and overpayments for clients;
•	providing clients an opportunity to correct any omissions in their past dealings without penalty; and 
•	doing a better job applying the provisions related to fairness in the laws administered.

In response to Point 1, CCRA recently published a new declaration on client rights entitled Your Rights, which lays out what clients may expect in their dealings with CCRA.  The new declaration pledges CCRA’s commitment to client rights and fair treatment.  The declaration is posted in CCRA service areas across Canada.  It can also be found on the back of the T1 tax form and on the CCRA Internet website.  Your Rights include:
•	fair treatment
•	courtesy and consideration
•	privacy and confidentiality
•	bilingual service
•	information
•	entitlements
•	formal review.

CCRA delivers services to its clients through a variety of channels to enable them to obtain information and assistance in order to receive their entitlements and voluntarily meet their obligations.  The Client Services Directorate within CCRA’s Assessment and Collections Branch plays an integral role in providing clients with the required information and tools.  Specifically, clients can receive information on the filing, payment, and status of income tax and GST/HST returns and refunds, and source deductions through tax services offices (TSOs) and tax processing centres located across the country.  TSOs also handle telephone enquiries and offer counter services to clients in both official languages.

Client Service Agents in the TSOs explain assessment notices, answer tax questions, and handle client enquiries about the GST/HST credit, and the Canada Child Tax Benefit and related programs.  Clients may also obtain the forms and publications they need from any TSO.  Clients receive the telephone numbers of their local TSO, a separate Problem Resolution Program phone number, and the general and Tax Information Phone Service (T.I.P.S.) enquiries lines with the income tax package mailed to them each year.

Tax-related information is also available through correspondence, community outreach, education, partnerships and delivery of forms and guides.  While information may be obtained from more than one delivery channel, 85% of clients contact the CCRA for information or assistance through the telephone.  In fact, CCRA received approximately 24 million telephone inquiries during the fiscal year 1999-2000.

Service Standards in Use

CCRA is actively encouraging the use of service standards within operational branches and regions.  In 1999, CCRA established the Agency Service Standards Steering Committee (ASSSC) to coordinate the development of standards and assist all operational branches and regions with the design and implementation of standards for the services that they provide.  Within the context of the following CCRA strategic initiatives, the Client Services Directorate is developing standards for the services it provides:
•	Counter Service
•	Problem Resolution Program
•	Caller accessibility (under development)
•	Responding to Correspondence related to General and business Enquiries (under development)

CCRA’s commitment to communication and quality services is driven by the conviction that it can best promote compliance through a positive relationship with clients.  In this regard, the Assistance to Clients and Assessment of Returns business line continues to focus on providing quality services, simplifying processes, and reducing the compliance burden for individuals and businesses.

Consistent with the government’s commitment to improving service delivery to Canadians, the Client Services Directorate conducted four surveys to determine the acceptable waiting time for counter service, one of the first lines of direct service encountered by clients.  The responses from over 3,000 clients, together with comments from front-line enquiries staff, were analyzed to determine an acceptable national standard.  CCRA is committed to serving clients within 20 minutes of arriving at the counter, a service pledge implemented in all TSOs for Client and Business counter enquiries in May 1997.  Based on a recent survey, clients believe the 20-minute wait time fulfills the delivery targets of accessibility and timeliness.

A commitment to providing courteous service is another essential part of CCRA’s service pledge to its clients.  The counter service is classified as a voluntary compliance service activity supporting the revenue and benefits service business line.   The 20-minute wait time service standard is communicated to the public by way of posters in the TSO waiting areas.  This commitment allows clients to fairly assess CCRA’s services within the limits of the service pledge.

In December 1997, a pilot project was initiated by the Client Services Directorate to monitor the results of implementing the 20-minute wait time standard.  The goals of the pilot were to:
•	identify trends and variances for counter service traffic
•	report performance results against the standard
•	identify opportunities to improve service and create a continuous cycle of improvement

Baseline data were established consisting of the 1998-1999 fiscal year and two filing seasons, 1998 and 1999.  The results of the pilot project have been positive.  For the fiscal year 1998-1999, 12 of the 15 offices in the pilot, or 80% met or bettered the 20-minute wait time standard, while 8 of the 15 offices, or 53% served clients within 10 minutes or less.  This timeliness has resulted in an overall client satisfaction rate of 90%.  All offices continue to monitor wait times, with the goal of meeting the 20-minute wait time standard.

The Client Services Directorate has also developed a Client Service Rating Card (CSRC) to enable clients to rate specific aspects of CCRA’s service.  Four ratings are provided on the card: poor, fair, good, or excellent.  The cards are available in all TSOs, tax centres, and some customs offices.  Client complaints that meet the referral criteria set out under the Problem Resolution Program (PRP) are handled on a priority basis through local tax services offices.  Telephone contact with the client is normally established within 1 to 5 days, with the standard for resolution being set at 15 working days.  In the event a case is not resolved within the 15 day time period, the PRP representative must advise the client of the expected date of resolution.

The PRP was introduced in 1986 to assist those clients who have not been able to have their issue or problem resolved by going through normal channels.  The PRP is the main complaint and redress mechanism for all revenue and benefits services. The Program handles cases that are sensitive, media-related, urgent, high-priority, and which constitute a serious breach in service standards caused by a significant Agency error, including constitutional, legal issues or other hardships.  Members of Parliament frequently use the Program to resolve the tax-related problems experienced by their constituents.

The 15-day PRP service standard was published for the first time in various departmental guides in 1999.  Specifically, it appeared in the T2 Corporation Income Tax Guide, the T3 Trust Income Tax and Information Return, the General Information for GST/HST Registrants, and the publication Revenue Canada: Our Programs and Services.  Continuous feedback from both clients and staff indicates that the 15-day turnaround time is reasonable.

With over 85% of all enquiries coming into Client Services through the telephone, this delivery channel has become the preferred contact for most Canadians to reach the CCRA.  The Directorate believes quality telephone service is the key to maintaining high levels of voluntary compliance.  Since it remains one of the most effective and efficient methods of providing service, the Client Services Directorate reviewed industry standards and performance, and consulted the survey results from Citizens First to determine an appropriate caller accessibility rate.

An accessibility rate performance indicator of 85% was agreed upon through consensus with Regional Client Services advisors and Client Services assistant directors.  Caller accessibility denotes the number of unique callers, determined by telephone number, that successfully access the Automated Call Distributor (ACD) in a given week.  The definition of accessibility reflects the number of call attempts and not the number of callers who attempt to reach the CCRA.  Caller accessibility is measured on a weekly basis, 24 hours a day, 7 days a week, with results being reported weekly to senior regional and Headquarters management.  This target is included in the Client Services Telephone Management Reference Guide, a collaborative publication between field office and headquarters personnel, which assists field managers in managing a telephone section in TSOs.

Client Services obtained client feedback on the level of telephone service, via a pilot automated telephone survey, in April 2000.  Specifically, clients were invited to call a 1-800 number to participate in a voluntary survey conducted through an Interactive Voice Response (IVR) computer.  The IVR asked a series of pre-defined questions regarding the client’s experiences in obtaining services from CCRA.  This initiative resulted in a significantly redesigned 1-800 telephone enquiries system.  The new system allows CCRA to reroute calls to available telephone agents across the country.  This gives Canadians prompt telephone access to the CCRA, regardless of their geographic location, and increases the efficiency of staff.  Clients are now waiting on average less than a minute to speak to an agent, exceeding the previous commitment made in fiscal year 1999-2000 to achieve accessibility rates of 85% and reduce waiting times to a maximum of two minutes.

While the Department expects an overall increase in the demand for telephone services over the next three years, particularly during peak periods, it will mitigate this pressure by improving access to automated systems. In particular, CCRA expects public enquiries handled by automated systems to increase from 7 to 11 million over the coming planning period, while public enquiries handled by agents will decrease by about 2 million. The move to increase access to automated telephone services is part of an overall departmental strategy to enhance service delivery, including incorporating the use of the Internet. By modernizing its systems to keep pace with the demand, the Client Services Directorate expects to achieve higher levels of client satisfaction through improvements in service such as increased accessibility, higher accuracy levels and more timely responsiveness to enquiries.

CCRA is also committed to responding to written enquiries (general and business) within 20 working days of receipt, or within 20 working days of receipt of supporting documents when additional information is required.  The Client Services Directorate is responsible for establishing and monitoring the standards, while client services staff in TSOs and tax centres are responsible for the front-line processing.  As part of their commitment to improving services, Client Services is examining ways of ensuring accuracy and quality targets to supplement the time standard of 20 working days.

CCRA has also attempted to improve client satisfaction through regular education, outreach, communication, and consultation activities.  The CCRA has a number of outreach programs that range from participating in conferences and trade shows to conducting tax clinics for new immigrants.  CCRA’s community visits combine service, education and compliance checks, while its school program supplies free Teaching Taxes kits to teachers and students throughout the country.  CCRA provides volunteer training sessions for representatives of community organizations and other interested people, including disabled persons, senior and low-income citizens, on how to complete income tax returns.  CCRA also annually publishes a document entitled Our Programs and Services, which offers a brief explanation of all of the services it provides.

CCRA has also recently introduced an on-line service that allows Canadians to send returns directly to the CCRA over the Internet.  Ninety-five percent of the more than 25,000 NETFILE users surveyed found it easy to use, with many indicating that they would use the service again.

In addition to consulting with clients, the Client Services Directorate brings together staff from each region of the country to provide solutions to problems that impact directly on services to the client.  This internal consultation mechanism, known as the Service Enhancement Program (SEP), fast tracks problems that appear to be national in scope and which impact upon all delivery channels.

To fulfill CCRA’s compliance mandate while pursuing service excellence, CCRA has developed a Competency Profile Catalogue to ensure that their employees have the skills and knowledge they need to better serve Canadians.

Exemplary Practices

The CCRA’s Client Services Directorate has exhibited the following exemplary practices in its approach to developing, implementing, monitoring and using its service standards:

•	commitment to consult regularly with clients and staff on service standards and client satisfaction and expectations.  The Client Services Directorate consults extensively with both clients and its front-line service staff during the development of service standards.  They also regularly consult with front-line service staff as a way of obtaining first-hand information on the level of service expected by clients.  The Client Services Directorate uses this feedback to understand the level of client satisfaction, improve their services in effort to help Canadians understand and meet their compliance obligations, and provide guidance for revising service standards, where necessary.

The Client Services Directorate also regularly obtains feedback from and about their clients through a number of sources, including the Problem Resolution Program, ministerial correspondence, the “Your Opinion Counts” invitation extended through its publications, client service rating cards, internal advisory committees, as well as through feedback from staff.  These mechanisms are seen to be extremely useful in identifying opportunities for service enhancement and for adapting CCRA’s services and service delivery to satisfy client needs and expectations.

•	use of service pledge to publicly communicate the standards to clients.  The Client Services Directorate understands that clients need to know what to expect in their dealings with CCRA, how they are doing in meeting those expectations, and what they will do when improvements are needed.  The Client Services Directorate has published two service standards and is developing two more to help improve the quality of service they provide to Canadians.

•	commitment to continually improve the quality and range of service interaction with Canadians in the area of electronic service delivery.  The redesigned 1-800 telephone enquiries system and the introduction of NETFILE over the Internet are two examples of how CCRA is working to ensure improved access to services by businesses, individuals and credit recipients.

•	adoption of a Competency Catalogue that helps CCRA identify, recruit and retain employees that are capable of responding to the needs, concerns and  expectations of clients.   A Competency Catalogue helps to ensure that employees have the knowledge, skills and support needed to work effectively in an environment that promotes and recognizes exemplary performance.

Lessons Learned

Canadians expect to be able to access Services through Multiple Channels
1.	Canadians want choice to the full range of CCRA services and they typically want and expect to receive access to such services through on-line (Internet) or automated (telephone) delivery systems.

Knowing what to Expect is a Factor in Client Satisfaction
2.	Clients appreciate knowing what to expect in their dealings with CCRA, how CCRA is meeting those expectations, and perhaps more importantly, what it will do to ensure that service improvements are made when needed.

Having the Right Skilled Staff can Improve Client Satisfaction
3.	A Competency Catalogue helps to ensure that the right people with the right skills and abilities are placed in the right job.  Having knowledgeable, fair, and courteous staff is an important step in helping to make clients feel more comfortable when attempting to meet their compliance obligations.

Contact

For more information on the services provided by the Client Services Directorate, please contact:

Sue Wormington
Acting Director
Strategic Planning and Development Division
Client Services Directorate
Assessment and Collections Branch
Canada Customs and Revenue Agency
(613) 957-2347

Citizenship and Immigration Canada

Description of Business Line
Citizenship and Immigration Canada approves applications to immigrate to Canada, to visit Canada and to become Canadian Citizens. Much of the initial work to process overseas applicants is performed at Canadian embassies overseas; however, considerable work is done within Canada (Vegreville), processing applications that originate within Canada. Vegreville also processes a portion of the overseas applications.

Citizenship and Immigration Canada has two client groups. It serves those applying to immigrate or visit Canada or to become Canadian Citizens. However, its primary client is really the Canadian Public, which it serves by obtaining the highest quality individuals possible to immigrate to Canada, while ensuring that individuals who are security risks are not admitted into the country.

Service Standards in Use

On its website, Citizenship and Immigration Canada provides service standards for a variety of services, in terms of timeliness of responses. These standards are as follows:
•	80% of student applications will be processed within 4 weeks.
•	Routine family class applications by spouses will be processed within 6 months.
•	Approval in principle for applications for landing in Canada sent to Vegreville will be given within 90 days.
•	Granting of landing through Vegreville will be given within 12 to 18 months
•	Visitor extensions will be processed within 25 days.
•	Citizenship applications will be processed within 8 to 12 months.

These standards were set through an examination of the resources available to provide the required service. Citizenship and Immigration Canada is in the process of updating its tracking systems to be able to report on the degree to which its standards are being achieved.

The department is in the process of implementing a system of providing each applicant to immigrate to Canada with a letter explaining the general aspects of the approval process. In particular, the letter explains the relationship between the timing of the applicant providing information and the timing of the approval process. This letter has been developed in consultation with Citizenship and Immigration Canada staff, newly arrived immigrants, organizations representing immigrants, sponsors, and immigration lawyers.

Exemplary Practices

The Citizenship and Immigration Canada business line has exhibited the following exemplary practice in its approach to developing, implementing, monitoring and using its service standards:
•	The issuing of a letter informing applicants of the immigration process and giving them an idea of how long they will have to wait allows potential immigrants to plan better. It informs them of the importance of the steps that they must take and tells them when they can expect an answer. This knowledge makes the waiting process much more acceptable to immigrants.

Lessons Learned

1.	In the process of reexamining service standards, particularly for services being performed at overseas embassies it was observed that the volume of applications to immigrate to Canada from a given country would often vary considerably from year to year. At the same time, the staff at the embassy had little capacity to increase resources available to process these applications. Under these circumstances, the setting of embassy-specific service standards in undesirable, since it sets targets that may be unachievable in practice.

Contact

Sidney Frank
Pilot Project Manager
Citizenship and Immigration Canada
Centralized Processing Pilot Project
300 Slater Street, 11th Floor
Ottawa, Ontario
K1A 0C8
Telephone: (613) 957-5951

DFAIT Canadian Trade Commissioner Service

The Canadian Trade Commissioner Service (CTCS), as part of the Department of Foreign Affairs and International Trade (DFAIT), works closely with its partners and clients to promote Canadian economic interests abroad by helping Canadian companies meet their international business development objectives.  The CTCS’ partners include business associations, other government departments and provincial and municipal governments, and its clients are export-ready Canadian companies, which have researched and selected their target markets.

