QuEST
Quality Enhancement Support Team
UWS Complaints
Handling Procedure
Part 3: The Complaints
Handling Process
The Process
Guidance on handling a complaint through stages 1 and 2,
and dealing with post-closure contact.
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Contents
The complaints handling process 4
Resolving the complaint 6
What to do when you receive a complaint 7
Stage 1: Frontline response 8
Notifying sta members involved 8
Timelines 8
Extension to the timeline 8
Closing the complaint at the frontline response stage 9
Stage 2: Investigation 10
Acknowledging the complaint 10
Agreeing the points of complaint and outcome sought 10
Notifying sta members involved 11
Investigating the complaint 12
Alternative complaint resolution approaches 12
Meeting with the complainant during the investigation 13
Timelines 13
Extension to the timeline 13
Closing the complaint at the investigation stage 14
Signposting to the SPSO 15
Post-closure contact 16
Appendix 1 - Timelines 17
Appendix 2 - The complaint handling process 19
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The complaints handling process
Our Complaints Handling Procedure (CHP) aims to provide a quick, simple and streamlined
process for responding to complaints early and locally by capable, well-trained sta. Where
possible, we will resolve the complaint to the complainant’s satisfaction. Where this is not
possible, we will give the complainant a clear and reasoned response to their complaint.
Complaint received
A person may complain either verbally or in writing, including
face-to-face, by phone, letter or email. (see Stage 1).
Complaint resolution
The complainant and UWS agree what action will be taken to
resolve the complaint.
Where a complaint is resolved, it is not usually necessary to
continue investigating, although we may choose to do so, for
example to identify learning.
We must signpost the complainant to the next stage of the CHP
or to the SPSO as usual.
Stage 1: Frontline response
For issues that are straightforward and simple, requiring little or no
investigation. ‘On-the-spot’ apology, explanation, or other action
to put the matter right.
Complaint resolved or a response provided in five working days or
less (unless there are exceptional circumstances).
Complaints addressed by any member of sta, or alternatively
referred to the appropriate point for frontline response.
Response normally face-to-face or by telephone (though
sometimes we will need to put the decision in writing). (See page
6: Resolution section).
We will tell the complainant how to escalate their complaint to
stage 2 (see Stage 2).
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Stage 2: Investigation
Where the complainant is not satisfied with the frontline response,
or refuses to engage at the frontline, or where the complaint is
complex, serious or ‘high-risk’.
Complaint acknowledged within three working days.
We will contact the complainant to clarify the points of complaint
and outcome sought (where these are already clear, we will
confirm them in the acknowledgement).
Complaint resolved or a definitive response provided within 20
working days following a thorough investigation of the points
raised.
Reporting, recording and learning
Action is taken to improve services on the basis of complaint
findings, where appropriate.
We record details of all complaints, the outcome and any action
taken, and use this data to analyse themes and trends.
Senior management have an active interest in complaints and
use complaints data and analysis to improve services.
Learning is shared throughout the Institution.
Independent external review (SPSO)
Where the complainant is not satisfied with the stage 2 response
from the service provider.
The SPSO will assess whether there is evidence of service failure or
maladministration not identified by the service provider.
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Resolving the complaint
A complaint is resolved when both UWS and the complainant agree what action (if any) will
be taken to provide full and final resolution for the complainant, without making a decision
about whether the complaint is upheld or not upheld.
We will try to resolve complaints wherever possible, although we accept this will not be
possible in all cases.
A complaint may be resolved at any point in the complaint handling process, including during
the investigation stage. It is particularly important to try to resolve complaints where there is
an ongoing relationship with the complainant or where the complaint relates to an ongoing
issue that may give rise to future complaints if the matter is not fully resolved.
It may be helpful to use alternative complaint resolution approaches when trying to resolve a
complaint. See page 12: Alternative complaint resolution approaches.
Where a complaint is resolved, we do not normally need to continue looking into it or provide
a response on all points of complaint. There must be a clear record of how the complaint
was resolved, what action was agreed, and the complainant’s agreement to this as a final
outcome. In some cases, it may still be appropriate to continue looking into the issue, for
example where there is evidence of a wider problem or potential for useful learning. We will
use our professional judgement in deciding whether it is appropriate to continue looking into
a complaint that is resolved.
