Clarifying the complaint and explaining the process

Welcoming complaints in a positive way 

• Colleagues make sure they respond to complaints at the earliest opportunity. They consistently meet expected timescales for acknowledging a complaint. They give clear timeframes for how long it will take to look into the issues, taking into account the complexity of the matter. 

Being thorough and fair 

• Colleagues actively listen and demonstrate a clear understanding of what the main issues are for the service user who has made the complaint, and the outcomes they seek. 
• Colleagues discuss timescales with key parties involved in the complaint and agree how they will be kept informed and involved. They provide regular updates, as agreed with the parties, throughout.  
• Colleagues make sure key parties (including those being specifically complained about) know how they will look into the issues. This includes what information complaints colleagues will need, who they will speak to, who will be responsible for providing the final response and how they will communicate their findings. 

The Civil Service code standards of behaviour state: 

• ‘Integrity … You must … deal with the public and their affairs fairly, efficiently, promptly, effectively and sensitively, …  

 
Managing Public Money says:

• ‘Annex 4.14 … Prompt and efficient complaint handling is an important way of ensuring customers receive the service to which they are entitled and may save public sector organisations time and money by preventing a complaint escalating unnecessarily. Dealing with complaints … Public sector organisations should operate clear accessible complaints procedures. They are a valuable source of feedback which can help shed light on the quality of service provided, and in particular how well it matches up to policy intentions. So all complaints should be investigated.  
• The Parliamentary and Health Service Ombudsman (PHSO) has published Principles of good complaint handling [and the UKCG Complaint Standards] to help public bodies when dealing with complaints. Systems for dealing with complaints should operate promptly and consistently. Those making complaints should be told how quickly their complaints can be processed. … 
   

The National Audit Office guide ‘Improving operational delivery in government: a good practice guide for senior leaders’ includes: 

• ‘Practical actions that senior leaders can take: Make it clear that everyone is responsible for solving problems. Organisations need to make clear to people what types of change they can make and who has authority for changes outside their span of control. Clarify how to solve problems in different contexts and provide training in structured problem-solving. Put in place a way for people to escalate and make visible those issues that need more senior support.’  

When you receive a complaint, the first thing you must do is acknowledge it. 

The Complaint Standards Model Complaint Handling Procedure say that your organisation must acknowledge the complaint no later than three working days after the day you receive it. You can do this verbally, electronically or in writing. 

• If you receive a verbal complaint (by phone or face to face), you should write it down and share a copy of it with the person who has made the complaint. This will enable them to check that you have captured the matters to be investigated correctly. 
• Ask the person making the complaint (or the service user they represent) for appropriate consent to handle the complaint. This is especially important if the complaint will need input or investigation from parties or organisations outside your own.  
• Give the person who has made the complaint your name or the name and contact details of a colleague who will be their point of contact throughout the complaints process. 
• For each case, think about whether you will need to make reasonable adjustments to procedures to meet the individual needs of the service user who has made the complaint. 
• If you make any adjustments, make sure you keep a record of them. If the service user requests an adjustment and you refuse it, keep a record of the reasons for this too. 

Tip: Ask everyone who makes a complaint ‘Is there anything we can do to make your communication with us easier?’ 

Find out more
See the guidance on Who can make a complaint, consent and confidentiality    

You (or an appropriate colleague) should always offer to talk to the person who has complained at the start. Where possible, do this face to face or by phone. Make sure you take into account the person’s preferred methods of communication and any reasonable adjustments that you have agreed. 

During the initial discussion you need to: 

• make sure, before you carry out your investigation, that both of you fully understand and agree on: 
  • the main issues that need to be considered 
  • the impact the issue has had 
  • what outcomes the person wants. 
• signpost to any available help, advice or support services 
• agree the preferred method of communication and any reasonable adjustments that you might need to make 
• explain how you intend to carry out the investigation, including: 
  • how and when you will get their evidence 
  • what other evidence you will search for and consider 
  • who you will speak to 
  • how you will determine whether something has gone wrong or not (by comparing what happened to what should have happened)  
  • who will be responsible for the final response and how they will communicate that response.  
• discuss a realistic timeframe (depending on the complexity of the complaint and the work that is likely to be needed to carry out the investigation) for: 
  • how long it is likely to take 
  • how you will keep them regularly informed and engaged throughout
  • when they can expect to receive a response. 

Explain that if you cannot meet these timescales, you will let them – and anyone else involved – know as soon as possible. 

