Step-by-step guide: holding the initial discussion

Introduce yourself and explain your role.

Check whether it is a convenient time to talk about the complaint. If not, agree an alternative date and time.

Acknowledge the individual circumstances of the complaint and how the person making the complaint says they have been affected by it.

Explain what stage the case has reached in the process. Explain that the purpose of your call is to check your understanding of the complaint and to tell the person what happens next.

Agree and record how they would prefer to be contacted. If they ask for a reasonable adjustment and you cannot agree to this straight away, explain how you will consider this.

Ask for any other information you need to understand the circumstances of the complaint (for example, if there was a delay in making the complaint then the reasons for this).

Check if the person is happy to talk about their complaint there and then, or if they would like you to arrange another call.

If the person is happy to talk now, discuss the complaint in more detail to make sure you fully understand their concerns. If anything is unclear, ask questions.

Make sure you ask about, and record, how the events have impacted the person complaining (or the person they represent). Ask what the main issues are that they want you to look at, and how they feel about what happened.

Ask what the person wants to happen as a result of their complaint and what would put things right for them. If they have not thought about this, give them time to think it through. You could even offer to call back the next day, to give them time to reflect.

If the person is still uncertain, give them some examples of what could happen as a result of the investigation. For example, they might want your organisation to:

• explain what happened and acknowledge any failings
• apologise for, and recognise, the impact of any failings
• revisit a decision that has already been made
• provide staff training
• change policies or procedures
• explain what actions it will take to improve services, so this situation does not happen to anyone else.

Based on what they are looking for, consider whether their complaint can be resolved quickly – for example, by making an apology or taking further action.

Help the person manage their expectations. If the outcome they are looking for is unlikely to happen – such as someone being dismissed, or an unrealistic financial compensation – be honest about this. Instead, explain what outcomes might be possible and try to reach agreement on what could be a good outcome.

Once you are clear about exactly what you are going to investigate, explain how you will approach this. For example:

• the evidence you will look at
• who you will speak to
• how you will decide whether something has gone wrong, or not.

Tell the person that you will keep them involved and share what you have found before you send a final response.

If you need to, agree on a time to talk to the person again, to make sure you have full details of what they say happened and any additional evidence.

Explain how long you expect it will take to complete your investigation. Make it clear that this is an estimate and that you will let them know if anything changes.

If you need to, confirm anything you have said you will do, such as passing on a message to a colleague.

Agree how, and when, you will next be in contact with an update. Share your details so the person can contact you with any questions.

Make sure the person knows they can access help, advice and support, if they need it, from your local NHS advocacy provider – and how to contact them.

If the person already has a representative, agree on how you will communicate with them, and how often, throughout the investigation.

If the person does not accept the offer of a discussion, write to them instead. Cover all the points set out above, including a suitable and realistic estimate of how long it will take to finish the investigation and provide your response.