Principles of good complaints handeling

Question 1

Good complaint handling means

Answer 1

1. Getting it right
2. Being customer-focused
3. Being open and accountable
4. Acting fairly and proportionately
5. Putting things right
6. Seeking continuous improvements

Question 2

Getting it right involves

Answer 2

• Acting in accordance with the law and relevant guidance, and with regard for the rights of those concerned.
• Ensuring that those at the top of the public body provide leadership to support good complaint management and develop an organisational culture that values complaints.
• Having clear governance arrangements, which set out roles and responsibilities, and ensure lessons are learnt from complaints.
• Including complaint management as an integral part of service design.
• Ensuring that staff are equipped and empowered to act decisively to resolve complaints.
• Focusing on the outcomes for the complainant and the public body.
• Signposting to the next stage of the complaints procedure, in the right way and at the right time

Question 3

Getting it right, senior managers should:

Answer 3

Senior managers should:
• set the complaint handling policy, and own both the policy and the process
• give priority and importance to good complaint handling, to set the tone and act as an example for all staff
• develop a culture that values and welcomes complaints as a way of putting things right and improving service
• be responsible and accountable for complaint handling
• ensure that effective governance arrangements underpin and support good complaint handling
• ensure the policy is delivered through a clear and accountable complaint handling process
• ensure learning from complaints is used to improve service. Public bodies should consider the policy and practice of complaint

Question 4

being customer-focused means:

Answer 4

• Having clear and simple procedures.
• Ensuring that complainants can easily access the service dealing with complaints, and informing them about advice and advocacy services where appropriate.
• Dealing with complainants promptly and sensitively, bearing in mind their individual circumstances.
• Listening to complainants to understand the complaint and the outcome they are seeking.
• Responding flexibly, including co-ordinating responses with any other bodies involved in the same complaint, where appropriate.

Question 5

Being open and accountable means:

Answer 5

• Publishing clear, accurate and complete information about how to complain, and how and when to take complaints further.
• Publishing service standards for handling complaints.
• Providing honest, evidence-based explanations and giving reasons for decisions.
• Keeping full and accurate records.
• Publishing clear, accurate and complete information about how to complain, and how and when to take complaints further.
• Publishing service standards for handling complaints.
• Providing honest, evidence-based explanations and giving reasons for decisions.
• Keeping full and accurate records.

Question 6

Acting fairly and proportionally means:

Answer 6

• Treating the complainant impartially, and without unlawful discrimination or prejudice.
• Ensuring that complaints are investigated thoroughly and fairly to establish the facts of the case.
• Ensuring that decisions are proportionate, appropriate and fair.
• Ensuring that complaints are reviewed by someone not involved in the events leading to the complaint.
• Acting fairly towards staff complained about as well as towards complainants.

Question 7

Putting things right means:

Answer 7

• Acknowledging mistakes and apologising where appropriate.
• Providing prompt, appropriate and proportionate remedies.
• Considering all the relevant factors of the case when offering remedies.
• Taking account of any injustice or hardship that results from pursuing the complaint as well as from the original dispute.

Question 8

Putting things right means (continued):

Answer 8

In many cases, a prompt explanation and an apology will be a sufficient and appropriate response and will prevent the complaint escalating. Apologising is not an invitation to litigate or a sign of organisational weakness1. There is a wide range of appropriate responses to a complaint that has been upheld. These include: • an apology, explanation and acknowledgement of responsibility • remedial action, which may include reviewing or changing a decision on the service given to an individual complainant; revising published material; revising procedures, policies or guidance to prevent the same thing happening again; training or supervising staff; or any combination of these • financial compensation for direct or indirect financial loss, loss of opportunity, inconvenience, distress, or any combination of these. When deciding the level of financial compensation, public bodies should consider: • the nature of the complaint • the impact on the complainant • how long it took to resolve the complaint • the trouble the complainant was put to in pursuing it. Remedies may also need to take account of any injustice or hardship that has resulted from pursuing the complaint as well as from the original dispute.

Question 9

Seeking continuous improvement means:

Answer 9

Using all feedback and the lessons learnt from complaints to improve service design and delivery.
• Having systems in place to record, analyse and report on the learning from complaints.
• Regularly reviewing the lessons to be learnt from complaints. • Where appropriate, telling the complainant about the lessons learnt and changes made to services, guidance or policy.

Question 10

Reporting on complaint handling performance can help to:

Answer 10

• motivate staff
• promote achievement
• drive improvement in service delivery
• boost public confidence in the complaint process
• encourage potential complainants to access the scheme properly
• enable public bodies to identify patterns in complaints. Public bodies should ensure they:
• tell the complainant when lessons have been learnt as a result of their complaint
• state any changes they have made to prevent the problem recurring.