In all cases, we must record the complaint outcome (resolved) and any action taken and
signpost the complainant to stage 2 (for stage 1 complaints) or to the SPSO as usual (see
Signposting to the SPSO).
If the complainant and the University are not able to agree a resolution, we must follow this
CHP to provide a clear and reasoned response to each of the issues raised.
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What to do when you receive a complaint
Members of sta receiving a complaint should consider four key questions. This will help them
to either respond to the complaint quickly (at stage 1) or determine whether the complaint is
more suitable for stage 2:
What exactly is the complaint (or complaints)?
It is important to be clear exactly what the complaint is about. We may need to ask the
complainant for more information and probe further to get a full understanding.
We will need to decide whether the issue can be defined as a complaint and whether there
are circumstances that may limit our ability to respond to the complaint (such as the time
limit for making complaints, confidentiality, anonymity or the need for consent). We should
also consider whether the complaint is serious, high-risk or high-profile.
If the matter is not suitable for handling as a complaint, we will explain this to the
complainant (and signpost them to SPSO). There is detailed guidance on this step in PART 2:
When to use this procedure.
In most cases, this step will be straightforward. If it is not, the complaint may need to be
handled immediately at stage 2 (see Stage 2: Investigation).
What does the complainant want to achieve by complaining?
At the outset, we will clarify the outcome the complainant wants. Of course, the complainant
may not be clear about this, and we may need to probe further to find out what they expect,
and whether they can be satisfied.
Can I achieve this, or explain why not?
1. If a sta member handling a complaint can achieve the expected outcome, for example
by providing an on-the-spot apology or explain why they cannot achieve it, they should
do so.
2. The complainant may expect more than we can provide. If so, we will tell them as soon as
possible.
Complaints which can be resolved or responded to quickly should be managed at stage 1
(see Stage 1: Frontline response).
If I cannot respond, who can help?
3. If the complaint is simple and straightforward, but the sta member receiving the
complaint cannot deal with it because, for example, they are unfamiliar with the issues or
area of service involved, they should pass the complaint to someone who can respond
quickly. (Ensuring that the sta member has appropriate training in e.g harassment, to
deal with the complaint).
4. If it is not a simple and straightforward complaint that can realistically be closed within five
working days (or ten, if an extension is appropriate), it should be handled immediately at stage
2. If the complainant refuses to engage at stage 1, insisting that they want their complaint
investigated, it should be handled immediately at stage 2. (See Stage 2: Investigation).
If you have any questions regarding the Complaints Handling Procedure, you should email
complaints@uws.ac.uk
Stage 1: Frontline response
Frontline response aims to respond quickly (within five working days) to straightforward
complaints that require little or no investigation.
Any member of sta may deal with complaints at this stage (including the sta member
complained about, for example with an explanation or apology). The main principle is
to respond to complaints at the earliest opportunity and as close to the point of service
delivery as possible.
We may respond to the complaint by providing an on-the-spot apology where
appropriate, or explaining why the issue occurred and, where possible, what will be done
to stop this happening again. We may also explain that, as an organisation that values
complaints, we may use the information given when we review service standards in the
future. If we consider an apology is appropriate, we may wish to follow the SPSO guidance
on apology.
Complaints which are not suitable for frontline response should be identified early and
handled immediately at stage 2: investigation.
Notifying sta members involved
If the complaint is about the actions of another sta member, the complaint should be shared
with them, where possible, before responding (although this should not prevent us responding
to the complaint quickly, for example where it is clear that an apology is warranted).
Timelines
Frontline response must be completed within five working days, although in practice we
would often expect to respond to the complaint much sooner. ‘Day one’ is always the
date of receipt of the complaint (or the next working day if the complaint is received on a
weekend or public holiday). Academic holidays should be counted as normal working days
(except for weekends or public holidays).
Complaints received after 5pm on a working day will be recorded as the date of the next
working day. If received on a Saturday or Sunday, they will be recorded as the date of the
following Monday (or, if this falls on a Bank Holiday, the next working day).
Extension to the timeline
In exceptional circumstances, a short extension of time may be necessary due to
unforeseen circumstances (such as the availability of a key sta member). Extensions must
be agreed with an appropriate manager. We will tell the complainant about the reasons for
the extension, and when they can expect a response. The maximum extension that can be
granted is five working days (that is, no more than ten working days in total from the date
of receipt).