Tip: If the service user 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.  

Our step-by-step guide will help you prepare for the initial conversation.

All your verbal and written communication should be polite, sensitive and empathetic. Your first conversation is a chance to build or restore trust and confidence in your organisation and to build rapport with the person who has made the complaint. 

• During your conversation, listen carefully to the service user making the complaint. 
• Avoid giving immediate answers until you have had a chance to look into the matter properly. Instead, focus on making sure you understand what the problem is, how they have been affected and what outcome they are seeking. If you are not clear, ask questions. 
• Try not to make assumptions. Everyone reacts differently to different situations, so you need to ask.  

Tip: One approach to demonstrate that you care and that you are listening and want to help, is to reflect the language the person uses, focusing on any emotive words. For example, they may say that delays in having their application processed have been ‘a nightmare’. You can reflect this language back saying something like ‘I’ve heard you say this has been a nightmare for you – could you tell me a little more about what you mean by that and how it is making you feel?’  

Acknowledging impact and how someone feels does not mean you accept that you have failed or made a mistake. All you are doing is showing them you are listening and you understand how this situation has made them feel – regardless of whether your organisation is at fault or not. 

Often, when someone first makes a complaint, they have not thought about the outcome they are looking for. It is important to make sure they think about this at the start. It will help them focus on what a good end to the process might look like for them.  

If they are not sure what they are looking for, give them time to think about it. You can arrange another call if they need more time or an opportunity to talk to friends and family. If they ask, you could explain the sort of outcomes that usually come from investigations, such as: 

• an acknowledgement that something went wrong 
• an explanation to help them understand what happened 
• a meaningful apology 
• revisiting a decision that has already been made 
• training and support for colleagues 
• changes to policies and procedures 
• improvements to a service so that what happened to them (or the person they are complaining on behalf of) does not happen to somebody else 
• a financial remedy.  

Tip: Ask the person how they would feel if you provided what they are asking for. For example, someone might say initially that they only want an apology. But if they think more about it, they may decide that they really want your organisation to learn from what has happened as well. 

People make complaints with a range of expectations. They may want a colleague dismissed or disciplined, a large financial compensation payment or a complete change to a process at your organisation.  

You need to explain that these outcomes are unlikely to happen through the complaints process. However, if you find that the correct process was not followed and something went wrong, you may recommend: 

• an apology 
• training for colleagues 
• improvements to policy, procedures or processes to make sure this does not happen to other service users. 

This gives the service user a chance to reflect. Then, together, you can agree on a more realistic outcome for them. 

Once you are clear about the matters you are going to investigate, explain the steps you will take. These could include: 

• how and when you will get their evidence  
• what other evidence you will search for and consider  
• which colleagues you will speak to 
• how you will look into the matter to see whether something has gone wrong (by comparing what happened to what should have happened) 
• who will be responsible for the final response 
• how you will communicate that final response.  

Share as much information as you can at this stage. This reassures the service user that you will carry out your investigation fairly and transparently. It also gives them some idea of what your final response may look like and what it will include. 

For more information see the guidance on A closer look - carrying out the investigation. 

In your initial discussion, you should provide a realistic idea of how long the investigation is likely to take, in line with ‘Managing Public Money’ guidance, and when the person is likely to receive a written response.  

• For each investigation, decide your estimate on a case-by-case basis. Consider: 
  • how complex the case is 
  • how much work is involved 
  • how much other work you have on. 
     
• Agree how, and when, the person will hear from you next and how you will keep them updated throughout the process. 
• Explain how you will involve them fully in the complaints process, so that they always know what is happening and feel in control of their complaint. People can get frustrated and angry if they do not know what is going on and what is going to happen next.  
• Always be open and honest, and always deliver on your promises. 
• If a service user has given consent for a representative or advocate to act on their behalf, make sure all parties understand the communication arrangements. For example, whether you will communicate with the representative, or whether you will send communications to both the service user and their representative. 

Maintaining confidentiality is essential when you are handling complaints. This includes respecting the confidentiality of the person making the complaint and anyone they represent.

• In your initial conversation, explain clearly how you will respect the service user’s confidentiality. 
• Always keep complaint records separate from other records so no one unconnected with the complaint can access them. 
• Confidentiality does not mean secrecy. Always tell a colleague when you have received a complaint that relates to them, unless there is an overriding reason not to. 
• When you are handling a complaint, always bear in mind data protection rights.