Early resolution: resolving complaints quickly

Promoting a just and learning culture 

• Senior leaders make sure colleagues 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 

• Colleagues openly welcome complaints so they can identify and resolve issues quickly. Colleagues receive training in how to do this and make sure service users are being listened to and treated with empathy, courtesy and respect.  
• Organisations clearly publicise and promote how service users can raise complaints in a range of ways that suits them and meets their specific needs. They make it easy for everybody to understand how the process works. This includes being clear about who can make a complaint and what will happen next.  

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 look for ways they can resolve complaints at the earliest opportunity.  

• ‘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. If their services have been found deficient, public sector organisations should consider whether to provide remedies to people or firms who complain. … Remedies may take several different forms and should be proportionate and appropriate. … 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. … Public sector organisations should seek to learn from their complaints.’ 

• ‘Integrity: You must … deal with the public and their affairs fairly, efficiently, promptly, effectively and sensitively, to the best of your ability … Honesty: You must … correct any errors as soon as possible …' 

Every day, colleagues interact with people who use (or are affected by) your service. The people they encounter often raise issues that they can help with and resolve there and then (or shortly after), without the need for a complaint. These are called ‘everyday conversations’ and can include: 

• a request for advice or an action 
• a need for an explanation to resolve confusion or frustration 
• 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 deal with an issue, before the person becomes dissatisfied and raises a complaint.  

However, if a colleague does not deal with the matter within the timescale promised, the issue can quite quickly become a complaint. For this reason, colleagues should always do what they say they will. 

Decision tool: Is something a complaint or not?  

The rest of this guide refers to complaints that should go through your organisation’s complaints procedure. It explains what the Complaint Standards say and how to resolve complaints quickly when you can.

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 you or 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 colleague was seen as rude or unhelpful 
• a colleague or contractor did not attend a scheduled appointment. 

What does ‘quickly’ mean? 
The Complaint Standards and Model Complaint Handling Procedure do not give specific timeframes for how long the ‘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.  

Complaints that are not suitable for early resolution

Some complaints are: 

• complex 
• complicated or serious  
• 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: 

• flag concerns that may be affecting other service users 
• involve safeguarding issues or a vulnerable person 
• involve major delays or repeated failures 
• may attract media interest  
• may present a risk to your organisation. 

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. 

When you receive a complaint, the Model Complaint Handling Procedure says you should: 

• record the complaint in writing (if it is made verbally)
• share the details with the person who made the complaint  -  do this by email, letter or using a simple form, choosing whichever option is easiest and meets the needs of the person making the complaint and your organisation
• acknowledge complaints within three working days - 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 deal with the complaint and how long you think it will take to respond (in keeping with Managing Public Money guidance). 

Important steps to consider when resolving a complaint early

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 
• acknowledge the complaint and 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 cannot 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. 

• 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. 

This step-by-step guide will help you gather information and build trust and confidence.

Tip 
Many complaints that go on to become long and complicated could have been resolved much earlier with:
- acknowledgement
- explanation
- action
- 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, explain and reassure the person and 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 help of others). Ideally deliver what the person raising the complaint has asked for,  
• If you cannot provide what the person is asking for, explain what you can do instead so they can make an informed choice.  
• If you need help, talk to your colleagues, agree what action is needed and then make sure it is carried out. 
• Capture any learning to share with colleagues and improve services for others. 

Tip 
A simple, clear 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 Complaint Standards say you should send the person 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. 

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 service users are telling them. That is why it is important to make sure all 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. 

Tip
If you do not already have a system for recording this information, you could create a simple form like the example in the toolkit.

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 you have done all you can to resolve the matter, you should explain to the service user how they can progress their concerns by:  
  • asking for a review of the decision (if this service is available) 
  • escalating their concerns about the decision to an independent complaints tier (if this service is available) 
  • approaching their MP and asking them to refer the matter to the Parliamentary and Health Service 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.  
• Tell them what will happen next. 
• Finally, explain how they can access help and support with their complaint if they need it. 

Read the guide to Carrying out an investigation for more help and support.