THE OMBUDSMAN'S GUIDE TO DEVELOPING A COMPLAINT … · MODEL COMPLAINTS SYSTEM AND POLICY THE...

MODELCOMPLAINTSSYSTEM AND

POLICY

THE OMBUDSMAN'S GUIDE TODEVELOPING A COMPLAINTHANDLING SYSTEM

Published by the Office of the Ombudsman18 Lower Leeson StreetDublin 2

Telephone: 01 639 5600Lo-call: 1890 223 030Email: [email protected]: www.ombudsman.ieTwitter: @OfficeOmbudsman

MODEL COMPLAINTS SYSTEM AND POLICYTHE OMBUDSMAN'S GUIDE TO DEVELOPING A COMPLAINT HANDLING SYSTEM 1

INTRODUCTIONAn effective complaint handling system provides significant benefits toany organisation. It resolves issues raised in a timely and costeffective way, it provides valuable information that can lead to serviceimprovement and it can improve the reputation of and strengthenconfidence in an organisation.

This booklet contains the following documents:

• Model Complaints System• Model Complaints Policy• Model Complaint Form

These documents will be of assistance in developing your complainthandling system. They can also be downloaded from my websitewww.ombudsman.ie.

Peter TyndallOmbudsman

MODEL COMPLAINTS SYSTEM AND POLICYTHE OMBUDSMAN'S GUIDE TO DEVELOPING A COMPLAINT HANDLING SYSTEM2

MODEL COMPLAINTSSYSTEM

This guidance sets out a model for handlingcomplaints. It aims to develop a commonapproach which is simple, flexible and placesemphasis on getting the most appropriateoutcome for both service users and serviceproviders.

The following should be considered andaddressed when drafting a complaints policy:

1. DEFINITION OF A COMPLAINTMost definitions of a complaint followsimilar lines such as:

“A complaint is an expression ofdissatisfaction by one or more members ofthe public about an organisation’s action orlack of action, or about the standard ofservice provided by or on behalf of theorganisation”.

• Every complaint requires a response.

2. ACCESSOne of the main characteristics of a goodcomplaints system is that it should be easyto find out how to make a complaint andsimple and convenient to then do so. Theservice provider should remember that theperson making the complaint may find itquite distressing to do so and may havedifficulties putting their complaint in writing.

• Complaints should be accepted in anumber of different ways including inperson, over the phone and in writing.

• The service provider should acceptcomplaints brought by third parties aslong as they obtain appropriate consentfrom the service user, where possible.

• The service provider should explain andsignpost the role of any advocacyagencies operating within the sector andtheir role in providing assistance toservice users.

• The service provider should ensure thatall of their service users have access tosimple and clear information about howto make a complaint. This includestaking account of service users withparticular requirements, such as thosewith intellectual disabilities, who arevisually impaired, or with languagedifficulties, etc.

• Information about the complaintsprocedure and policy should be easilyaccessible at all times and not just whena service user wishes to complain. Itshould be available at all public receptionareas and any “common areas” whichservice users may use as well as beingmade widely available to all staff.

• The complaints policy should be clearlyavailable through an easily accessedarea of the service provider’s website(where there is one) – ideally via a link onthe home page. The website and otherinformation material should include thename of the Complaints Officer andhis/her contact details.

• Service users should be assured thatmaking a complaint will not adverselyaffect their ongoing interaction with theservice provider.

• Information about improvements madefollowing previous complaints should bereadily available.

3. FRONTLINE RESOLUTIONThe service provider should seek to resolveservice users’ complaints as early aspossible and ideally, at the first point ofcontact. The stages in the complainthandling process should be kept to aminimum.


• The service provider should establishclear guidelines as to what type of issuesare suitable for frontline resolution.

• Staff members who are the subject of acomplaint should not handle or respondto the complaint.

• Frontline resolution should be completedwithin 5 working days.

• Complaints resolved at this stage shouldbe recorded by listing details of thecomplaint, the outcome and any actiontaken.

• Staff should advise service users thatthey can progress their complaint on tothe investigation stage if they are notsatisfied with the outcome followingattempts at frontline resolution.

4. INVESTIGATIONEvery complaint is different so the approachto investigating and resolving it will differdepending on the nature of the complaintand the issues raised. Investigations shouldbe conducted in a way that is proportionateto the nature and degree of seriousness ofthe complaint. However, all complaintsshould be thoroughly and objectivelyinvestigated.