Headquartered in Ottawa, with 135 offices abroad at DFAIT posts, the CTCS works with businesses, governments, industry associations and other agencies to help its clients succeed in the global marketplace.  In 1998, the CTCS carried out an extensive series of focus groups with its clients across Canada to gain a clearer understanding of their needs and expectations.  This resulted in the CTCS undertaking a major organizational renewal, known as “New Approach to Serving Canadian Business Abroad”.  Under the “New Approach”, the CTCS provides clients with the following six core services:
•	advice and intelligence on potential for doing business in the foreign market, and on opportunities and barriers
•	identification of foreign contacts with local knowledge who can help its clients refine and implement their international marketing strategies
•	information on foreign organizations or companies in its clients’ target market
•	advice on the preparation and timing of its clients’ business trips, including local customs, business practices and etiquette
•	hold face-to-face briefings with its clients to learn more about their organizations’ objectives, review the latest market and policy trends, provide guidance and discuss their future needs
•	troubleshooting by helping clients to explore solutions to important strategic or urgent market access issues and helping advocate Canadian positions 

The CTCS delivers its services to its clients through several delivery channels: e-mail, in-person, Internet, telephone, trade fairs and, to a much lesser extent, mail.  The CTCS Service Commitment applies equally to all delivery channels.

Service Standards in Use

The CTCS is applying the National Quality Institute’s Framework for Effectiveness as a tool to facilitate the implementation of the New Approach and improve service.  The CTCS is a Gold Member of the NQI, and the Overseas Operations Division, which is a headquarters unit, has achieved the NQI’s Progressive Excellence Program (PEP) Level One certification.  The Division’s mission is to help the CTCS in Canada and abroad deliver the best possible service to its clients by fostering continuous improvement, developing service policies and supporting their application, and promoting the CTCS.
The CTCS initiated the use of annual client satisfaction surveys to determine whether clients were satisfied with the changes being undertaken as part of the New Approach.  The CTCS conducted client surveys in 1999 and 2000 with almost 2,000 randomly selected clients, based on input from each CTCS office abroad that submitted a sufficient list of clients.  Telephone interviews with client partners and companies were carried out by an independent consulting firm under contract to the CTCS (and not as part of an evaluation carried out by the DFAIT evaluation unit) to find out the client satisfaction levels with the six core services and their suggestions for service improvement for each trade office.

As well, employee surveys were carried out to find out about their concerns related to assisting clients and the New Approach.

As a result of the consultations preceding the New Approach, the CTCS developed and published its service standards, within the context of a Service Commitment, in its brochures and on its Internet website http://www.infoexport.gc.ca/ so that both clients and employees will have a clear, shared understanding of the type of service that clients should expect.  The Service Commitment service standards require CTCS to:
•	contact the client within five working days of receiving the inquiry
•	treat all requests confidentially
•	provide the services listed above at all of its trade offices abroad

Although the CTCS has a timeliness service standard, it does not yet have a mechanism in place in the trade posts worldwide to monitor performance against this standard.  At this time, it relies on its client surveys to monitor if clients believe that they are contacted within the five days.

In its efforts to achieve the client-focused New Approach, the CTCS is undertaking a cultural shift, with (a) greater emphasis on a clearer statement of what services are to be offered to clients, (b) clearer service standards, (c) client and employee surveys to obtain their input on what service improvements are required, and (d) detailed performance measures.  In turn, the cultural shift required not only strong leadership from the ADM and the Deputy Minister for International Trade, but also an experienced and credible headquarters supporting team dedicated to facilitating the ongoing transition.  This team, the Post Support Unit, within the Overseas Operations Division, views the CTCS field officers abroad as its clients and is dedicated to helping CTCS clients and staff make the service transition through provision of service policies, guidelines and best practices available to staff worldwide on an Intranet website.

To help achieve the New Approach, the CTCS engaged consultants to prepare a plan or “blueprint”, outlining how the CTCS must sustain and build on the service improvements envisaged by the New Approach.  The blueprint is entitled New Approach@Work, and complements the SII, with its focus on people and eService and information tools, including the development of an electronic Client Relationship Management (CRM) or eCRM system.  The blueprint recommends that skills and competencies and tools be identified and developed so that CTCS managers and staff can be trained appropriately and be better able to implement and sustain the New Approach.
Exemplary Practices

The CTCS has exhibited the following exemplary practices in its approach to developing, implementing, monitoring and using its service standards:

•	commitment to annual client surveys and to sharing the results with interviewees.  Summaries of the results from the 1999 and 2000 surveys were sent to each interviewed client and was posted on the Internet website.  Interviewees were asked if they wanted to discuss anything with an appropriate CTCS manager; and then the manager called them back to discuss the specific issue.

The client survey planned for 2001 will ask questions more specific to the SII, and may adopt the Common Measurements Tool (CMT) approach.

•	responding to client needs and expectations by implementing service improvements based on their priorities for improvement.  The clients’ response to the survey and to the CTCS’ reaction has been very positive.

•	a toll-free 1-888 Client Feedback Line, instituted in 1999 and highlighted in CTCS brochures and its website, to allow clients to voice complaints, compliments and suggestions.  CTCS pays attention to client feedback.

•	encouraging posts to submit any letters or communications that they receive from clients to the Overseas Operations Division so that the Division will have a better handle on client complaints and be better able to identify opportunities for improvement.

•	having CTCS senior management and the Deputy provide specific feedback from client surveys to the CTCS post managers and Heads of Missions.  The 97 posts, which had the sufficient number of clients in the survey, received its individual customized feedback report on the Client Survey 2000 on two separate occasions between January and March 2001.  In January 2001, the Chief Trade Commissioner sent a personal e-mail message to each Trade Program Manager and the post report was attached; the Director General of the Geographic Bureau and the Director, Overseas Operations Division were copied on the message.  Posts that did not participate in the Client Survey 2000 received a message that their participation is expected in the next survey.

Following this, the Deputy Minister for International Trade sent a personalized and hand signed letter to each Head of Mission referring to the post’s performance in the client survey.  Along with this letter, the relevant section of the EX PMP (Performance Measurement Program) was attached (making it clear that the Head’s performance assessment will be based on part on the post’s participation in and response to regular client and employee surveys), as well as a copy of the post report and the overall report.

•	annual employee surveys (1998 and 2000) of all CTCS employees worldwide to find out about their concerns related to assisting the clients, e.g., workload, communication, training and tools, their level of satisfaction, their suggestions for service improvement, and their perceptions of client needs and expectations.  The surveys were carried out by an independent consulting firm.

•	working to increase client and employee satisfaction in tandem.  CTCS management recognizes that satisfied employees are essential to achieving satisfied clients, but acknowledging that satisfied employees are not sufficient.

•	commitment of CTCS senior management to responding to results from employee survey.  CTCS senior management developed an action plan of 37 commitments in response to the 1998 employee survey, and in 2000 took stock with employees by reporting that DFAIT had made a positive effort on two-thirds of the identified commitments.  Some of the improvements include more focused training, additional staff and over-time pay.

•	strong support from the Deputy Minister for International Trade.  The Deputy wrote to the Clerk of the Privy Council in February 2001 to inform him of the progress and success of the CTCS innovative initiative in citizen-centred service delivery, i.e., the New Approach for improving assistance to Canadian exporters.  In the letter, the Deputy talked about the CTCS dealing with clear service standards, client surveys and performance measurement.  The Deputy acknowledged that strong leadership and an experienced and credible supporting team, along with extensive consultation and communication, are crucial to facilitate the transition from the old culture to the New Approach and to achieve buy-in.  The letter brought a positive response from the Clerk.

As mentioned above, the Deputy sent a personalized and hand signed letter to each Head of Mission referring to the post’s performance on the Client Survey 2000.

•	establishing an appropriately resourced Post Support Unit dedicated to helping staff and clients make the service transition through provision of service policies, guidelines and best practices available to staff worldwide on an Intranet website.

•	to better serve clients and to monitor performance against service standards, CTCS will be improving its electronic service delivery by developing an eCRM system for implementation in 2003-04 at all trade posts worldwide.  An eCRM system, as outlined in the blueprint New Approach@Work, will support contact management with clients and allow tracking and co-ordination of activities, time spent and interactions with clients across the full client management cycle and service delivery process.  The eCRM will facilitate monitoring of performance against service standards, especially timeliness.  As well, the eCRM will allow for client surveys to be carried out on-line.

•	learning from the “best”.  CTCS spent some time visiting a number of companies, especially American Express, to learn from other organizations that are recognized as being in the “best” category.

•	current testing of the internationally recognized NQI’s Framework for Effectiveness as a transition facilitation tool.  The CTCS adopted the NQI Framework to replace its in-house Performance Management Initiative (PMI).

Lessons Learned

Need for a Plan
1.	Developing a five year strategic plan or blueprint to guide the implementation of service improvements, such as the New Approach@Work, allows clients and all levels of staff to “connect the dots” and buy into a common vision and a comprehensive and coordinated approach.  This approach creates expectations, but also consolidates commitment.

Need to Gain Credibility with Clients
2.	Encouraging feedback and more specifically information on expectations and priorities from clients through the surveys and feedback hotline, and then informing them of how their input has influenced CTCS’ decisions and actions increases CTCS’ credibility with its clients. 

Need to Earn Commitment and Credibility of Staff
3.	Providing customized feedback to specific groups of staff, especially from the Deputy and other committed senior managers, heightens staff accountability and commitment to service improvement.

4.	Recognizing the link between employee satisfaction and client satisfaction, and taking action to improve employee satisfaction enhances credibility and commitment of staff to service improvement.  The CTCS clearly recognizes that people provide services.  Since the CTCS’ services require a combination of knowledge, commitment and problem-solving, high service quality requires a staff that is well trained and highly motivated.  The CTCS has moved to address this need by instituting a variety of activities that serve to maintain high morale and to make the best use of the available human capital.

5.	Seeing an active demonstration of commitment by CTCS senior management and especially the Deputy to collecting and using both client and staff information gives the overall service improvement initiative greater credibility.  Furthermore, having a headquarters unit, headed by a Director, dedicated to planning, promoting and coordinating service improvement for front-line service delivery organizations and staff and supporting the staff in the trade posts facilitated the acceptance and implementation. 

Using Technology well can Help
6.	Harnessing technology to monitor performance against service standards and to provide better information on performance and service improvements.  This is to be achieved by implementing the eCRM system in 2003-04.

Learn from Others
7.	Learning from the “best” in the private sector and elsewhere (in this case from American Express) was very useful in helping CTCS decide on what it wants to achieve and how to do it.

8.	Using an established and credible management framework (in this case the NQI framework) and working to achieve certification and recognition from an independent body further enhances the credibility of the overall service improvement initiative among clients and staff.  Such a management framework also provides a recognized and clearer road map for achieving the desired improvements that was relatively easy to adapt, and allows the organization to expend its resources on achieving the service improvements rather than on developing a road map.

Focus on Drivers of Client Satisfaction
9.	Recognizing that client satisfaction is driven by more than just timeliness, in its surveys CTCS also focuses on knowledge, competence and the ability of trade officers to go the ‘extra mile’.  The fact that these ‘drivers’ are difficult to measure has not reduced CTCS’ commitment to them. 

Contact

For more information on the services provided by the CTCS, please contact:

Peter MacArthur
Director, Overseas Operations Division
Trade Commissioner Service Overseas Programs and Services
International Business and Chief Trade Commissioner
Department of Foreign Affairs and International Trade
613-996-2964

Claire Newell 
Trade Commissioner
Overseas Operations Division
Trade Commissioner Service Overseas Programs and Services
International Business and Chief Trade Commissioner
Department of Foreign Affairs and International Trade 
613-944-0493

HRDC Employment Insurance Services

Human Resources Development Canada (HRDC) delivers temporary income support to Canadians who are looking for employment, on parental leave, or unable to work for health reasons, through the Employment Insurance Income Benefits (EIIB) program.

The EIIB is one of the most highly visible programs in the federal government and belongs to one of the largest public service delivery networks.  About 8,000 employees, primarily at the local level in 320 Human Resources Centres Canada (HRCCs) across Canada help deliver EIIB.  The activities involve approximately 40 million enquiries concerning claims and activities, 2.5 million applications for benefits, and 20 million EI payments, nearly a third of which are made through direct deposit.

Clients receive information about the program in-person at the HRCCs, by phone (11 call centers), mail (10 mail centers), electronic mail (pilot project in the Montreal area), from kiosks (5,000 spread out across the country), and the Internet.  Approximately 60% of the claims and applications are made through kiosks.  The remaining claims for income support are dropped off by the claimant at a local office or sent by mail.  In certain local centres, claims are received on the telephone.

In terms of service improvement for Canadians, the EIIB focuses on meeting its "operational responsibilities under the Employment Insurance Act and other legislation and programs through quality service and the efficient use of resources, which responds to the variable workload of the program".

Service Standards in Use

To continuously improve the quality of service and its operations, the Employment Insurance (EI) Branch, which administers the program, produced in April 2001, the Insurance Quality Management Policy.  This policy outlines specific objectives, a definition of quality, responsibilities at the national, regional, and local level, and various implementation practices such as feedback to staff, training, recognition, management plans, monitoring and reporting.  According to the policy, quality refers to timeliness, accuracy, clarity of communication, fairness, and client satisfaction.  The policy states that "to obtain the highest level of client satisfaction, services must be delivered in a manner that ensures all aspects of our service standards are met".

HRDC also developed a national commitment template to be posted and adapted at the local level.  The template, entitled  "Our Service Commitment" presents the following standards on courtesy, accuracy of information, waiting times, and receipt of payments within 28 days for EIIB:
•	You are entitled to courteous and considerate treatment and complete and accurate information about your entitlements and obligations
•	We aim to keep the waiting time to meet a client service officer to a minimum.  Waiting times will be posted in our offices.
•	You are entitled, if you qualify, to receive your first payment within:
-	28 days for Employment Benefits and Measures;
-	28 days for Employment Insurance benefits; and

The Service Commitment template allows HRCCs to specify other standards tailored to the needs and priorities of their clients.

The EI Branch completed an independent quality service survey of clients in April 2001, with plans to conduct further client satisfaction telephone surveys on a bi-annual basis.  The survey was adapted from the Common Measurements Tool model and dealt with a series of questions such as whether clients were satisfied with the quality of service received, and had suggestions for improvement.  Core questions focus on the two main channels of service (in-person, telephone) and the service commitments such as speed of service, competence courtesy, fairness, and ease of access.  More than 3,000 clients responded to the survey.  The results of the survey are intended to be used as a baseline for improving service to Canadians and will represent the main consultation instrument for revising the Insurance Quality Management Policy and the Service Commitment template.

The EI Branch is also making progress in measuring the extent to which commitments are met such as the speed of service and error rates in payments.  The Branch provides results from its national sampling of accuracy of benefit payments annually in the Departmental Performance Report.  It monitors the implementation of the Quality Management Policy and produces, each quarter for senior management, a national report of related activities (e.g., regional management action plans, training).  The national report is available on the HRDC Intranet site.  It has also begun producing a quarterly report focusing on results and trends related to incorrect payments, which are drawn from its comprehensive tracking system.  Errors may stem from HRDC, the claimant or the employer.

