Early resolution: resolving complaints quickly

Promoting a learning culture 

• Senior staff make sure staff are supported and trained in all aspects of dealing with complaints, from identifying a complaint to issuing a response, so that they meet the expectations set out in the Complaint Standards. This should include how to manage challenging conversations and behaviour. 

Welcoming complaints in a positive way 

• All staff openly welcome complaints so they can identify and resolve issues quickly. Staff are trained to do this well and make sure people are listened to and treated with empathy, courtesy and respect. 

• Organisations regularly promote their wish to hear from their service users and show how they use learning from all feedback (including complaints) to improve services. 

Being thorough and fair 

• Staff actively listen and demonstrate a clear understanding of what the main issues are for the person who has made the complaint, and the outcomes they seek. 
• Staff look for ways they can resolve complaints at the earliest opportunity.

The Local Authority Social Services and National Health Service Complaints (England) Regulations 2009 (the 2009 Regulations) apply to all complaints handled under your complaint handling procedure. For the purposes of this guidance, the relevant aspects are: 

• Regulations 4(2) and 4(3) allow the responsible body to authorise any person to perform the functions of its responsible person and complaints manager on its behalf. 
• Regulation 8(1)(c) states that a complaint that is made orally and is resolved to the satisfaction of the person making it ‘not later than the next working day after the day on which the complaint was made’ do not need to be handled in accordance with the 2009 Regulations. 

• Regulation 13 states that the responsible body must: 
• (for any complaint made orally) make a written record of the complaint and provide a copy to the person making the complaint (Reg.13(2)) 
• acknowledge the complaint within three working days of receiving it (Reg 13(3)). This can be done orally or in writing (Reg 13(6)). 

• offer to discuss with the person making the complaint how their complaint will be handled and the relevant timescales (Reg 13(7)). 

• Regulation 14 states the responsible body must: 

• investigate the complaint in a manner appropriate to resolving it speedily and efficiently and keep the person making the complaint informed of progress (Reg 14(1)) 
• provide a written response on how the complaint has been considered, conclusions reached and appropriate outcomes and proposed actions (Reg 14(2)(a) and (b)). Regulation 17 states the responsible body must maintain a record of each complaint received that includes the subject matter and outcome (Reg 17(a) and (b)). 

Every day, frontline staff interact with people who use (or are affected by) your care and service. The people they encounter often raise issues that they can help with and resolve there and then, without the need for a complaint. This can include things like: 

• a request for advice or an action 
• a need for an explanation to resolve confusion 
• concern about an error that may have been made. 

Tip
Addressing matters through everyday conversations is the best, most cost-effective and time-efficient way to address the issue, before the person becomes really dissatisfied and raises a complaint.  

However, if the staff member does not follow up within the timescale promised, the issue can quite quickly become a complaint. For this reason, they should always deliver on what they say. 

Decision tool: Is something a complaint or not?

Use the checklist below to decide. 

Under the 2009 regulations, when someone makes a complaint in person (by phone or face to face) and it is resolved to their satisfaction by the next working day, this does not need to go through the organisation’s complaints process. Resolving a complaint in this way is considered good practice. 

If it is not resolved by the end of the next working day, it will need to go through your complaints process. 

The rest of this guide refers to complaints that do need to go through your organisation’s complaints process because they do not fall into the categories described above. It explains what the regulations say and how to resolve complaints quickly. 

When you first receive a complaint, ask yourself: 

• Can I resolve it quickly? 
• Do I need to give it closer, more detailed consideration and investigation? 

You may be able to resolve it quickly if there is something your organisation can do in a short space of time that will resolve the issues fully. For example, where: 

• a service has not been provided that should have been 
• a service has not been provided to an appropriate standard 
• a request for a service has not been answered or actioned 
• a service being provided is having an immediate negative impact 
• an error has been made that can be corrected quickly 
• a member of staff was seen as rude or unhelpful 
• a staff member or contractor did not attend a scheduled appointment. 

Tip
A complaint may be serious or high risk or high profile if it: 
- involves a death or terminal illness
- involves patient safety issues 
- involves safeguarding issues 
- involves a vulnerable person 
- involves child protection issues 
- involves major delays in service provision or repeated failure to provide a service 
- has attracted media interest 
- may present a risk to the organisation. 

If you are trying to resolve a complaint early: 

• listen to make sure you understand the problem or issues 
• ask about the impact this is having and how it feels
• ask what they would like to happen to put things right
• discuss how you will look into the matter and how long you think this will take.

Once you have looked into the matter: 

• explain what happened and why, if you can 
• if nothing has gone wrong, provide reassurance and an explanation 
• if something has gone wrong, give a meaningful apology 
• carry out actions to put things right if you can (or with the support of others) 
• if you can’t put things right, explain why and what you can do instead 
• if something has gone wrong, capture any learning to share with colleagues and improve services for others. 