• Senior management should establishclear guidelines to help identify the typesof issues appropriate to the investigationstage. These may include where:• Frontline resolution was attempted

but the service user remainsdissatisfied

• The service user refuses to engagewith the frontline resolution process

• The issues raised are complex andwill require detailed investigation

• The complaint relates to issues thathave been identified as serious orhigh risk

• A standard template for documenting acomplaint should be developed outliningthe nature of the complaint, the

preferred method of communication and the desired outcomes. All of theseshould be established and agreed by the service provider and service user atthe outset.

• Service users should have a single pointof contact for their complaint (usually theComplaints Officer).

• This person is responsible forestablishing what information is requiredand for gathering that information. Theyshould have a clear remit to investigateeffectively and be empowered to resolvecomplaints or have access to the personwho has the authority to do so.

• Service users should be provided withthe name and contact details of theperson dealing with their complaint assoon as possible.

• Staff members who are the subject ofthe complaint should not investigate the complaint.

• In some cases, serious complaints mayneed to be investigated by someoneindependent of the service provider.

• Complaints should be acknowledgedpromptly and within 5 working days fromdate of receipt.

• A full response to the complaint shouldissue within 30 working days of receipt.

• If, in exceptional circumstances, theresponse will be delayed, the serviceuser should be told of this within 30working days of receipt and should begiven a revised timescale for bringing theinvestigation to a conclusion as well asan explanation for the delay. An updateshould be provided every 20 workingdays thereafter.

5. RECORDING THE COMPLAINTA complaint can be an opportunity toincrease understanding of the service user’sperspective. It can also help to improve theservice offered. A “fit for purpose” systemfor capturing and recording complaint data


is therefore a vital element in any effectivecomplaint handling system.

• The service provider should maintain acomplaint file containing complete andaccurate records of all contact regardinga complaint and ensure that thisinformation is easily accessible.

• A complaint file should containinformation such as the service user’sdetails, the issues raised and the actiontaken. It should also contain, inchronological order, any correspondence(including emails) about the complaint,notes of meetings and telephone calls(both external and internal).

• The service provider should ensure thatthe complaint file is available for reviewby the Ombudsman, if required.

• The service provider should put in placea system to record all relevant dataabout a complaint after closing it. Thisshould include the category or nature ofthe complaint, action taken to resolvethe complaint, the outcome of thecomplaint and whether the service userwas satisfied with the outcome.

• Senior management should be providedwith regular reports on the number andtype of complaints received, theiroutcomes and any actions taken as aresult. Particular attention should bepaid to the narrative within complaintsdata as this can be used to improve anorganisation’s service and effectiveness.

• Where systemic improvements are put inplace arising from complaints all staffshould be duly notified and a record ofany changes should be available to allstaff on an on-going basis.

6. RESPONSEAll issues raised in the complaint must becomprehensively responded to. All pointsraised by the service user and agreed at thestart of the investigation should therefore be

properly considered and fully addressed inthe response. Any areas of disagreement orvarying accounts can be acknowledgedwithout dismissing what the service userhas said.

• The service provider’s decision must be formally communicated to thecomplainant using their preferred means of communication and confirmed in writing.

• Where an investigation identifies aservice failure and the service providerproposes to take action to resolve theissue, the response should includedetails of what will be done and when.

• In cases where a complaint is upheld,the appropriate Manager should ensurethat an action plan is drafted setting outhow the recommendations will beimplemented and who will beresponsible for implementing them.

• The response should tell the serviceuser about their right to complain to theOmbudsman (or the Ombudsman forChildren, where appropriate) if they aredissatisfied with the outcome of theircomplaint. Contact details for theOmbudsman (or the Ombudsman forChildren, where appropriate) should also be provided. The standard form of words provided by the Ombudsmanshould be used.

7. REDRESSA good complaints process should offer a range of timely and appropriate remedies to those service users who have a justifiedcomplaint. The service provider should bewilling and able to offer suitable redresswhich meets the needs of the particularcomplainant.

• The service provider should have a clearpolicy on redress

• Appropriate redress could include:


• A sincere and meaningful apology• An explanation• Correcting the error• Financial redress

• Where service failings have beenidentified, the service provider shouldattempt, if possible, to put the serviceuser back in the position they were inbefore the error occurred. If this isnot possible, then other forms ofredress need to be considered suchas providing an explanation or anapology.

For more information on redress, includingadvice on providing an apology, see “TheOmbudsman’s Guide to the Provision ofRedress”.

8. ANONYMOUS COMPLAINTSAn organisation that values all complaintsshould also treat anonymous complaintsseriously and take action to consider them,wherever this is appropriate.

• Anonymous complaints should beconsidered where there is sufficientinformation provided to enable theservice provider to investigate the case.

• Where there is not sufficient informationprovided, the service provider may decideto take no further action but shouldrecord the complaint in any event in caseit becomes clear that action is requiredat a later date.