The EI Branch has used quality service to Canadians as an outcome to demonstrate progress towards obtaining key results for its program, such as providing the highest quality of service for Canadians.  As well, the EIB supports the National Quality Institute (NQI) Framework as a pilot initiative.  The Branch undertook the NQI quality fitness test in three regions.  In addition, four local HRCCs received ISO 9001 certification, and another office has plans to obtain certification for service quality.

As part of its accountability framework, the EI Branch has adopted a balanced scorecard approach (i.e., Dashboard) as a way to balance capacity and expectations in measuring and reporting performance.

Exemplary Practices

The EIIB business line has exhibited the following exemplary practices in its approach to developing, implementing, monitoring and using its service standards:

•	A first survey to establish a baseline of client satisfaction and identify client needs.  In spring 2001, the EIB commissioned a national public opinion research firm to conduct a survey, in conjunction with HRDC’s Income Security Program. The purpose of the survey was to explore issues related to the quality of the service and obtain statistically valid results on client satisfaction so that it would have a basis for comparison in future years. 

•	A Quality Management Policy based on a continuous improvement approach. The Insurance Quality Management Policy provides strategic national direction and allows flexibility at the local and regional level.  It contains provisions to amend the policy on an annual basis.  As a management framework, the policy is clear and comprehensive on the specific responsibilities at the national, local, and regional level to achieve the objectives.

•	Posting service commitments for clients to see.  In its mission statement, the EIB has prominently featured its commitment to quality service.  The statement is displayed widely and clearly across HRDC.  In addition, HRDC ensures that the national Service Commitment, including speed of service standards, is posted in all applicable HRCCs and on the departmental website.  Not only does this help clients understand and become aware of the level of service to expect, but it also reminds employees of the service requirements to their clients and helps them manage client expectations.

•	Learning from others.  Managers in the EI Branch regularly exchange techniques, methods and tools with other governments, particularly employment insurance departments in the United States.  A group of about 40 employees have been directly involved in the activities related to the NQI.  The EI Branch has recently tasked one person to coordinate NQI-related activities. 

•	Providing as much assistance and information as possible to clients at their first point of contact.  HRCCs play an increasingly important role in delivering quality service to clients.  A key initiative is the Service Delivery Network, which was designed shortly after the Employment Insurance Act was adopted in 1996.  The Network consolidated services across HRCCs, removed layers of management, created partnerships outside HRDC, and made greater use of new technology such as upgraded telephone services and kiosk.

•	Making senior management more accountable.  A specific reduction target in incorrect payments to clients or error rates has been directly tied to the performance pay of senior managers.  Such an improvement target serves as an incentive to achieve desired operational results, meet commitments to clients, and contribute to the satisfaction of its clients.

•	Cross-channel management of expectations.  The EIIB ensures that its services (e.g., handling enquiries, receiving claims, issuing payments) are accessible through a variety of channels; however, staff are trained to inform clients that in some instances certain channels, such as electronic direct payments instead of mail or telephone rather than in-person services for enquiries, may be more suitable to their immediate needs.

•	Communicating widely and clearly to clients the EIIB vision on quality service and its Service Commitment statement helps employees understand performance requirements and manage client expectations.  Communicating departmental and client responsibilities, and performance against standards, such as error rates, also helps staff manage client expectations.

Lessons Learned

Surveying Clients helps Ensure that Client Expectations can be Managed andMet
1.	Surveying clients periodically helps the service provider respond to client expectations and priorities for improvement and to assess the usefulness of the service standards.  The results of the survey, once analyzed, will be used to correct implementation issues.  In the future, the EIIB will rely on the survey instrument as the main mechanism to consult clients and identify needs and priorities regarding the quality of its service.

A Recognized Framework can Improve Management
2.	A proper balance between quality and productivity can be achieved by putting in place a realistic and practical framework for effective management of high-quality service delivery.  Such a framework helps obtain commitment for sufficient resources to implement a quality service, achieve results, and measure and report performance against service standards.

Importance of Learning and Sharing
3.	Experience and knowledge from other organizations delivering similar services and from recognized quality institutions help find solutions to management challenges and contribute to service improvement. 

Restructuring can Help Make the Organization more Client-focused
4.	Reorganizing the delivery structure to give frontline staff in the HRCCs greater autonomy and authority in dealing with client needs changes the culture of the organization into a more client-focused one.  Offering clients a choice of service delivery channel for receiving their entitlement is consistent with a more client-focused organization.

Contact

For more information on quality management for the Employment Insurance Income Benefits program, please contact:

Georges Perron
Director
Insurance Quality Services
Employment Insurance Branch
Human Resources Development Canada
140 Promenade du Portage
Phase IV, 9th floor
Hull, Québec, K1A 0J9
(819) 994-3184
georges.perron@hrdc-drhc.gc.ca

Industry Canada Competition Bureau (Mergers)

The Competition Bureau’s fundamental goal is to serve the Canadian Public by ensuring that the proper amount of competition is maintained in various sectors of the Canadian economy. In fulfilling its mandate the Bureau provides Advance Ruling Certificates to businesses on the acceptability of proposed mergers. It also approves mergers after receipt of notification from the business that such a merger is about to take place. It charges $25,000 each time it provides either of these services.

Its main client group (other than the Canadian Public at large) is Canadian Businesses who wish to have proposed mergers approved. In the fiscal year 2000-2001 the Competition Bureau dealt with 349 transactions (applications for Advance Ruling Certificates and merger approval). Of these, 282 (81%) were non-complex,  53 (15%) were complex, and 14 (4%) were very complex.

It provides services in person, by phone, Fax, mail, and e-mail.

Service Standards in Use

When, in November 1997, the Minister of Industry approved fees for Competition Bureau regulatory process, these fees were accompanied by service standards. These standards had been produced from a review of historical data on processing times and were revised after consultation with various external stakeholders. For merger review (Advance Ruling Certificates and merger approvals), the standards were as follows.

	Complexity			Maximum Turnaround Times

	Non-Complex			14 days

	Complex			10 weeks

	Very complex			5 months

These standards are published widely. They are on the departmental website, and in the Fee and Service Standards Website.

The Competition Bureau has a time reporting and tracking system, which it uses to compile statistics on turnaround times. These statistics are published in annual Merger Review Performance Reports.

In addition to direct statistical data, the Competition Bureau distributes feedback leaflets to clients who have used the services, asking if the service was performed within specified times and asking clients to evaluate the quality of service (Excellent, Good, Fair, or Poor)
Every two years (1999 and 2001) the Bureau meets with representatives of its clients, reports on how it is achieving its service standards and receives feedback from its clients.

Feedback from these consultations is used to re-examine the service and service standards. In particular, work is ongoing to revise the process used to initially classify reviews as non-complex, complex or very complex.

Exemplary Practices

The Competition Bureau had detailed consultations with its clients about the setting of standards. It provided the clients with historical statistical information and made changes to the standards in response to client suggestions.

The Bureau publishes more than just the percentage of reviews that are performed within the standard. It supplies (graphical) information on the distribution of the times actually taken. This is very valuable, because it identifies cases where the standard is significantly exceed and where the actual completion time is very short.

The Bureau collects information both on the actual service provided and on the clients’ perceptions of the service. This avoids the situation where the organization believes the situation is acceptable because standards are being achieved, while clients are actually unhappy because their needs and expectations are not being met.

The periodic meetings with client representatives allows for proper feedback.

Lessons Learned

While clients have been quite satisfied with the present service standards and degree to which they have been satisfied. It was discovered that the process of initially categorizing reviews by complexity was not always accurate. This meant that sometimes, a review would have to be re-classified into a higher complexity level. This caused problems with the clients, not so much because the revised time was unacceptable, but because plans had already been made on the basis of the shorter review time and had to be revised. The Bureau is currently in the process of revising its classification process. It has been learned that increasing the time and effort in classification procedures to ensure that re-classifications are less frequent actually improves satisfaction.

Contact

Lise Davey
Manager, Client Services
Industry Canada
Competition Bureau Client Services
50 Victoria Street
Hull, Quebec
K1A OC9
Telephone: (819) 953-9069

National Library Of Canada

Since 1953 when it was established, the National Library of Canada has built a collection of more than 18 million items. The collection is primarily Canadian publications in all publishing formats including print, audio-visual and electronic.  The National Library was created to acquire, preserve and promote the published heritage of Canada and, most importantly, to make it accessible to all Canadians.  As a result, the Library now holds the largest collection of Canadiana to be found anywhere. It has several unique collections rare books, literary and music archives, children's literature, audio recordings, as well as excellent collections of Canadian government publications and newspapers, and a large reference collection oriented to Canadian studies.

The objective of the National Library of Canada program is to enable Canadians to
know their country and themselves through their published heritage, and to provide an
effective gateway to national and international sources of information.  The principal responsibilities of the program are:
•	to collect, preserve and provide equitable access to Canada’s published heritage
•	to support the development of Canada’s knowledge infrastructure
•	to coordinate the management of published information resources in the federal government.

The National Library provides a number of services, broadly speaking based along business lines.  These include:
•	access to an on-line database (AMICUS) containing over 21 million bibliographic records representing items in the National Library’s collection, the national bibliography (Canadiana) and holdings in more than 500 other libraries across Canada, as well as Library of Congress and CONSER records;
•	in-depth reference, research and referral services centred on the Library’s Canadiana collections.  This service is intended to provide users with clear, accurate responses to inquiries that may be placed in person, by telephone, fax, mail or via the Internet;
•	making available material in the Library’s collections for consultation onsite by registered users, including the provision of photocopying services to onsite users (for a fee); and 
•	interlibrary loan and location services to libraries across Canada and around the world.  Requests for items that are not held in the National Library’s collections are responded to by giving locations of other libraries that hold the item.

The use of on-line services by National Library clients has increased dramatically over the last few years.

Service Standards in Use

The National Library of Canada is dedicated to building a world-class national resource to support the study, understanding and continued vitality of Canada's cultural heritage, and to facilitating access for Canadians to national and worldwide networks of information resources.  The Library has published a Service Pledge on its website in which it declares its commitment to respond to its clinets’ information needs in a professional manner, clearly and accurately.  The Pledge goes on to commit the Library to treat all users equitably and courteously, with respect for individual rights, privacy, and safety.  Finally, it commits to offering its services in the official language of the client’s choice.

In developing its service standards, the National Library has consulted with clients through surveys and focus groups as well as through a listserv consultation.  In 2000-01, the Research Support business line conducted a client satisfaction survey based on the Common Measurements Tool.  Client reaction was rather positive.  As well, on-site and on-line users of the National Library are invited to complete comment forms.  Generally, very fewper year provide any negative comments.

Library staff were consulted in focus groups to develop and review the draft service standards and to ensure that they understand the level of service to which the Library was committing itself and that clients expect.  As a result of recent consultations with clients, the Library has made some adjustments to its service standards.  The client surveys have also addressed the question of client satisfaction.

The National Library’s service standards are posted on its website and results are included in its Departmental Performance Report.

The National Library’s service standards and results as indicated in its 2000-2001 Departmental Performance Report are presented below:

Service	Service Standard	Target	2000-2001 Results	
Canadiana, National Bibliography	Records for publications covered by the Canadian Cataloguing in Publication (CIP) program and for federal government publications available to libraries participating in the federal government’s Depository Services Program (DSP) will be added to the Library’s database within 10 days of receipt of the publication by the National Library.
	100%	90%	
	Records for at least half of all other current publications listed in Canadiana will be added to the database within three months of receipt of the publication.
	50%	77%	
Research Support	Requests for simple, factual reference information will be answered within
two business days.
	100%	99%	
	Information requests requiring extended analysis and research will be
answered within five to ten business days.
	100%	97%	
	The Library will deliver requested materials to clients:
•	within one hour of receipt of the request, for materials located in the main building;
•	within 24 hours, for materials stored in off-site locations;
•	on the same day, for requests for photocopies of collection material.
	100%	100%	
Database Services	The Library’s national bibliographic database service, AMICUS, will be available 98% of the time during scheduled service hours
	98%	98.8%
	
	Downtime over a one-year period will not exceed 3,600 minutes
	3,600	6,167	
	There will be no period of continuous downtime lasting longer than 24 hours (= 1,440 minutes)
	1,440	1,559
	
Resource Sharing	Responses to Basic interlibrary loan (ILL) search requests will be provided within two to four business days of receipt of the request
	100%	75%	
	Responses to In-Depth ILL search request will be provided within ten business days of receipt of the request.
	100%	92%	

Exemplary Practices Exhibited by the National Library of Canada

The National Library of Canada has exhibited the following exemplary practices in its approach to developing, implementing, monitoring and using its service standards:

•	commitment to consulting with clients to identify their level of satisfaction, expectations and priorities for improvement.  There was and is an active commitment from National Library senior management to consult with clients and to ensure that their expectations are being addressed.  In part, this commitment is exhibited by the encouragement for client feedback through the availability of comment forms for all on-site and on-line users.

•	consultation with employees about service standards.  National Library staff are consulted before changes to service standards are implemented.  This ensures that they understand the reasons for changing the level of service to clients and will be better able to manage client expectations.

Lessons Learned

Need to Earn Commitment and Credibility of Staff
1.	Consulting with employees prior to changing or adjusting service standards has allowed them to better understand and prepare for these changes.

Contact

For more information on the services provided by the National Library of Canada , please contact:

Paul McCormick
Director General
Strategic Policy and Planning
613-996-2892
paul.mccormick@nlc-bnc.ca

NRCan Earth Sciences Sector

The Earth Sciences Sector (ESS) was created as part of the 1995 reorganization of Natural Resources Canada and combines the former sectors of Geomatic Canada and the Geological Survey of Canada, along with the Polar Continental Shelf Project into a single administrative unit.  ESS provides a national focus for the acquisition, interpretation, maintenance and distribution of maps, information, technology, standards and expertise concerning the Canadian landmass and offshore in the fields of geoscience, geodesy, mapping, surveying, and remote sensing.

The mission of ESS is to provide innovative, timely and reliable geomatics and  geoscience knowledge, advice, products and services to meet client needs.  To this end, ESS provides a comprehensive geoscience and geomatics knowledge base to support public sector activities in Canada and investment decisions and operations by the Canadian private sector at home and overseas.  It extends logistics support to Arctic science through the Polar Continental Shelf Project.  The outputs of Geomatics Canada include geographical information, topographic maps and aeronautical charts, legal surveys of Canada Lands, data concerning the international boundaries between Canada and the United States, France (St. Pierre and Miquelon) and Denmark (Greenland), geodesy for precise positioning, and applications of remotely-sensed Earth observation data.  The Geological Survey of Canada provides the geoscience framework for mineral and petroleum exploration across the landmass and offshore, knowledge for environmental assessment and land use planning, and helps Canadians mitigate the impact of hazards, such as earthquakes and toxic substances in the environment, and adapt to the impacts of climate change.

More specifically, key activities carried out within ESS include:
•	developing and maintaining national databases incorporating geoscience and geomatics information from disciplines such as surveying, mapping, remote sensing, geology, geodesy, geophysics, and geochemistry;
•	conducting research and developing technology in areas such as the long-term management and sustainable development of energy and mineral resources, mineral exploration concepts, mineralogy, gravity, analytical chemistry, data acquisition, digital mapping, remote sensing and geographic information systems; 
•	producing and distributing digital and paper-based products such as topographic and thematic maps, geological and geophysical maps, cadastral plans and maps, geodetic data, aeronautical charts, aerial photographs and satellite imagery, as well as other publications related to the fields of geomatics and geoscience;
•	conducting geodetic, legal, geological and geophysical surveys at the regional, national and international levels;
•	providing logistics support for scientific research in the High Arctic;
•	conducting research and providing information on both the origin of and potential for hydrocarbon and mineral resources in Canada;
•	regulating and maintaining the International Boundary between Canada and the United States;
•	providing information on natural geological hazards in Canada such as earthquakes, landslides, etc.;
•	providing support to Canadian companies in the fields of geomatics and geoscience, both in Canada and abroad;
•	contributing to national and international initiatives in related areas such as standards;
•	providing land survey services to First Nations; and
•	providing geoscience and geomatics library information services.