What does quickly mean?
The 2009 regulations, Complaint Standards and Model Complaint Handling Procedure do not give specific timeframes for how long ‘early resolution’ of complaints should take.  

As a rule of thumb, if you can resolve the complaint within days, it is probably suitable for early resolution.  

Some complaints are complex, complicated or serious, or need significant work and time to investigate. These cases are not suitable for early resolution and will require a detailed ‘closer look’.  

Even if the issues look straightforward, a complaint still may require a closer look, particularly where the issues: 

• raise concerns about patient safety  
• flag concerns about potential issues in the system that may be affecting other service users 
• involve safeguarding issues or a vulnerable person 
• may attract media interest or present a risk to your organisation. 
   

Tip 
If in doubt, ask your colleagues their opinion of which approach to take.  

Find out more 
If you decide against early resolution and need to take a closer look, with a more detailed investigation, see the relevant guidance modules.

If you can’t resolve a verbal complaint by the end of the next working day, the regulations say you must do the following: 

• Record the complaint in writing. 
• Share the details with the person who made the complaint. 
• Do this by email, letter or using a simple form. Choose whichever option is easiest and meets the needs of the person making the complaint as well as your organisation. 
• Acknowledge complaints within three working days. (You can do this in writing, as part of your contact above, or verbally.)  
• Offer to discuss the complaint with the person at a convenient time to explain how you plan to respond and timescales. If they do not want to discuss it, write to them instead, setting out these same details. 

• When somebody makes a complaint, the most important thing to do is to talk to them – either face to face, or by phone or video call. 
• If you think their complaint could be resolved quickly, use this initial discussion to acknowledge the complaint, discuss the issues, explore how you can resolve them and set out how long this may take. 

Follow these steps to gather information and build rapport.

Tip 
Many complaints that go on to become long and complicated could have been resolved much earlier with: 
- acknowledgement 
- explanation 
- action 
- an apology 
- effective communication. 

If you find nothing has gone wrong 

Once you have looked into the matter, if you find that nothing has gone wrong, you need to reassure the person and provide an explanation to help them understand. If things were not explained to them clearly earlier, apologise. 

If you find something has gone wrong 

If you find something has gone wrong, try and put things right straight away. 

• Always be open and honest about what has gone wrong. Explain what has happened and why, if you can, and give a meaningful apology. 
• Take action to put things right if you can (or with the support of others). If possible, provide what the person raising the complaint has asked for, where that is appropriate. If you cannot put things right, explain why and tell the person what you can do instead. 
• If you need support, talk to your colleagues, agree what action is needed and then make sure it is carried out. 
• If you cannot provide what the person is asking for, explain what you can provide instead so they can make an informed choice. 
• Capture any learning to share with colleagues and improve services for others. 

Tip 
A simple acknowledgment of what went wrong and a meaningful apology is often all that people want. This goes a long way towards restoring faith and trust in your organisation. 

• If you can answer or address the issues raised, talk to the person who has made the complaint and make sure they are satisfied that this resolves the matter. 

The regulations say you must send them a written response (by email, a simple form or a letter – whichever they prefer) that sets out: 

• how their complaint has been considered 
• the conclusions reached 
• the outcome and proposed actions. 

You must have delegated authority to issue this response on the responsible person’s behalf under the 2009 regulations. 

Organisations see far too many complaints about things that happen time and time again. This is often because they pay too little attention to what their staff and people using their service are telling them. That’s why it is important to make sure complaints are recorded and used for learning. 

• Make a simple record of the complaint, the outcome, and any action taken to resolve the issue and improve services.  

Combined with other sources of feedback, this will help your organisation: 

• identify emerging themes or issues 
• build a better picture of the impact of your services on service users 
• improve those services for everyone. 

If you do not already have a system for capturing this information, use the sample form in the toolkit as a template. 

If the person making the complaint is unhappy with your resolution, consider whether your organisation can, and should, do more to try and resolve the matter. This might include taking a closer look into the complaint. 

• Discuss what has happened with your manager or complaints lead to help you decide if you should do further work. 
• If you are satisfied that you have done all you can to resolve the matter, signpost the person to the Parliamentary and Health Service Ombudsman. 
• You should also explain how they can get help and support to refer their complaint to the Ombudsman. 

If you decide that you cannot deal with the complaint quickly, you (or another colleague) will need to take a closer look and carry out a more detailed investigation.

• Discuss with your manager and a relevant colleague responsible for complaints* whether taking a closer look is the right thing to do. 
• If you decide the complaint needs a closer look, explain this to the person who has raised the complaint.
• Then, tell them what will happen next. 
• Finally, explain how they can access help and support with their complaint if they need it. 

Find out more 
SPSO: How to make a good apology
NHS Resolution: How to make a meaningful apology