9. MANAGING UNACCEPTABLEBEHAVIOURA service user’s behaviour should not beregarded as unacceptable just because theyare forceful or determined. In addition,service users who display difficult behaviourmay still have a legitimate complaint and theservice provider must therefore treat allcomplaints seriously. Very few people

complain to cause trouble.

• If a service user’s behaviour causes aproblem, they should be clearly told whatthe unacceptable behaviour is and whatproblem it is causing.

• The service provider can take steps toprotect members of staff incircumstances where the behaviour ofservice users is unacceptable. This mayinclude informing the service user that adecision has been taken to restrict theiraccess and contact. In suchcircumstances, the service providershould provide a brief statement to theservice user outlining the reasons forthis.

10. STAFF TRAININGStaff should be empowered and trained todeal with complaints as they arise with theaim of resolving issues as early as possible.This training may be provided duringinduction.

• Staff at every level should be providedwith the appropriate skills and resourcesto deal with a complaint and should havea full understanding of the complaintspolicy.

• All staff should be able to direct thecomplainant to the Complaints Officerwhere appropriate.

• Specialist training should be provided forstaff who may have to deal with serviceusers who are vulnerable or haveparticular needs.


MODEL COMPLAINTSPOLICY

..... (name of service provider) ...........iscommitted to dealing effectively with anycomplaints you may have about our service.

If we got something wrong, we will apologiseand where possible we will try to put thingsright. We also aim to learn from our mistakesand use the information we gain to improve our services.

WHEN TO USE THIS POLICYWhen you complain to us, we will usuallyrespond in the way we explain below.Sometimes, you might be concerned aboutmatters that are not decided by us (examplesshould be given here) and we will then adviseyou about how to make your concerns known.

INFORMAL RESOLUTIONIf possible, we believe it is best to deal withthings as soon as possible and in the easiestand most direct way. If you have a complaint,raise it with the person you are dealing with. Heor she will try to resolve it for you there andthen. However, they may need time to look intoit (the maximum time to be inserted here is 5working days).

If there are any lessons to learn fromaddressing your complaint, the member of staffwill draw them to our attention. If the memberof staff can’t help, they will explain why and youcan then ask for your complaint to be formallyinvestigated.

HOW TO COMPLAIN FORMALLYYou can make a complaint in any of the waysbelow:

• You can ask for a copy of our complaint formfrom the person with whom you are already incontact.

• You can get in touch with our ComplaintsOfficer on tel............ if you want to make yourcomplaint over the phone.

• You can use the form on our website atwww.........(if applicable)

• You can e mail us at ........@........... • You can write a letter to us at the followingaddress ......................

We also aim to have complaint forms availableat all of our reception and common areas.Copies of this policy and the complaint form areavailable in (e.g.: large print, etc.)

WHAT SHOULD YOU INCLUDE IN YOURCOMPLAINT• Remember to state your name, address andtelephone number (and email, if applicable)and whether you are acting on behalf ofsomeone else

• Briefly describe what your complaint is aboutstating relevant dates and times, if applicable

• List your specific concerns starting with themost important concern

• Be clear about what you are hoping to achieve(for example an apology, explanation, etc.)

• State your preferred method ofcommunication

It will assist the Complaints Officer if extrainformation and/or copies of relevantdocuments are attached to your complaint.

DEALING WITH YOUR COMPLAINTWe will formally acknowledge your complaintwithin (the maximum time to be inserted hereis 5 working days) and let you know how weintend to deal with it.

We will ask you to tell us how you would like usto communicate with you and establish whetheryou have any particular requirements forexample, if you have language difficulties.

We will deal with your complaint in an open andhonest way.We will make sure that your interactions with us


in the future do not suffer just because you havemade a complaint.

If you are making a complaint on behalf ofsomebody else, we will need their agreement toyou acting on their behalf.

INVESTIGATIONWe will tell you who we have asked toinvestigate your complaint. If your complaint isstraightforward, we will usually ask somebodyfrom the service to look into it and get back toyou. In some cases, if the complaint is serious,we may ask someone from outside theorganisation to investigate.

We will set out to you our understanding of yourcomplaint and ask you to confirm that we havegot it right. We will also ask you to tell us whatoutcome you are hoping for.

The person looking at your complaint willusually need to see the files we hold relevant toyour complaint. If you don’t want this tohappen, it is important that you tell us.

If there is a simple solution to your problem, wemay ask you if you are happy to accept this.

We will aim to resolve concerns as quickly aspossible and expect to deal with the vastmajority within 30 working days (if appropriate,service providers may wish to insert a shortertimescale here.)