ESS delivers its services to its clients through several delivery channels: e-mail, in-person, Internet, telephone, trade fairs and mail.  The CTCS Service Commitment applies equally to all delivery channels.

Service Standards in Use

ESS is committed to delivering quality services that are prompt, dependable and cost effective.  These services are regularly reviewed and improved upon, incorporating feedback obtained from clients.  Although the complexity as well as the nature of services provided by the various Branches/Divisions within ESS may vary, all clients receive the same basic standards of service.

ESS strives to ensure quality by following, where possible, processes based on national or internationally recognized standards, e.g., 4-5 units are already ISO 9000 registered with most units to be so over the next few years.  There is also a commitment that key service activities are be managed in a way that ensures accountability and evaluation by monitoring and regularly reviewing key service objectives and associated performance.  As well, ESS frequently assesses clients' needs and adapts, where possible, services and accountability standards to meet those needs.

All key services provided to external clients by ESS have specific service standards, which were initially developed in 1996-97.  In addition, for all general inquiries, staff pledge to abide by the following code of conduct when dealing with customers:
•	answer inquiries promptly
•	identify themselves in all correspondence – whether verbal, written or electronic
•	serve them in a friendly, courteous and professional manner in either official language.

ESS aims to provide quality service that meets or exceeds its customers' requirements.  As part of its continuous improvement process, client feedback on quality of service is extremely important to ESS.  Hence, regardless of the service provided, ESS provides clients with a feedback mechanism (e.g., in the form of a contact person, comment card) in order for the client to forward comments.

In terms of complaints regarding service provided by ESS, if after communicating with the responsible project manager the specific concern has not been addressed to the client’s satisfaction, the client is encouraged to contact the Director General/Director of the appropriate Branch or Division or to the Executive Director of Business Development.  ESS attempts to respond to complaints within two weeks of its receipt.

ESS has identified about 30 service standards on its website, most of which relate to accessing a service or to turnaround or response time in providing the service.

In the Fall of 1998, at the request of the ADM of ESS, NRCan’s Audit and Evaluation Branch undertook an audit of about 20 specific ESS’ service standards.  The primary objectives of this audit were to review and assess whether ESS is meeting established service standards and using performance information to improve its services.  In addition, where performance is being measured, the audit team:
•	reviewed how measurement information is being used;
•	assessed whether the organization is meeting the service standard; and
•	reviewed how the organization reports its performance.

The audit found that, although systematic measurement of service standards in some areas needs improvement, the commitment of individuals responsible for providing the service standards was without question.  Service providers were aware of and committed to the need to provide timely, effective and quality service to all clients.  In some instances, measurement strategies could be improved with the implementation of more sophisticated electronic tracking equipment, database management resources or project management systems.  ESS has responded favourably to the findings and has acted upon most of the recommendations.

Around the time of the audit, ESS was updating its Client Satisfaction Measurement (CSM) activity to ensure a consistent understanding within ESS of what is meant by CSM and a more systematic orientation for CSM activity.  The CSM activities, including surveys and focus groups, are intended to not only measure and report on how satisfied clients are with a particular product or service, but also to seek to identify the gaps between levels of satisfaction and client expectations and priorities.  In addition, since client interests are likely to change over time, they are to be continually monitored to ensure that appropriate levels of satisfaction and approval are maintained.  The intent is to use the CSM activity to assess the appropriateness of the service standards.

Exemplary Practices

ESS has exhibited the following exemplary practices in its approach to developing, implementing, monitoring and using its service standards:

•	commitment of ESS senior management to the development and use of service standards.  The ADM of ESS had been a strong and committed proponent of service standards and of integrating them into the management of the Sector.  As well, it was the ADM who requested the audit of service standards.

•	strong Sector coordination in development and use of service standards.  One of the Business Development Office’s responsibilities is ensuring consistency of service standards across operating divisions and delivery channels, especially with respect to waiting times.  A number of ESS divisions share the same clients and the intent is for all clients to be treated the same by the different divisions.

•	consultation with clients to identify opportunities for improvement.  Regular client consultations on client satisfaction through surveys, focus groups and complaint forms have enabled ESS staff to better understand client needs and expectations and to bring about changes in the program.  The intent is to use these consultation opportunities to assess the appropriateness of the service standards and to link them to client expectations.

•	extensive consultation with employees, through surveys on the Internet and focus groups, enables management to find out what is important to employees and their concerns with respect to satisfying the needs and expectations of clients.  Because employees are interacting with clients on a regular basis, certain elements of the employees’ information reflects what clients are saying and writing to them.  ESS management recognizes that employee satisfaction can only really be increased if it is increased in tandem with client satisfaction.

•	carrying out the 1998 audit of service standards allowed an independent third party to review and assess whether ESS was meeting its established service standards and using performance information to improve its services.

Lessons Learned

Need to Gain Credibility with Clients
1.	Encouraging feedback and more specifically information on expectations and priorities from clients through surveys, consultations and comment cards, and then informing them of how their input has influenced ESS’ decisions and actions increases ESS’ credibility with its clients.

Need to Earn Commitment and Credibility of Staff
2.	Recognizing the link between employee satisfaction and client satisfaction, and taking action to improve employee satisfaction enhances credibility and commitment of staff to service improvement.  ESS clearly recognizes that people provide services and that high service quality requires a staff that is well trained and highly motivated.

Contact

For more information on the services provided by the ESS, please contact:

Patrick Lloyd
Business Policy Analyst
Business Development Office	
Earth Sciences Sector
Natural Resources Canada 

Tel  613-996-9559
Fax  613-995-8737
Internet  pat.lloyd@geocan.nrcan.gc.ca

Royal Canadian Mounted Police – Forensic Laboratory Services

Forensic Laboratory Services falls under the auspices of the National Police Services and Technical Infrastructure (NPS & TI) business line of the Royal Canadian Mounted Police.  The NPS & TI business line is responsible for efficient, effective, and responsible support services to the law enforcement community.  NPS & TI consists of six service lines; Forensic Laboratory Services, Information and Identification Services, Canadian Police College, Criminal Intelligence Service Canada, Office of the Chief Information Officer, and Technical Operations.

This case study focuses specifically on Forensic Laboratory Services (FLS).  FLS provides scientific and technical assistance to the criminal justice system through examination and analysis of criminal evidence provided by Canadian police forces as well as various federal and provincial agencies.  The FLS also provides expert witnesses to testify in criminal proceedings.  FLS specializes in Biology, Chemistry, Documents, Counterfeits, firearms, and Toxicology Services (Toxicology and Alcohol).  The FLS maintains six offices across Canada, they are located in Halifax, Ottawa, Winnipeg, Regina, Edmonton, and Vancouver.  The FLS is also responsible for the national DNA Data Bank, operational since June 2000.

In there 2000/2001 performance report the FLS noted over 15 000 requests for examination resulting in 10 231 forensic cases.  The FLS analyzed 2581 biology (DNA) cases.  The FLS also received 3200 subpoenas resulting in over 1000 court appearances.

The FLS uses many forms of communication.  The most prominent is mail services, due to the sensitive nature of the materials the FLS still requires original signatures on much of its documentation.  The phone is often used as a means to update and receive information for on-going investigations.  In person appearances are far less frequent, these are generally the result of subpoenas for expert testimony in court proceedings.  Email is used on occasion for interim reports and simple exchanges of information.  More recently videophones have been introduced as a substitute for expert testimony, however this method has raised many concerns and so has not yet gained wide acceptance.

Service Standards in Use

Forensic Laboratory Services is in a somewhat unique environment with respect to the Public Service.  They act as a support system to enforcement agencies in provincial and federal departments.  They have chosen a set of service standards based on priority as opposed to specific services.  In this case the same service will have different time dependent service standards based on the priority of the request.  This system had been derived based on assessment of need versus the capabilities of the FLS.  The system included four levels of Priority (Priority 1 – 4).  Priority 1 includes situations that are life threatening, and determining if a crime has been committed, Priority 4 is reserved for cases where prosecution is not anticipated.  Response times for Priorities range from 1-15 days for Priority 1, to 1-90 days for Priority 4.

However, the FLS is in the midst of revamping their service standards in order to be more responsive to the needs of their client base.  They have just completed a series of consultations with various enforcement agents across the country.  Through this consultation it was determined that a two priority system would be as effective but more efficient.  This system would define Urgent versus Routine procedures.  It was also determined that Urgent request should be completed with 5 days, where as Routine request could be completed within 30 days (one exception was a group representing a large number of police officers who felt that 5 days was acceptable for Routine requests as well).  A further recommendation of the consulting team was to include in the standard request form a statement indicating that the client and forensic representative work together to determine a timeframe expectable to both parties.

Table 1.  Service standards; Old versus proposed.

Old System	New System	
Priority	Description	Time	Priority	Description	Time	
1	•	Life Threatening Situation
•	Investigational situation where the results will lead to a suspect or suspect vehicle
•	Determine whether a crime has been committed	1 – 15 days	Urgent	To be determined through consultation with FLS representative and investigator.	Within 5 days	
2	•	Eliminate/identify a suspect or vehicle
•	Ongoing criminal investigations
•	Cases where the value of the evidence is reducing with time
•	Cases where a court date has been set	1 – 30 days	Routine	To be determined through consultation with FLS representative and investigator.	With in 30 days	
3	•	Prosecution is anticipated	1 – 60 days				
4	•	No prosecution is anticipated	1 – 90 days				

*these standards where determined through consultations and are now under review.
 Integrity of evidence, Immediate threat to national security, Immediate or on-going threat to community security, and Court order, where listed in that order as possible items for inclusion in the Urgent Category.

The final recommendation of the consulting team deals with prioritization of different aspects of the same case.  This recommendation is based on the client input acknowledging the importance of setting attainable service standards.  This recommendation brings to light precedence within the same case since some aspects of the case may be more pressing than others.  It is recommended that the Information Technology Team work on system to accommodate multiple priorities within one case number.

Exemplary Practices

Forensic Laboratory Services has exhibited a number of exemplary practices in implementing its client-centred initiative and in its approach to developing, implementing, monitoring and using its service standards:

•	Use of consultation to restructure Service Standards.  The original set of service standards were determined through experiences of the FLS.  This original set of standards is now being re-examined in order to implement a system more responsive to the needs of the client base.  To this end a series of consultations have taken place across the country to determine a system more in tune with the needs of clients.

•	Use of the Quality Service Questionnaire to get feedback from clients who have dealt with the FLS.  The questionnaire first as respondents for information on the service provided with details for how efficient and helpful the service was.  The questionnaire then inquires as to the timeliness, accessibility, whether or not updates were forthcoming, courteousness, and if the service was provided in the preferred official language.  The questionnaire also includes a section for any additional comments as to how service may be improved.

•	Compiling data from the Quality Service Questionnaire.  Thought the questionnaire has been in place for 7 or 8 years, the data has been used more on a case by case basis.  Within the past two years, data has been compiled in a database and statistical analysis has been done to establish baseline levels and trends in client satisfaction.

•	Use of ISO 17025.  Since 1999, the FLS has been working to accredit each of its six locations using the ISO 17025 system.  One location has been accredited to date the remaining five have gone through the audit system and are waiting for the results.  

•	Focus on International forums as a means of sharing information and to establish co-operative liaisons.  With implications of changing crime environment it has become necessary to pool resources within the country and around the globe.  FLS is in contact with many international agencies in order to maintain an acceptable level of techniques and technology.  The FLS has strong ties to both United Kingdom and to the United States enforcement branches.

Key Lessons Learned

Through their client-centred commitment, Forensic Laboratory Services has determined some main ideas that may be shared with other departments when implementing their own client-centred approach: 
Need for client consultation
1.	Client consultations help to bring efficiency to a system.  Consultations with clients have led to a number of efficacious restructuring within the FLA system.  Clients expressed a strong need for DNA based information.  This has led to re-allocation of resources to DNA analysis and to the DNA databank.  Client consultations have also led to the proposed restructuring of the Priorities system from four to two priorities as well as to the idea of prioritizing within an individual case.

The benefits of employee buy-in
2.	Employee involvement in accreditation helps to increase employee satisfaction and work place efficiency.  FLS found that in preparing employees for accreditation using the ISO standards, employees were forced to examine the processes they had in place.  By giving the employees the opportunity to input as to better, more efficient processes, the employees felt assumed ownership over their methodologies.  This sense of ownership has increased employee satisfaction while also increasing efficiency of the processes.

Need to learn from other jurisdictions
3.	Examining other jurisdictions may help to measure and improve client satisfaction.  For a number of years FLS has had an assessment tool in place to evaluate their courtroom appearances.  However, most of the court officers and council have not completed the forms.  Recently, with the Jean Guy Morin case, it has come to there attention that a letter is sent to people involved in provincial cases.  FLS is now adopting a similar approach to provinces in order to help assess their courtroom expert appearances. 

Contact

For more information on the services provided by FLS, please contact:

Tom Lukaszewski, M.SC, M.B.A.
Policy Planning and Evaluation
Forensic Laboratory Services
Royal Canadian Mounted Police
Tel 613-998-6349
Fax 613-952-0156

Guy Brunet
Director
Planning and Priorities
Strategic Direction
Royal Canadian Mounted Police
Tel 613-993-1242
Fax 613-993-4453
Internet  guy.brunet@rcmp-grc.gc.ca

Statistics Canada Advisory Services

The Advisory Services Division of Statistics Canada provides statistical information and a number of other statistics-related services to the Canadian Public. Most of the staff work in the eight Regional Offices located across Canada. The Division has three primary functions: answering statistical inquiries, performing media communications outside the National Capital Region, and acting as a focal point through which requests for cost recoverable services are channeled.

Advisory Service’s main client is the Canadian Public, but it provides information to anyone who requests it: business, academic, government and individuals.

Service Standards in Use

On its website, Statistics Canada provides a detailed set of standards for the services it provides to the public. These standards address standards for quality, accessibility, promptness, cost, reliability, and redress mechanisms. The detailed service commitment may be found in the Annex to this Case Study. These service standards were developed largely internally, although Statistics Canada also makes use of ongoing consultations with various advisory committees, which represent the user communities.

Advisory Services is particularly concerned with the response time standards outlined in the detailed service commitment. In addition to these department wide standards, Advisory Services has its own internal processes and standards.
•	It as a computerized system that responds automatically to acknowledge e-mails, a worker is expected to read and provide a separate acknowledgement within 24 hours; while an answer is expected within five working days;
•	Because of the existence of automatic phone answering system, there is no need for a standard on how long a phone rings before it is answered – it is answered essentially immediately. The Advisory Services telephone system tracks number of people waiting in the queue to talk to someone. Managers at the Regional Offices are monitor the length of the phone queue and take action if it becomes unacceptably long. Head Office tracks the number of abandoned calls and takes action this number become too great.

The quality of the information provided via telephone is assessed though a system of call monitoring by supervisors. Advisory Services has a policy of monitoring 4% of calls of new staff and staff that have been experiencing problems; it monitors 2% of calls to other employees. The results of the telephone monitoring are used to help in the initial training process and to help staff continue to improve the quality of their work.

Advisory Services monitors various aspects of its level of service through periodic Mystery Shopper audits. In these audits, calls are made to Advisory Service offices by an external audit organization. The office manager and staff are not told that an audit is underway.
Statistics Canada does not perform a satisfaction of users of the general telephone system, because it has a policy of not asking callers to identify themselves unless this is necessary in order to provide the caller with a desired services. However, it does perform a satisfaction survey of those who purchase more than $250 of services. The satisfaction rate is very high (over 90%).

Exemplary Practices

The tracking of length of phone queues and number of abandoned calls provides an effective way of monitoring the effectiveness of the telephone answering system

The Advisory Services Division uses the telephone monitory system as an adjunct to its training system. Each new employee takes about six weeks of training on information sources and how to use the computer databases. For the next six weeks, the trainee answers the telephone while being monitored by an experienced staff member who provides assistance and additional training and advice. After this period, the individual answers the phone alone most of the time, with 1 call in 20 being monitored.

The use of Mystery Shopper audits serves as an independent external assessment of the overall phone system.

The use of a satisfaction survey of service purchasers provides a further feedback on satisfaction with service.

Lessons Learned

The use of external testing of the system was found to be very useful. In one case the Mystery Shopper audit identified a technical problem in the telephone system, where a small number of callers were sent to a dead phone line, which was never answered. This technical problem would have been almost impossible to discover internally.

Contact

Iain McKellar
Director
Statistics Canada
Divisional Management
RH Coats Building Holland Avenue and Scott Street  
Tunney's Pasture
Ottawa, Ontario
K1A 0T6
Telephone: (613) 951-9285

ANNEX

STATISTICS CANADA

Standards of Service to the Public

Statistics Canada is committed to serving its clients in a prompt, reliable and courteous manner. To this end, the Agency has developed standards of service which its employees observe in serving its clients. According to these standards, the Agency's personnel makes the following commitments.

Quality

•	demonstrate openness, courtesy and equitable treatment at all times with its clients.

Accessibility

•	provide service in the official language of the client's choice.
•	provide service during the regular business hours between 8:30 and 16:30 hours
•	ensure that contacts identified in The Daily, the Agency's official release vehicle, are available on the day of release of survey results.
•	ensure accessibility to its information service to the public residing in areas other than where Statistics Canada offices are located, through a 1-800 toll-free service.
•	proactively offer the coordination of the provision of services to a client if his/her needs require actions by other Agency divisions.

Promptness

•	before work begins, advise the client of the time required to provide the service and, if necessary, obtain the client's agreement to the schedule.
•	advise the client, should the need arise, of any additional time required and explain the reason for the delay.
•	provide a cost estimate within two (2) working days or specify when the estimate will be ready.
•	under normal circumstances, respond to a simple special request within ten (10) working days.
•	fulfill an order for off-the-shelf products within two (2) working days.
•	answer or acknowledge receipt of a letter whether received by mail, fax or electronically within five (5) working days.
•	return a client's phone call within one working day.
Cost

•	inform clients of the cost of the service where applicable.
•	advise the client immediately, should the occasion arise, of any unforeseen change in cost and explain why.

Reliability

•	if there is any difference between the request and the product delivered or to be delivered, advise the client immediately and explain the reason.
•	if the product delivered does not conform to the client's request and this is due to our misunderstanding, offer to provide a solution free of charge.

Redress Mechanism

If you, as a client, have reason to believe that these standards have not been adhered to in your dealings with Statistics Canada, you are encouraged to contact:…

Transport Canada Technology And Information Management Services Directorate (TIMSD)

Transport Canada Technology and Information Management Services Directorate (TIMSD) provides technical support for Transport Canada at headquarters and across the regions.  They also supply support to some provincial government departments.  TIMSD provides internal support services and is funded from the centre. TIMSD staffs a Technical Help Desk, manages implementation of new software/hardware, equips and connects new users to Transport Canada’s local and wide area networks, and responds to any technical difficulties.  TIMSD staff meets regularly with their client groups, working with them to develop plans of action for any required changes.  These client consultations also afford the opportunity to regularly examine any client issues or concerns, to point out any improvements the client may need, and to suggest schedules for any training the clients may require.

TIMSD lends support over the phone, through email, in person and over the internet.  They are currently in the process of increasing the use of the Internet to facilitate large-scale software installations, to increase user access to resources, and to provide clients with a continuous feedback outlet.  In the future, they hope to implement an Internet based solution for logging system problems.

TIMSD works with three business lines at Headquarters and currently has 25 client groups.  TIMSD liases with the regions to maintain continuity of services across the country.  They maintain contact with Government Technology and Information Services (GTIS), which maintains Transport Canada’s wide area network, to insure services are maintained at high levels and to deal with any issues that affect the needs of their client base.

Service Standards in Use

TIMSD provides an excellent example of the importance of infrastructure.  Only a small percentage of work done by TIMSD is visible to the end user (the client).  Most of the work is behind the scenes.  They have developed service standards based on the needs of the end client, but for these service standards to be met, all of the supporting infrastructure must be well maintained.  TIMSD maintains web servers, email servers, file storage and archiving, as well as database and overall system integrity.  TIMSD must be up to date with current security issues, with developments in software and hardware, and with developments in network environments.  TIMSD maintains close ties with GTIS to ensure their clients are receiving the best possible network infrastructure.

This section deals with service standards as detailed to the clients through TIMSD’s Service Level Agreement (SLA).  These standards reflect the needs of the client, but within the context of the technological capabilities of TIMSD.  They have been developed through consultation with their client base but with consideration for the limitations of the working technological environment.  In developing these service standards TIMSD is better equipped to determine what resource allocation will result in a working environment most in line with the client’s needs.  With this in mind, TIMSD integrates the needed infrastructure to accomplish the seamless interactions of Information Technology/ Information Management and client satisfaction.

TIMSD has developed a document called the Service Level Agreement (SLA).  It is a standard contract detailing the responsibilities and expectations of both the client and TIMSD.  This standard form is modified, through consultations with the client, to account for extenuating circumstances or special needs.  The SLA includes a detailed list of the services TIMSD provides as well as the timeframes to complete each of these services.  This document lists such services as user ID creation & Assignment, virus scans, loading data file, installing software, and LAN connections.  The SLA details time-dependent service standards for each of these services.  For example the timeframe for user ID creation and assignment is one working day.

TIMSD list of service standards also includes the time for call back if a problem is reported.  From time of the phone page, TIMSD staff will contact the client within 25 minutes.  They have also set a standard of resolving any reported problems within 3 hours, their service standard target is set at 80% of the time.

Exemplary Practices

TIMSD has worked extensively with their client base to create an environment palatable to the direct client and end users, as well as to TIMSD and its employees.  The relationship is based on mutual respect and openness.  TIMSD’s day to day practice are founded on consultations with the clients, on surveys, and on best practices from other IM/IT services both in government and in the private sector.  The following exemplary practices have evolved using a TIMSD/Client partnership approach to client service/satisfaction:

•	Electronic surveys are in place should a client’s employee have any problems related to Service Standards.  The surveys are examined and changed as need be to ensure proper representation of the client base.  Based on the information sent to TIMSD, the client receives a follow-up call to ensure the problem as been resolved to their employee’s satisfaction.  The surveys are also included in a monthly assessment document outlining any problems and how those problems are being or have been dealt with.

•	The Service Level Agreement is not designed to limit the services TIMSD provides but is maintained as a framework from which further client interaction evolves.  Although the SLA outlines service standards a client can expect, it is not a limiting document.  If the client should need support outside the normal function of TIMSD, these requests are examined on a case by case basis.  The SLA serves as TIMSD’s commitment to provide high quality services and demonstrates TIMSD’s openness and confidence in its procedures.  TIMSD also has a tacit agreement in place with their client groups that should any situations arise, not covered in the SLA, TIMSD will assess and propose solutions.  Standard services are provided by TIMSD on a no cost recovery basis.  Should the client require assistance outside of the defined services, TIMSD will provide such services on a cost recovery basis.

•	TIMSD constantly receives and reports client feedback.  This information is gathered though individual surveys, completed by end users who have had problems that have not been dealt with in accordance to SLA service standards, as well as through larger, more detailed surveys performed every two to three years. The smaller surveys are reported on a monthly basis, the larger surveys are reported in the corresponding annual report.  These reports include problems and problem resolution times.  Since GTIS supplies the networking systems, these reports are supplemented by reports from GTIS outlining the performance of the WAN.  There is often a correlation between client complaints and GTIS system shutdowns.

•	Information gathered from reports, surveys and consultation is used as a basis for any changes in service that the client or TIMSD may feel are necessary.  TIMSD staff meets monthly with the key people from each of the 25 client groups (unless otherwise specified by the client), in an open and transparent manner to evaluate any situations that may require their attention and to evaluate their clients’ perceptions of service.

•	TIMSD, through consultation, demonstrates sensitivity to the different operating environments in different regions.  Though much of their work is standardized throughout the regions TIMSD staff still appreciates the differences among the groups and regions.  TIMSD’s staff tailors systems to the needs of the individual client.  Monthly client meetings give each party a chance to express any adaptations needed or any issues not otherwise covered. This continuous client contact keeps both parties apprised of any new information, technological developments, or changes to environments.  TIMSD uses this free exchange of information and concerns to insure that they are able to evolve and adapt to the needs of their clients. These meetings help to ensure that any emerging issues are dealt with as they arise.  TIMSD has always held this personal contact as integral to promoting and improving client satisfaction.

•	TIMSD has developed a system of documenting any interaction with clients and detailing how TIMSD staff is to proceed within the client’s working environment.  TIMSD has developed an internal document, ‘Problem and Change Management Procedures’.  This document presents a cogent set of steps explaining the many aspects of TIMSD’s employee procedures.  The document outlines how to proceed with changes, how to deal with problems, what steps to take should the problem need to be upgraded, and how to document any work completed.  The document evolves as working environments change and experience is gained.  Evaluation of the information logged as a result of this document gives TIMSD the ability to maintain a flexible approach to client satisfaction and to adjust its efforts and resources based on client needs.  Other departments have used this example as a basis for developing their own procedural documentation.  This document also helps maintain continuity within the group (from a local to a national level), increasing overall efficiency and continuity of service.

•	TIMSD is developing a national administrative infrastructure to ensure efficiency and continuity of service in all regions.  Concerned with nation-wide continuity of service, TIMSD organized a series of consultations, formal and informal, with various stakeholders in the regions.  Though service quality in the regions was comparable to National Capital Region ratings, there were areas where national continuity could be improved. The regions tended to an ad hoc approach, which was, at times, inefficient.  This has led to a shift in the approach of the administrative infrastructure.  A managerial stratum is now being established to create better liaison between the regions and the NCR.  This will increase continuity and efficiency of the TIMSD group nationally and provide an extensive network through which to gauge client needs.  Managers will be appointed to each of the three business lines at headquarters.  A manager will also be appointed to each region.  The regional managers will liase with headquarters on a continual basis. This new infrastructure is expected increase efficiency and continuity of the group, and therefore client satisfaction, nation-wide.

•	TIMSD works with other groups, outside their department or client base, to keep up to date with current best practices.  The group has adopted an approach of learning as much as possible form others.  They consult, formally and informally, with other departments. They also belong to a number of committees and cluster groups.  They are constantly looking for other approaches that may be integrated to improve client services.  The Director of TIMSD sits on a number of boards and belongs to a cluster group which includes many government and public entities (e.g. Oracle Canada).  TIMSD’s communications with these groups, the TBS Service Improvement Initiative, and discussions with other departments, has presented a plethora of opportunity to learn, share, and discuss new approaches to client satisfaction.  TIMSD views this contact as integral to their client-centred initiative.

•	As a parallel to the Government On-line Initiative, TIMSD has been expanding its use of the Internet to keep their clients informed and up to date.  It is hoped that, in the future, much of the change resources will be available over the network.  Focus on network capabilities has led to increases in resource access and to increases in the efficiency of support staff.

•	TIMSD shares its lessons learned with other departments and agencies.  The group has given a number of presentations at the behest of various departments.  These presentations share the initiatives TIMSD’s staff has taken to improve efficiency and increase client satisfaction.

•	TIMSD outlines contact information up to and including the Director General should Service Standards not be met.  In the event, a situation calls for client escalation, the Service Level Agreement (SLA) gives contact information of those responsible within TIMSD.  The contact list is divided into 4 levels of escalation, level 1 is the Problem Control Hotline, level 2 is the Data Centre Manager, level 3 is the Director of Computer Operation and Network Services, and level 4 is the Director General of TIMSD.  They hope this helps to underscore the commitment and importance of their client-centred approach.

•	TIMSD publishes a schedule for priority one problem resolution.  This schedule includes an update schedule for keeping the client informed as to where things stand.  The SLA outlines, within the context of Service Standards, the escalation process used by TIMSD for priority network problem.  This list outlines the internal process from the time the call is received to involvement of Senior Management.  The time frames start at zero minutes (help desk is notified) to, if necessary 120 minutes when Senior Management contacts GTIS.  This list also includes a schedule for continually informing the client of the progress being made.

Lessons Learned

In its shift to a more client-centred day to day operation, TIMSD has found some overall themes integral to creating a workable technological environment.  These themes have developed through trends in client satisfaction, employee input, client survey results, and client consultations.

1.	Cohesiveness within a group leads to increases in efficiency and therefore increased Client Satisfaction.  Before the original survey 2 ½ years ago, there were many areas in need of change.  Many clients were doing much of there own support ad hoc.  It took time to convince clients of the benefits of continuity across support systems.  Customer satisfaction was high but there was room for improvement.  The survey spawned several of the initiative we have seen in exemplary practices.  Surveys and consultations were initiated as an integral part of business lines.  SLA’s were developed, constant feedback was encouraged and a priority was placed on personal client contact.  Each of these practices was designed to increase cohesiveness, and therefore efficiency of the group and the group’s ability to respond to changing client needs.  Every level of the group from the help desk to the Director General has adopted this client-centred change in policy.

2.	When initiating Service Standards and supporting infrastructure, it is important to adopt the client’s perspective.  Before the integration of systems support, clients did not have confidence in the abilities of TIMSD.  One of TIMSD’ first tasks after developing their integrated service system was to convince clients of the benefits of relying on this system.  TIMSD was forced to adopt the client’s perspective to convince them, not only of the benefits to maintain a central system, but also of TIMSD’ capability to fulfil that role.  This process began in the NCR, but a recent survey has brought to light that the regions are having some of the same problems experienced years ago in the NCR (i.e. lack of confidence and fixing their own technical problems ad hoc.  This led to the restructuring the group’s infrastructure on a national scale.  The strengthened communication between headquarters and the regions should help to instil the same confidence in TIMSD nationally as they currently enjoy in the NCR.  This new initiative will also help in the sharing of problems and solutions on a national level.  The liaison will help the entire group to be more responsive to the needs of the client locally, regionally and nationally.

3.	The surveys are an invaluable source for determining resource allocation.  Surveys have pointed to areas that clients felt were under-supported, as well as areas where TIMSD had been too focused.  This feedback has helped the group to reallocate resources to appropriate areas.  As the Website is expanded to include an area for client feedback, the group hopes that the added feedback will help to further define the needs of the client base.  The monthly surveys have been sent to a small, random group, as the web site expansion progresses all users could potentially access the Website to contribute feedback, empowering the group to redefine their structures as their client’s environment changes with the future of technology.