If your complaint is more complex we will:

• let you know within this time why we think itmay take longer to investigate

• tell you how long we expect it to take. • give you regular updates (the maximum timeto be inserted here is every 20 working days)on any progress made

The person who is investigating your concernswill aim first to establish the facts. The extent ofthis investigation will depend on how complex

and how serious the issues you have raised are.In complex cases, we will draw up aninvestigation plan.

In some instances, we may ask to meet you todiscuss your complaint. Occasionally, we mightsuggest mediation or another method to try toresolve disputes.

When investigating your complaint, we will look at relevant evidence. This could includefiles, notes of conversations, letters, emails orwhatever may be relevant to your complaint. If necessary, we will talk to the staff or othersinvolved and look at our policies and anyguidance.

OUTCOMEIf we formally investigate your complaint, wewill let you know what we have found in keepingwith your preferred form of communication.This could be by letter or email, for example. If necessary, we will produce a longer report.We will explain how and why we came to ourconclusions.

If we find that we got it wrong, we will tell youwhat and why it happened. If we find there is afault in our systems or the way we do things, wewill tell you what it is and how we plan tochange things to stop it happening again.

If we got it wrong, we will always apologise.

PUTTING THINGS RIGHTIf we didn’t do something well, we will aim toput it right. If you have lost out as a result of amistake on our part we will try to put you backin the position you would have been in if we hadgot it right.


OMBUDSMANIf we do not succeed in resolving yourcomplaint, you may complain to theOmbudsman (or Ombudsman for Children, ifappropriate). The Ombudsman is independentand can look into your complaint if you believethat you personally, or the person on whosebehalf you are complaining:

• have been treated unfairly or received a badservice through some failure on our part

• have been disadvantaged personally by aservice failure.

. The Ombudsman expects you to bring yourcomplaint to our attention first and to give us achance to put things right. You can contact theOmbudsman by:

• telephone: 01 6395600Lo-Call: 1890223030

• email: [email protected]• the website: www.ombudsman.ie• writing to: The Office of the Ombudsman 18 Lower Leeson Street Dublin 2

LEARNING LESSONSWe take your complaints seriously and try tolearn from any mistakes we have made. Oursenior management team (substitute ifnecessary) considers a summary of all complaints on a regular basis as well asdetails of any serious complaints.

Where there is a need for change, we willdevelop an action plan setting out what we willdo, who will do it and when we plan to do it by.We will let you know when changes we havepromised have been made.

WHAT IF YOU NEED HELPOur staff will aim to help you make yourcomplaint known to us. If you need extraassistance, we will try to put you in touch with

someone who can help. You may wish to contact(include examples of advocacy or supportservices appropriate to the service providerhere) who may be able to assist you.

WHAT WE EXPECT FROM YOUIn times of trouble or distress, some people mayact out of character. There may have beenupsetting or distressing circumstances leadingup to a complaint. We do not view behaviour asunacceptable just because someone is forcefulor determined.

We believe that all complainants have the rightto be heard, understood and respected.However, we also consider that our staff havethe same rights. We, therefore, expect you to bepolite and courteous in your dealings with us.We will not tolerate aggressive or abusivebehaviour, unreasonable demands orunreasonable persistence. (if applicable - Wehave a separate policy to manage situationswhere we find that someone’s actions areunacceptable).


A: Your details

Surname

Forename(s)

Title: Mr/Mrs/Miss/Ms/if other please state:

Address

Your email address

Daytime phone number

Mobile number

Please state by which of the above methods you would like us to contact you

Your requirementsIf our usual way of dealing with complaints is difficult for you, please tell us so that we can discusshow we might help you.

The person who experienced the problem should normally fill in this form. If you are filling this inon behalf of someone else, please fill in section B. Please note that before taking forward thecomplaint we will need to satisfy ourselves that you have the authority to act on behalf of the personconcerned.

B: Making a complaint on behalf of someone else: Their details

Their name in full

Their address

What is your relationship to them?

Why are you making a complaint on their behalf?

MODEL COMPLAINT FORM


C: About your complaint (Please continue your answers to the following questions on a separatesheet(s) if necessary)

What do you think we did wrong, or failed to do?

Describe how you personally or the person you are representing suffered or has been affected

What do you think should be done to put things right?

Have you already put your concern to the frontline staff responsible for delivering the service? If so,please give brief details of how and when you did so.

If you have any documents to support your concern/complaint, please attach them with this form.

Signature:

Date:

When you have completed this form, please send it to:

[Name (Complaints Officer)

[Address and other Contact Details]


NOTES

Published by the Office of the Ombudsman18 Lower Leeson StreetDublin 2

Telephone: 01 639 5600Lo-call: 1890 223 030Email: [email protected]: www.ombudsman.ieTwitter: @OfficeOmbudsman

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