Contact

For more information on the services provided by the TIMSD, please contact:

Richard Ruta
Assistant Director, Infrastructure Implementation
Technology and Information Management Services Directorate
Transport Canada
613 993-7066

Veterans Affairs Program

The Veterans Affairs Program, delivered by Veterans Affairs Canada (VAC), contributes to the financial, physical, and social health and well-being of veterans and other eligible clients in recognition of their sacrifices while serving the country; and keeps the memory of these sacrifices alive for all Canadians.

Through its Benefits and Services Business Line, over 3,000 employees administer services to clients in the areas of: Pensions and Allowances, Health Care, Pensions Advocacy and Commemoration.  More specifically, VAC provides clients with compensation for hardships arising from disabilities and lost economic opportunities; delivers health and social programs; provides professional legal representation; and administers programs that recognize and honour the achievements and sacrifices of its clients.  VAC has a client base of over 200,000 veterans; Canadian Forces members and former members; and qualified civilians and their dependants.

Clients can receive information about programs and services through a variety of channels which include: telephone; fax; mail; in-person; electronic mail; and through the Internet.  VAC has a decentralized delivery network with a Head Office in Charlottetown, a National Capital Office in Ottawa, and a number of Regional and District offices throughout Canada.  The Department also operates a hospital in Ste-Anne-de-Bellevue, Quebec, and maintains battlefield memorials in Europe.

Service Standards in Use

VAC is committed to honouring those who have served the country through the delivery of high quality services and benefits.  VAC’s on-going commitment to service improvement is prominently profiled in the recently announced Five-Year Strategic Plan (2001-2006).  Service improvement is one of the over-arching strategic objectives in the plan and is also an integral part of the Values and Ethics adopted by the Department.

VAC is currently in the process of adopting a continuous service improvement planning and implementation approach which includes: establishing baselines for client satisfaction; implementing service improvement plans; revising service standards; incorporating results-based accountability for managers; and reporting progress on standards achievement.

VAC first established service standards in 1995, revising them in 1997 after a series of consultations with Veterans Groups and administration of a client survey.  The twenty-one service standards, published in a brochure entitled Veterans Affairs at Your Service, established commitments in the areas of accessibility to services, methods of communication, waiting times for responses and decisions, guidelines for receipt of payments, and courteous treatment.

In June 2001, the department conducted a National Client Satisfaction Survey.  The primary purpose of the survey was to establish baseline data with respect to level of satisfaction of clients with the delivery of VAC’s programs and services.  The survey was designed using the Common Measurements Tool, centering on five key service drivers of client satisfaction: timeliness of service, knowledge and competence of staff, courtesy of staff, fair and equitable treatment; and outcome.

A Client Service Delivery Network (CSDN) system is used to monitor and report on achieving standards.  Each year, results are reported through the Departmental Performance Report (DPR).  Need more info here on CSDN and the PS Award on Service Improvement

Exemplary Practices

VAC has exhibited the following exemplary practices in its approach to developing, implementing, monitoring and using its service standards:

•	service standards developed based on stakeholder input.  VAC’s service standards were revised in 1997 after consultation with stakeholders and using results from surveys and feedback mechanisms.  The Department will revise its standards again in 2001 using the results from client feedback and the June 2001 survey.

•	establishing a baseline of client satisfaction following first client survey.  In June 2001, a telephone survey was administered to 1,200 clients.  The sample included clients both in receipt of benefits and services, as well as those who have been denied a benefit or service.  The survey will provide useful information on the level of client satisfaction and will assist VAC in revising its service standards.

•	providing feedback mechanisms for clients.  VAC obtains feedback on service delivery through a number of 1-800 lines and through comment cards.  The results are used to understand the level of client satisfaction and will provide guidance for revising service standards.

•	monitoring and reporting results on achieving service standards.  Using the client service delivery network, VAC monitors performance against service standards on an on-going basis.  This performance is reported annually through the Departmental Performance Report.

•	tailoring delivery networks that respond to client needs.  With a client group where mobility is sometimes limited, VAC offers clients the option of having an officer visit their home.  Home visits offer the same services as are offered through all other service delivery channels.  Providing clients with various options for service delivery more tailored to personal needs ensures that clients receive the best access to program and services, thus, improving the level of client satisfaction.

•	service quality as an integral component of strategic plans.  VAC made service quality a key component of its strategic plan (2001-2006).  The first strategic objective is “integrity of our programs and service improvement” with, for example, a commitment to make use of continuous improvement models of service delivery.  Service delivery is also emphasized in the department’s new ethics and values: “We take pride in our role as public servants and are dedicated to service excellence. We are committed to responsive, quality service, delivered with timeliness, courtesy and fairness”.  Including service standards and quality issues in strategic plans emphasizes to staff and stakeholders VAC's commitment to service delivery and ensures that such issues become a key element in daily operations.

•	providing staff with appropriate training and recognizing their work allows for a more effective service delivery, thus, improving client satisfaction.

Lessons Learned

Service Standards as a Tool to Satisfying Client Expectations
1.	The management of service delivery is improved by developing service standards in consultation with stakeholders that are linked to client expectations.  In the future, VAC will continue to rely on client feedback on the delivery of services and programs to continually improve service and service standards.

2.	Managing client expectations can be facilitated by communicating departmental and client responsibilities and reporting performance against service standards.

Surveying Clients as a Tool to Improve Client satisfaction
3.	Surveying clients helps VAC establish a baseline on satisfaction and allows for better response to client priorities.  The results of the survey can be used to correct implementation issues.  VAC plans to conduct similar client satisfaction surveys each year for three more years.

Contact

For more information on the services provided by the VAC, please contact:

Marlene Zalewski
Senior Project Officer
Corporate Planning Division
Veterans Affairs Canada
Tel  902-566-8797
mazalews@vac-acc.gc.ca

Private Sector and Other Governments

AMEX Canada Inc.

American Express in Canada operates as AMEX Canada Inc. and AMEX Bank of Canada. AMEX Canada Inc. is a leading provider of travel-related services in Canada and assists companies with managing and controlling their business and travel expenses. AMEX Bank of Canada is the issuer of American Express Cards in Canada. Both are wholly-owned subsidiaries of New York-based American Express Travel Related Services Company Inc., the largest operating unit of the American Express Company, which provides a wide range of financial and travel-related services for consumers and companies.

AMEX Canada Inc. manages:
•	Travel Services Group, including Corporate Card, Corporate Travel and Consumers Travel
•	Travellers Cheque Group

AMEX Bank of Canada manages:
•	Consumer Services Group, including all consumer careds and related services, as well as financial services products
•	Establishment Services Group
•	Banking and Financial Services

Main Client Groups
Each of the core businesses at AMEX Canada Inc. has clearly defined customer groups based on product and service offerings which are re-assessed annually as part of the corporate planning process and throughout the year as new products and services are launched. The core business groups are:
•	Existing and potential credit card customers (managed by the Consumer Services Group)
•	Existing and potential consumers who invest in guaranteed and mutual fund investments (managed by the Consumer Services Group)
•	Individuals of corporations or government who use AMEX to book business or leisure trips (managed by the Travel Services Group)
•	Individuals of corporations or government who use the AMEX corporate card for the business-related expenses (managed by the Travel Services Group)
•	Individuals of corporations or government who use AMEX to manage and reconcile their corporate travel and entertainment expenses (managed by the Travel Services Group)
•	Merchant establishments which accept AMEX cards as payment instruments – while not strictly defined as customers, they do hold a critical position in the service delivery chain to the cardholders and are treated as a customer group (managed by the Establishment Services Group)

AMEX Canada Inc. has mature quality systems in place. The organization has demonstrated solid leadership is establishing and maintaining a customer-focused strategic direction. Alignment of organizational goals is maintained through a comprehensive planning process. Strategic Quality Plans are regularly monitored with extensive communication to all employees. Leadership effectiveness is reflected in the organization’s strong financial performance as well as significant improvements in key customer, process and shareholder results.

The organization clearly recognizes the importance of the customer. For example, customer satisfaction goals are developed for all employees. As well, a number of mechanisms are available to customers for complaints, assistance, inquiries or needs identification. Empowered employees quickly handle any customer requests – service level agreements are in place for key customer encounter points. Customer data is extensively collected, measured and tracked. Positive customer trends are evident. A wide array of methods is used to measure customer satisfaction as well as analyze data for improvement.

Service Standards in Use

Amex uses the NQI Framework for Business Excellence and the quality assessment tools linked to the Framework. As well, Amex pursues benchmarking with other organizations, customer satisfaction surveys, focus groups, syndicated marketing research studies on consumer/market trends. The business line responding to this survey has particular responsibility for New Customer Acquisition and Servicing (i.e. customer service, marketing offers, relationship management/risk management). Delivery of these services is divided between different service channels, specifically:

In person	5%	
Phone	80%	
Fax	1.67%	
Mail	1.67%	
Electronic Mail	1.67%	
Internet	10%	
Kiosk	0%	

Service level agreements are in place for key customer encounter points and linked to compensation. 

Each business unit at AMEX is using a service standard appropriate to their work including: Top2Box; Customer Satisfaction; AHT; TAT; ASA; Representative Knowledge, Courtesy, Accuracy; Industry Service Level; Compliance; etc.

Customer Satisfaction Surveys
There are external customer satisfaction surveys four times a year and focus groups are held twice annually. There are ongoing consultations with Business to Business customers. Marked improvements in Top2Box customer satisfaction has been noted as a result of actions taken in response to survey results. In a business line where results are flat from one study to another, action plans are developed, standards reset, benchmarking and best in class processes analyzed, and executive ownership is assigned to address the situation.

The challenges in monitoring/measuring customer satisfaction were realized in the difficulty of striking a balance between ongoing tracking and refining customer listening tools (e.g. changing questions to reflect process change and customer expectation change). As well, viewing internal performance data for external SAT data holistically presented a challenge. Mechanisms for responding to complaints or redress are used on an ongoing basis throughout the year.

Improvement in customer satisfaction is monitored based on movement on key drivers of satisfaction for a particular process and improvement in overall satisfaction on customer surveys. Internally, staff look at call monitoring and compliance scores/ratings to quantify improvement (list of attributes is long).

The internal elements that contribute most to customer satisfaction are a deep commitment to communication to all levels of the organization (from front line to executive staff), setting an improvement plan with performance targets and ongoing tracking.

Implementation of Service Standards
Being a quality and customer-focused service company, implementation of plans to measure/improve customer relationships was problem-free. The company’s vision and values are customer-centred; performance evaluations and goals have customer, shareholder and employee components; incentive reward and recognition programs in place to reward above and beyond service to customers.

The results from customer service feedback was used to develop service standards. The trend data, industry benchmarks and consultation with research specialists contributed to the development of specific standards. Consultation with internal customers and stakeholders, as well as focus groups with front line staff, also contributed.

Service standards vary from one channel to another and by other customer value/behaviour segmentation. As part of a customer relationship management strategy, customers expect difference levels/types of services from Amex and each channel designs their processes to deliver against those expectations.

Amex shares best practices and improvement stories within the company in other geographical markets and externally with companies in related industries.

Exemplary Practices

•	Executive ownership is assigned to every service improvement project.

•	Performance is tied to improvement goals.

•	Reward and Recognition program gives incentives to employees who are recognized as having given service above and beyond the standard.

•	Communication is completely through the ranks from executive suite to front-line workers.

•	Improvement plans are set with performance targets.

•	Customers are segmented beyond business line to customer value and behaviour.

Lessons Learned

Find a balance between ongoing tracking and refining the listening tool to ensure the tool is asking the right questions. 

Take an holistic approach to comparing internal performance data against external customer satisfaction data.

Contact

Karen Peart, Consultant
Amex
Telephone: 905-474-8398
Fax: 905-474-8363

AT&T Canada

Description of Business Line
AT&T Canada provides voice, data, internet and e-business services to individual and business customers.  Sales, provisioning, maintenance and infrastructure, and after-sales support round out the offerings of AT&T Canada.

A comprehensive quality program based on the Malcolm Balderige award process and the American Society for Quality tools and training has been implemented.  By segmenting the customer base, AT&T Canada has identified five key customer satisfiers:
•	Network reliability
•	Customer service
•	Billing
•	Reputation, and
•	Price

Different customers place different emphasis on the satisfiers. To meet the differing and changing needs of customers, AT&T Canada continually defines new and more specific measures of customer satisfaction that allow each business unit to tailor services to achieve customer satisfaction.

Service Standards in Use

Customer Satisfaction Detail
AT&T Canada surveys both customers and non-customers. They compare their results with industry benchmarking data. Comprehensive surveys performed by external suppliers provide information on customer satisfaction with their five satisfiers. Customer focus groups, input directly from customers through sales staff and shared market research from AT&T Corp (US) assist them in developing responses to customer demands.

No measured customer satisfaction baseline benchmark or service standards linked to customer expectations were identified.

The respondent identified the diversity of customers, variations in levels of usage, and the number and type of products used by customers, as the most important challenges to measuring customer satisfaction.

Some modest increases in customer satisfaction have been realized. Continuous improvement is the key theme of all business units. No linkage between customer satisfaction and services standards has been measured.

Implementation
Process Improvement Teams have been developed to improve customer satisfaction. They use benchmarking data (no source identified), monitor survey results and collect data on internal processes and standards.

Respondent agreed that service standards vary from one channel to another depending on product or service delivered.

Standards and information gained through the monitoring and measuring of customer satisfaction are not available. Respondent indicated that customer expectations are set at the point of sale and survey results are confidential.

Improving Customer Satisfaction through Service Standards

Sharing Best Practices

Respondent indicated that they had no awareness of other similar organizations that could benefit from AT&T Canada’s successes or lessons learned.

Exemplary Practices

Lessons Learned

Contact

Cal Maj
VP, Quality
Telephone: 403-705-6987

Canada Life Assurance Company

Description of Business Line
Canada Life Assurance Co is a diversified international life insurance company offering a range of protection and wealth management products to approximately ten million customers, individuals and groups, in Canada, the United States, the United Kingdom, Ireland and several other foreign locations.

Canada Life is one of Canada's five biggest insurers and offers both group and individual policies for life, health, disability, and property/casualty insurance. Canada Life also provides annuities, pension plans, unit trusts, and other investment products, as well as financial and investment management. The firm has operations in Canada, Ireland, the UK, and the US, and is expanding in such countries as Brazil and Germany.

There are two main customer groups: individuals (independent financial distributors, i.e. brokers, and end customers) and groups (brokers, plan sponsors, i.e. companies that purchase group plans, and plan members). 

Service Standards in Use

Canada Life is committed to the use of service standards to help ensure customer satisfaction. Currently, Canada Life bases their service standards on a combination of customer expectations and industry standards. The Canadian Division, Central Unit (survey respondent) uses the Canadian Framework for Business Excellence as their management framework.

The service standards are measured through internal and external surveys. Three business lines within the Canadian Division have marked improvements in customer satisfaction: Group Life and Health, Investment and Pensions, and Pay-out Annuity. Each business line in this division, regardless as to whether they have already seen improvements is working with customers to continually improve customer service. Each business line is surveying customers and identifying the top 3 issues upon which they will work for measurable improvements in customer satisfaction.

The Canadian Division delivers approximately 50% of its business line by phone and 50% via Internet.

Customer Satisfaction Detail
Various tools are used by the Canadian Division, Central Unit to measure customer satisfaction. A Market and Customer Insight Team was established to deal with two obstacles to the process. One of the greatest challenges to overcome is that customers cross over various business units and staff wanted to contact each customer only once. A system was developed to ensure no repetitive calls were made to each customer and the information shared with other business units desiring the information. Secondly, because Canada Life had merged or acquired other companies, links between data systems had to be established to eliminate redundancies and create consistent information.

Significant improvements in customer satisfaction were realized in: staff knowledge and cross-functionality (for customer information); turnaround time (especially dental claims); and accessibility (due to increased call centre hours).

Implementation
Each Market and Customer Insight Team has representation from all areas of the organization and they have implementation sessions for middle and upper management who then communicate the information to their staff.

Employee satisfaction surveys have been in place for more than 4 years. The results of these surveys are used to make changes in Human Resource standards. The next steps to be taken are always communicated to staff to ensure follow-through.

Improving Customer Satisfaction through Service Standards
The Market and Customer Insight Team  in each business unit are using a systematic approach to gather information through the new Customer Feedback Unit. Business units then analyze customer feedback and link it to the following year’s plan and to improving service standards.

At present there is no definite data that points to a correlation between the improvement of service standards and customer satisfaction. Not enough data has been collected over the relatively short period of implementation. Because several service standards were changed at the same time, no conclusions can yet be drawn to indicate which service standards had the greatest impact on improved customer satisfaction. The overall conclusion drawn by the Market and Customer Insight Team and management is that customer satisfaction has risen to many improved processes and standards now in place.

Sharing Best Practices
Canada Life has working relationships with other companies outside the financial/insurance industry such as AMEX, AT&T and Xerox. We have shared best practices in both directions and found it most helpful.

Exemplary Practices

•	The Market and Customer Insight Team. The team provides consistent information to all business units. Surveying, reporting and cross-functional teams are all standardized and thoroughly communicated to create a more completely informed employee base.

•	A Customer Complaint Team has been developed with representation from all units in Canada. They created a process to deal with complaints. They are currently deploying this process throughout the Canadian Division.

•	Internal Comment Cards are used, especially with the services that the Information Technology Department provides.

Lessons Learned

1.	The Market and Customer Insight Team has determined that the service standards related to customer satisfaction need to be addressed on a continual basis. The current practice of developing service standards on the basis of customer expectation and industry standards has been very recently amended toward having standards based completely on customer expectations.

2.	Standardized reporting formats across units and among newly acquired or merged companies is necessary for measurement and integrity of data.

3.	Frequent and thorough communication across business units (through management meetings) and deep into each business unit (through staff meetings or intranet) is very valuable.

4.	Sharing with and receiving Best Practices from other companies, not necessarily in the same industry, is useful and creates efficiencies.

5.	Linkages between feedback and planning is essential.

Contact

Canada Life Assurance Company
Helga Orviss
Senior Quality Service Consultant
Telephone: 416-597-1440 x 6270
Fax: 416-204-2454

Ontario Ministry Of Transportation - Service Improvement Office

The Ministry of Transportation’s Private Driver and Vehicle Licence Issuing Network is responsible for road user safety policy, as such their sphere includes issuing drivers licences, truck safety, plate renewals, vehicle registration and the graduated licensing system.  The Performance Management Program (PMP) defines requirements and performance standards of Private Issuing Offices.  The Service Improvement Office carries out this mandate.

There are currently 280 Private Issuing offices and 57 Driver Exam offices in Ontario that fall under the auspices of the Service Improvement Office.  The 280 Issuing Offices are privately owned and managed through contracts with the Ministry of Transportation.  Privatization of Issuing offices began before the service improvement initiative and so service standards where not part of the contracts with the Ministry of Transportation.  The Ministry used the initiative to build stronger ties with the private issuing offices.  The PMP was introduced as a voluntary program, at least for those offices already in place.  Since its inception 175 of the 280 (60%) of the offices have integrated the Performance Management Program into their day to day operations.  The program is mandatory for any new offices.

The Private Driver and Vehicle Licence Issuing Network has established a number delivery channels.  They include in person, by phone, through Kiosks, and over the Internet.

Service Standards in Use

Business plans presented by the provincial Minister of Transportation assert the Ministries commitment to customer satisfaction.  This assertion coincides with the provincial government’s commitment to customer satisfaction as per the Ontario Public Service’s (OPS’s) Common Service Standards program (CSS).  The CSS program was initiated in June of 1998 with the Secretary of Cabinet’s release “Framework for Action 1998: Quality Service Organization”.  The goals of the Initiative where: to increase public satisfaction of the OPS, to benchmark the OPS against public and private sector, and to set common benchmarks in departments providing similar services within the OPS.

The CSS began in 1998 as a volunteer pilot program with five ministries: Consumer and Commercial Relations, Education and Training, Finance, Labour, and Natural Resources.  Each of these ministries was evaluated by independent, outside consulting agencies (Carr-Gordon Limited and Erin Research Inc.) with respect to telephone and correspondence standards. These initial evaluations were used as benchmarks for a subsequent evaluation in 1999. The second evaluation was quite positive, all five ministries had significantly increased their levels of compliance to the common service standards with respect to the benchmarking evaluation.  The next phase was to integrate the CSS program into the rest of the OPS.

The CSS program differs somewhat from the Federal Service Improvement Initiative (SII).  Whereas the SII program depends on each federal ministry to determine the specifics of service standards for their individual circumstances, the CSS details the service standards to be used by each provincial ministry.  Some of the service standards and targets of the CSS are: 80% client satisfaction rates, phones to be answered within three rings, calls will not be redirected more than once, and correspondence to be answered within 15 days of receipt.

The Ministry of Transportation adopted the OPS service target of 80% client satisfaction with respect to licensing, testing, and registration activities.  In 2001 the Minister introduced the “Improving Customer Satisfaction for Road Users Act” to the provincial legislation.  The act introduces the initiatives to be adopted by the each of its business lines including the Private Driver and Vehicle Licence Issuing Network.  This commitment is reflected in the Performance Management Program of the Service Improvement Office.

The PMP is the framework through which the Service Improvement Office has initiated service standards for the Issuer Offices throughout Ontario.   The following are some of their areas of focus:
•	Displaying expected wait times
•	Serve clients in order
•	Complaint resolution within 2 days of acknowledgement
•	Indicating the best time to come in
•	Respond to all complaints within 15 days
•	To attain client satisfaction of 80%

These standards are a reflection of the Ministers commitment to quality, efficiency, and client satisfaction.  The Service Improvement Office currently measures client satisfaction levels through mail-in surveys and client comment cards.  Trends from these responses help to dictate where improvement may be needed.

Exemplary Practices Exhibited by the SIO

The PMP has four main areas where exemplary practices are put in place.  

•	The first is the Management Plan.  The management plan involves creating an agreement between the Ministry and the issuer defining the step needed to meet or exceed performance standards over a specified period of time.  This first step insures a partnership approach to customer satisfaction.

•	The second feature is the Measurement Process.  The measurement process includes both “Back Office” and “On-site” audits by the Ministry.  The Ministry will also review the management/action plan with the issuer.  The audits examine client satisfaction levels, financial management, and database integrity.  Each of these components is recorded on the issuer’s scorecard.  This feature integrates a standard measurement process to benchmark and compare progress of the initiative.
•	The third feature is the Balanced Scorecard.  The four main areas, Safety and Database Integrity, Client Service Satisfaction, Financial and Stock Management, and Continuous Improvement are weighted at 30, 25, 30, and 15% respectively.  This step introduces a standard reporting methodology allowing for easy benchmarking and comparison within and between service providers.

•	The final feature of the PMP is the Independent Business Consultant.  In this phase an independent Business Performance Consultants examines all of the data collect along with any supporting documentation.  As appropriate the consultant reviews the information with the Ministry and/or the issuer.  Should the issuer require further assistance, the consultant is at their disposal at no additional cost to them.  This step insures an unbiased measuring and remedial system to ensure customer satisfaction which takes into consideration the needs of the customer, the Ministry and the Issuing Office.

Lessons Learned

Need to integrate technology
1.	Integrating electronic time saving measures improves customer satisfaction.  It has become part of the ministerial commitment to combine automated service providers in order to increase efficiency of service.  The introduction of kiosks into the vehicle registration system has allowed the ministry to increase the number of contact points and to speed up service for vehicle registration.  Clients are now able to access vehicle registration through the larger offices as well as in smaller outlets (e.g. electronic kiosks at Canadian Tire stores).  The overall target for client satisfaction for the Ministry is 80%, in the case of the kiosks customer satisfaction reaches levels above 95%.

2.	Client feedback integrated into the service process.  The Service Improvement Office found that most people do not take the time to give feedback on provided services.  In response to this obstacle the Office integrated a client feedback form in vehicle registration kiosk which must be completed before the client’s transaction is completed.  Even with this extra step added to the process, the client satisfaction ratings are still above 95%.

Contact

For more information on the services provided by the MTO PWP, please contact:

Tara McCord
Performance Management Program
Private Driver & Vehicle Licence Issuing Network
Ontario Ministry of Transportation
416 235-5320

Royal & SunAlliance

Objective and Scope of Business Line
Royal & SunAlliance (RSA) is a property and casualty insurance company.  Their stated mission is: “To lead the Canadian insurance industry through expertise, innovation and outstanding service to our customers and business partners.”

Type of Service Provided
RSA has approximately 1 million policyholders in Canada with premiums generating revenue of approximately $1.2 billion per annum.  Personal policyholders include those insuring their automobiles and/or their residences (home owners, renters, condominiums).  RSA also has commercial policyholders, providing coverage for retail premises and financial liabilities.

RSA processes approximately 200,000 claims per year and makes coverage payments of approximately $14 million each week.

Delivery Processes
RSA policies are sold through a network of approximately 1,500 independent insurance brokers across Canada.  The primary focus of RSA’s service delivery is the handling and processing of insurance claims.

Of RSA’s staff of about 3,500, there are 700 whose functions are solely dedicated to the claims process.  The claims staff includes telephone response representatives, adjusters and automobile appraisers, among others.

RSA claims staff provide 24-hours a day, 365 days a year response through a nationally accessible 1-800 toll-free telephone line.

Service Standards in Use

Service Pledge
The following “promises” are featured prominently on all RSA promotional material, the RSA web-site and on all documentation that is sent out to customers:

Claims Promise
To meet – and exceed – our customers’ service expectations by handling all claims fairly, efficiently and sensitively.

Delivering on our Promise
•	Contacting customers promptly & courteously.
•	Dealing with customers sympathetically.
•	Investigating claims efficiently.
•	Arranging appraisals and repairs quickly.
•	Settling claims reasonably, responsibly and promptly.
•	Pursuing all avenues of recovery conscientiously.
•	Resisting fraudulent and exaggerated claims.

Service Standards
RSA has developed a set of service standards designed to help them meet their pledge commitment.  The standards were developed internally, without the use of external consultants.  The standards were developed by a task force of employees from various areas within the company.  The standards were developed using input from a variety of sources, including:
•	Claims representatives
•	Insurance brokers
•	Call centre personnel
•	Findings from customer satisfaction surveys

These standards are published internally and are not available to customers or the general public.  The objective of the standards is to meet the pledge that is made to customers.  These standards are used to monitor, modify and evaluate employee and company performance.  A copy of these standards is included on the following page.

R&SA Claims Service Standards

1.	Initial contact with Insured is within 2 hours of receiving telephone notification of loss and within 4 hours of receiving faxed notification of loss from broker.

2.	Initial contact with Claimant is within 24 hours of receiving loss report.

3.	We appraise vehicle damage within 1 working day of claim being reported in urban areas, and 3 working days of claim being reported in rural areas.

4.	A total loss from an auto accident is negotiated and paid within 10 working days of the motor vehicle accident.  A total loss theft is negotiated and paid within 21 – 30 days of the theft.

5.	We assess property damage within 2 working days of claim being reported.
6.	We issue a cheque within 2 working days of the settlement.

7.	Invoices are processed within 5 working days of being received on all claims except Ontario Accident Benefit claims.  We follow the Ontario auto legislation and pay approved medical invoices within 30 days and all other approved AB payments within 14 days of receipt of the invoice.

8.	All telephone calls are answered and/or returned immediately when possible; at the latest within 24 hours.

9.	Correspondence is answered or acknowledged within 5 working days of receipt except in the case of Ontario Accident Benefit claims.  We follow the Ontario Auto Legislation and respond to Accident Benefit claims correspondence within 14 days of receipt.

10.	Use of a pro-active diary system, in the initial stages of the claim, ensures that every claim is reviewed every 30 days by the Claims Representative.

Service Standard Monitoring

A variety of methods are used to monitor service standards.

For the claims representatives and appraisers, five of their claim files are randomly selected each month.  These files are reviewed to ensure that all 10 of the service standards (where applicable) have been met.  Where service standards are not being met, a more thorough review of that representative’s files is undertaken.

For telephone call centre personnel, supervisory staff listen in on calls on a random basis.  Where shortcomings are identified with respect to standards for a particular individual, the calls will be recorded and the supervisor and call centre representative will listen to the calls together and identify areas for improvement.

All claims personnel who are monitored are provided with a one-page report card identifying strengths and areas for improvement.  These report cards are also used as part of each individual’s annual performance appraisal.

After each automobile claim has been settled, the policyholder is sent a post-repair from to complete.  The information collected through these forms is also used to monitor the service provided by both the claims department and the repair service provider.  This enables RSA to monitor both its own service levels as well as those of their selected external providers.

RSA participates in the annual Customer Satisfaction Survey that is mandated by the Financial Services Commission of Ontario (FSCO) for Ontario automobile claimants.  This survey comprises three questions designed to measure overall customer satisfaction.  RSA has expanded its questionnaire to 15 questions, measuring the various specific aspects of customer satisfaction and identifying potential areas for improvement.
As well, RSA not only surveys Ontario automobile claimants, but has expanded its survey sample to include both property and automobile claimants across Canada.  The findings from the survey are compared with results for other insurance companies as well as with results from previous years.  As previously mentioned, the survey findings are included in the development of service standards.

Exemplary Practices

Telephone Communication
•	All claims staff receive training in telephone communication.  Including ongoing, on the job training, the process takes 12 months to ensure that all standards will be met.

•	All staff, if they cannot answer their telephones leave a message that indicates when the caller should expect to be called back.  If they are unavailable for an extended time, they indicate where the call should be re-directed to.

•	“Live” telephone communication is available 24-hours per day, 7-days per week.  This enables somebody who has just undergone a loss to confirm their coverage immediately.

Appraisal Service
•	The RSA appraisers are provided with up-to-date technology, in the form of video-imaging equipment.  This allows for faster and more accurate assessment of damages and it speeds up the repair process.  In addition, appraisers re-inspect at least 10% of repaired vehicles to ensure that the work and parts meet the set standards.

Empowered Adjusters
•	Adjusters are equipped with field cheques.  This allows them to provide immediate payments to policy holders.  The intent of this service is not to make full payment on the claim, but rather to provide the policyholder with enough money to see them through until the claim is settled.  There are always adjusters available on a 24-hour stand-by basis.

Lessons Learned

Modifying Standards in Unusual Circumstances
1.	During a major, natural disaster (i.e. ice storm) there was an unusually high number of claims coming in, all at one time.  Rather than recognize the unusual circumstances, an attempt was made to maintain service standards in the face of overwhelming call volume.  The results were frustrated customers and overworked, demotivated employees.

2.	In post-disaster analysis, it was found that customers understood the gravity of the situation and generally did not expect to be called back within two hours.  A better understanding was developed for this kind of situation as well as a willingness to understand that the service standards that are in place primarily apply to business as usual.
3.	Rather than sticking to the aforementioned standards, it is alright to say:  “In view of the current emergency, we will try to get back to you within 72 hours instead of 24 hours.”  This type of approach of managing customer expectations decreases customer frustration and at the same time improves employee morale.

Keeping Customers Informed
4.	Customer satisfaction surveys demonstrated that the greatest frustration faced by customers did not involve the fairness or timelines of their claim settlement.  Rather the most common complaints revolved around being kept informed regarding the progress and coverage that applied to their claim. 

5.	Much of the focus of the claims process now includes providing customers with expected timing on such items as adjustment and appraisal, deductible amounts and eligible coverage, time to settlement, temporary automobile or residence rental limitations, etc..

6.	It was discovered that the bulk of reasons for customer dissatisfaction did not involve the claims process, but rather the communication process.  Consequently, a large part of the service standards are linked to the establishment and maintenance of a communications process.

Contact

Karen Lock
Manager, Claims Department
416-366-7511
Karen_Lock@royalsunalliance.ca

Sun Life Financial of Canada

Description of Business Line
Sun Life Financial is a leading international financial services organization focused on providing financial services to individuals and businesses throughout their lifetime. Sun Life Financial offers a diverse range of products and services through our member companies and partners. The comprehensive product range covers plans from life insurance through to pensions and investments. Products and services include: Life, health and disability insurance; Mutual funds; Annuities and savings; Pensions; Investment management; Trust Services; Banking Services.

The division answering this survey deals with claims adjudication and client service processes. They work primarily with plan sponsors (employers) and with the plan members (employees). Working predominantly through the phone and mail, the department does at times work in person and through email.

Service Standards in Use

There are internally and publicly posted service standards within the Sun Life Financial organization. Customer Satisfaction Surveys are deployed twice every year. Sun Life measures operational data on a regular basis.

Customer Satisfaction Detail
Customer satisfaction has increased noticeably in the last year. Sun Life Financial continues to modify their service standards, implement changes to increase employee satisfaction and work to improve the factors that drive the scores on their surveys.

Implementation
The surveys take place through the mail and through focus groups. Their challenge with mailed surveys comes with finding accurate mailing addresses for plan members. They measure 30 attributes as part of the survey. The whole implementation process is planned thoroughly to create seamless contact with the customer.

Improving Customer Satisfaction through Service Standards
Sun Life Financial places an emphasis on employee satisfaction as having direct impact on customer satisfaction. For that reason, employee satisfaction surveys are implemented annually and employee needs are value highly.

The results of the Customer Satisfaction survey produces several projects to respond to the issues raised. Improvements in turnaround time is frequently the number one issue raised by customer satisfaction surveys.

Sharing Best Practices

Exemplary Practices

Lessons Learned

Contact

Thomas Hollman
Quality Officer
Sun Life Financial of Canada
Telephone: 416:408-7591
Fax: 416-595-1436
Email: tholle@sunlife.ca

TD Canada Trust

This case study focuses on client service standards developed for TD Canada Trust - Personal Banking.  TD Canada Trust currently deals with over 9 million clients from the general public.  Services include personal banking needs such as; deposits, cheques, account management, loans, mortgages etc.  The main point of access, 70 – 80 %, is through Automated Banking Machines (ABMs).  Other points access include; tellers (in person), phone (automated banking services and contact with agents), fax, mail, electronic mail, and the web site (information, requests, and on-line banking).

TD Canada Trust has developed a separate division, Strategy and Information Division within the Marketing Department, to track and report on client satisfaction and related standards.

Service Standards in Use

Service standards for TD Canada Trust are internal.  Most of the information is proprietary and therefore not covered in this report.  Through surveys, consultations and focus groups TD developed a list of 15 Service Standards (unavailable).  They include such elements as:
•	Using the client’s name throughout contact.
•	Smiling.
•	Maintaining eye contact (internal studies have shown a strong correlation between eye contact and client satisfaction).
•	Giving undivided attention to the client.
•	Always asking for permission before putting a client on hold.
•	Complete the clients request on the first contact “One and done”.
•	If a client must be transferred, the agent transferring must make contact with the second agent, make introduction, and only then hang up (warm transfer).

Service Standards vary between points of access, qualitatively as well as quantitatively.  Though wait time is integral to web access and in-branch service, web access is expected to be far more expedient.  When we examine phone service, though it is not as imperative to physically smile, the same pleasant demeanour is expected as with in-branch service.

Clients banking from the branch are randomly selected to complete surveys.  These surveys are collected each day, 6 days a week.  If a client has participated in a survey they will not be included again for a least 6 months.  TD processes, roughly, 400 000 surveys each year.  Surveys for telephone and ABM transactions are collected separately.

There is a completely separate tracking system in place to deal specifically with any complaints.  A number of people who have submitted complaints are contacted and surveyed.

The corporate philosophy is to examine what factors influence client satisfaction, what the branch can do to meet enhance these factors and to integrate these ideas into daily operations.

Exemplary Practices

TD Canada Trust has developed many exemplary practices with respect to its service standards.  These practices have evolved though numerous consultations and surveys both internal and external.  TD Canada Trust has allocated significant resources to the development of these practices and has found a significant link between client satisfaction, employee satisfaction, and profitability.  They have developed other standard as well but they are proprietary and so are not covered in this case study.

•	A message from the CEO was sent to all employees underlining management commitment to the client-centred initiative.  One of the obstacles to implementation of Services Standards was employee buy-in.  Some of the employees where cynical about corporate follow-through.  The initial reaction was that the new initiative was simply a “flavour of the year”.  Strategy and Information staff conducted a number of employee consultations and surveys to research ways to overcome the obstacle.  Part of the effort to influence employee buy-in was a message sent to all employees, from the CEO, explaining the importance of client-centred service standards and the companies commitment to creating a client-centred environment.
•	Employee training is seen as integral to developing and maintaining the client-centred approach.  Employees are trained, through workshops, on what the service standards are and how to maintain them.  If reports indicate below average standards at any branch, there is a remedial workshop in place to help employees get back on track.
•	Performance pay is partially dependent on meeting service standards.  As incentive, service standards are linked to performance pay, not only for managers but also for front line employees.  Employee performance evaluations have a section, worth 35%, based solely on meeting service standards.
•	Consultations and surveys are on going.  Consultations with and surveys of customers and employees are carried out regularly by outside, independent consulting firms, to assess their satisfaction and expectations with respect to service standards.  Outside consulting firms are contracted to conduct reviews of service standards.  These studies have found a correlation between employee satisfaction, client satisfaction, and profitability.  This focus on client/employee satisfaction has led to the average growth in client satisfaction.
•	Importance of any given point of access, with respect to service standards, is weighted based on the amount and type of client interaction.  When examining client satisfaction for the purposes of determining performance pay, each access point is weighed according to the amount of personal contact with the client.  The ABMs account for 70-80% of client access but since this interaction is through a machine, it is weighted at only 5%.  However, in the case of transactions completed with the teller (in person), which account for 10-20% of client access, that transaction is weighted at 65%.  This type of approach is especially significant when reviewing managerial performance.  Whereas the teller may be evaluated against client satisfaction at the counter, the manager will be evaluated against a branch composite, which includes tellers, phone contact, ABMs, mailings, Internet, and emails, each weighted according to amount and type of contact.
•	Reports from each branch are compiled and presented to upper management on a quarterly basis.  To insure continued efforts in client satisfaction and for timely detection of any positive/negative trends, each branch prepares quarterly client satisfaction reports.  The reports are compiled and forwarded to the Board of Directors for review, any needed action is determined at that point.

Lessons Learned

The following are main lessons learned throughout the implementation of the TD Canada Trust’s client-centred approach to customer service:

There is a strong correlation between employee and client satisfaction.  
1.	By comparing results from its many employee and client surveys, TD Canada Trust has determined that there is a strong correlation between custom and employee satisfaction.  This has highlighted the importance of such programs as pay incentive being partially dependent on client satisfaction results and the implementation of the employee recognition program.

Documentation of service standards and procedures for developing and integrating these standards is essential to the initiative.  
2.	With the recent reshuffling of TD and Canada Trust infrastructure after their merger, it has become evident that documentation is a real necessity of any client satisfaction initiative.  Much of progress each Bank had made with respect to service standards was lost in the reshuffling.  It is also important in helping to maintain the continuity of the program locally, regionally, nationally, and globally.  With the redefining of employees’ roles and responsibilities, any documentation from the individual initiatives was found to be an invaluable source of information for a smooth continuation of the program in the newly formed TD Canada Trust.  This same necessity to document holds true for smaller reshuffling, which is part of any organizations day to day operations.

Contact

For more information on the services provided by the TD, please contact:

Janet Hawking
Senior Vice President – Strategy and Information
Marketing Department
TD Canada Trust
Phone: 416 308-5394

Walt Disney Company (Canada) Ltd. - Division Of Consumer Products

Objective and Scope of Business Line
Disney Canada Products (DCP) is a division the Walt Disney Company.  DCP is responsible for the licensing of all Disney products in Canada as well as the marketing, promotion and merchandising of those products.  The sated objective of DCP is to be the vendor of choice in all of its competitive categories.

Type of Service Provided
DCP licenses and promotes thousands of different products.  These products are divided into three groups:  apparel and accessories, toys and sporting goods, everything else (food products, domestic products, gifts, stationery, etc..).

DCP licenses product manufacturing to a wide variety of companies, such as Hasbro, Mattell, etc..  DCP then manages the marketing and merchandising of these products through key account vendors and its own chain of stores.

In addition to licensing and promoting Disney products, DCP also promotes Disney movies in Canada.  This is generally aimed at enhancing the cross-promotional value of the movies and the corresponding products associated with those movies.

Sales of Disney products in Canada in the last year totaled just over $1 billion.  Disney revenues are generated through the licensing fees and royalties that are generated by those sales.  

Delivery Processes
Disney products in Canada are primarily sold through the 16 Disney stores in Canada as well as through their six key vendors.  These vendors are WalMart, Zellers, The Bay, Sears, Toys R Us and Loblaws/Costco.  DCP views these 6 vendors as being its most important customers.

DCP has approximately 68 employees who work in licensing, marketing, merchandising and administration.  They have another 100 employees (a mix of full-time and part-time) who work as staff in the 16 Disney stores.

Service Standards in Use

Service Pledge
DCP offers its vendors the opportunity to maximize value “by leveraging the strength of its brand, character and entertainment franchises through a commitment to creative excellence and customer service coupled with strict financial discipline”.

DCP is able to follow through on this pledge by providing each of its key vendors with:
•	Its own key account team
•	The development and implementation of an annual business plan
•	Establishment of benchmarks and performance measurement tools
•	The development and implementation of an account communication plan
•	The establishment of partnership marketing relationships

Within the Disney stores, the staff are referred to as “Cast Members” and customers are referred to and considered as “Guests”.   This nomenclature lies at the core of the Disney customer service philosophy.  Cast members are taught that success depends on servicing customer needs.  DCP views the keys to staff training as motivation and empowerment.  Cast members are motivated to provide guests with a positive Disney experience and they are empowered to ensure that they can accomplish this objective.

Service Standards
Because the bulk of DCP sales come through the key vendors, most of the service strategy is based on satisfying the needs of the vendors.  Rather than imposing DCP standards on each vendor, DCP takes the position that these are large successful retailing enterprises that already have core customer service standards.  DCP therefore provides individualized service to each of the vendors by adapting the vendors own service standards.

For example, one of the core philosophies of WalMart is the “Sundown Principle”.  This principle states that all queries and complaints must be dealt with before the sun goes down.  This does not necessarily mean that the complaint will be resolved or that the query will be answered.   It does mean that the customer will be contacted and the query or complaint will be acknowledged and the customer will be given an expectation of how long it will take to meet their needs.

Service Standard Monitoring

•	DCP believes that they key measure for monitoring successful service is sales.  They view growth and strength of sales as the key indicator of good service.  Although they monitor other service variables, dollars are considered first and foremost.
•	Key account teams are supposed to develop short term (annual) and long term (3 year) plans for their vendors.  These plans are reviewed and monitored by the management teams of both DCP and the vendors.  The account review process includes weekly account updates focusing on established benchmarks and using a variety of measurable performance criteria.
•	Complaint resolution is considered vital.  Calls that cannot be answered immediately are returned as soon as possible.  Those who are unavailable delegate somebody to act in their absence.  DCP uses the individual account communication plans as the core of this variable.  Ongoing dialogue with the customers is used to ensure that this process is working effectively.

Exemplary Practices

Management Training
•	All DCP management personnel receive intensive and ongoing training.  Their training includes an initial in-house training program at Disney University.  Included in the training is “Performance Management”, which focuses on teaching managers how to train their staff to meet customer needs.

•	Disney managers receive ongoing training and are expected to participate in two developmental workshops per year.

•	In addition to using Disney Institute training programs, DCP will also use outside training organizations, such as Management Ventures Inc.

Drawing on Expertise of Customers
•	DCP takes the attitude that its key vendors are the industry leaders when it comes to retailing.  They therefore implement the vendors’ own standards in developing individualized account plans.

•	They avoid the conceit that they are better and that they know more.  By adopting this philosophical approach, they are immediately in synch with their customers and have no need to modify their own planning structure to meet that of their customers.

•	When introducing a merchandising or promotional program into a vendor’s stores, they make sure that any campaign activities or displays meet the vendor’s standards.

Empowered Staff
•	Account service personnel are empowered to resolve outstanding issues on their own.  If there is any kind of issue with a vendor (e.g. merchandise return, promotional materials, dating terms), then account service personnel are able to resolve the issue on the spot, on their own, without the requirement to consult head office.

•	Account personnel staff are provided with training and guidelines that allow them to do this.  In speaking to DCP management, they could not recall an instance in recent memory when an account representative encountered a situation which they were unable to resolve on their own.  

Lessons Learned

Dealing with Demands that Cannot be Met
1.	During a store promotional program for a new educational software line, DCP had a “Winnie the Pooh” team travel across Canada, doing personal appearances at stores that would be carrying the new products.   The appearances were heavily advertised across the country.  The character team was put on a tight schedule in order to meet commitments across the country.

2.	At one store, the demand to meet the Disney characters was so high, that the team remained at the store well beyond the scheduled time (they stayed an extra three hours).

3.	In spite of staying well beyond the allotted time, the character team eventually had to leave in order to catch its flight and meet its next scheduled commitment.   The store’s management received a very vitriolic complaint from one of its customers, which it passed on to Disney.  The customer was upset because his child had been promised that he would meet Winnie the Pooh and that did not happen.

4.	Disney immediately called back to find out the name of the child.  They then had a set of photos of Winnie the Pooh autographed directly to the child and had them express couriered for same day delivery.  In the end, this over and above attitude resulted in a customer whose complaint expectations were exceeded and a very happy child.

5.	What DCP learned from this experience was to allow for greater flexibility in scheduling (i.e. not having appearances scheduled too close together), allowing for longer personal appearances, and having more than one character team operating across the country.

6.	This future planning was the result of an incidence report that arose from the initial customer complaint to the store.

7.	DCP understands that its greatest asset is its brand recognition.  Consumers have very positive regard towards the Disney brand and the Disney characters.  They are easily recognized, well known and well liked.  Maintaining customer satisfaction depends on retaining the good will that is associated with the brand.

Contact

Bruce Morrison
Managing Director, Licensing, Retail and Marketing
The Walth Disney Company (Canada) Ltd.
Simcoe Place, 200 Front Street West
29th Floor
Toronto, Ontario
M5V 3L4
tel:  416-596-3339
bruce.morrison@disney.com