If a complaint will take more than five working days to look into, it should be handled at
stage 2 immediately. The only exception to this is where the complaint is simple and could
normally be handled within five working days, but it is not possible to begin immediately (for
example, due to the absence of a key sta member). In such cases, the complaint may still
be handled at stage 1 if it is clear that it can be handled within the extended timeframe of
up to ten working days.
If a complaint has not been closed within ten working days, it should be escalated to stage
2 for a final response. Appendix 1 provides further information on timelines.
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Closing the complaint at the frontline response stage
If we convey the decision face-to-face or on the telephone, we are not required to write to
the complainant as well (although we may choose to). We must:
• tell the complainant the outcome of the complaint (whether it is resolved, upheld,
partially upheld or not upheld)
• explain the reasons for our decision (or the agreed action taken to resolve the
complaint; See page 6: Resolving the complaint); and
• explain that the complainant can escalate the complaint to stage 2 if they remain
dissatisfied and how to do so (we should not signpost to the SPSO until the complainant
has completed stage 2).
We will keep a full and accurate record of the decision given to the complainant. If we are
not able to contact the complainant by phone, or speak to them in person, we will provide
a written response to the complaint where an email or postal address is provided, covering
the points above.
If the complaint is about the actions of a particular sta member/s, we will share with them
any part of the complaint response which relates to them, (unless there are compelling
reasons not to).
The complaint should then be closed, and the complaints system updated accordingly.
At the earliest opportunity after the closure of the complaint, the sta member handling the
complaint should consider whether any learning has been identified. See PART 4: Learning
from complaints.
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Stage 2: Investigation
Not all complaints are suitable for frontline response and not all complaints will be
satisfactorily addressed at that stage. Stage 2 is appropriate where:
• the complainant is dissatisfied with the frontline response or refuses to engage at the
frontline stage, insisting they wish their complaint to be investigated. Unless exceptional
circumstances apply, the complainant must escalate the complaint within six months
of when they first knew of the problem or within two months of the stage 1 response,
whichever is later (See PART 2: Time limits for making a complaint)
• the complaint is not simple and straightforward (for example where the complainant has
raised a number of issues, or where information from several sources is needed before we
can establish what happened and/or what should have happened); or
• the complaint relates to serious, high-risk or high-profile issues (See PART 2: Serious, high-
risk or high-profile complaints).
An investigation aims to explore the complaint in more depth and establish all the relevant
facts. The aim is to resolve the complaint where possible, or to give the complainant a full,
objective and proportionate response that represents our final position. Wherever possible,
complaints should be investigated by someone not involved in the complaint (for example, a
line manager or a manager from a dierent area).
Details of the complaint must be recorded on the complaints system. Where appropriate,
this will be done as a continuation of frontline response. If the investigation stage follows a
frontline response, the ocer responsible for the investigation should have access to all case
notes and associated information.
The beginning of stage 2 is a good time to consider whether complaint resolution
approaches other than investigation may be helpful (See page 12: Alternative complaint
resolution approaches section).
Acknowledging the complaint
Complaints must be acknowledged within three working days of receipt at stage 2.
We must issue the acknowledgement in a format which is accessible to the complainant,
taking into account their preferred method of contact.
Where the points of complaint and expected outcomes are clear from the complaint, we
must set these out in the acknowledgement and ask the complainant to get in touch with us
immediately if they disagree. See Agreeing the points of complaint and outcome sought.
Where the points of complaint and expected outcomes are not clear, we must tell the
complainant we will contact them to discuss this.
Agreeing the points of complaint and outcome sought
It is important to be clear from the start of stage 2 about the points of complaint to be
investigated and what outcome the complainant is seeking. We may also need to manage
the complainant’s expectations about the scope of our investigation.
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Where the points of complaint and outcome sought are clear, we can confirm our
understanding of these with the complainant when acknowledging the complaint (see
Acknowledging the complaint).
Where the points of complaint and outcome sought are not clear, we must contact the
complainant to confirm these. We will normally need to speak to the complainant (by phone
or face-to-face) to do this eectively. In some cases, it may be possible to clarify complaints
in writing. The key point is that we need to be sure we and the complainant have a shared
understanding of the complaint. When contacting the complainant, we will be respectful of
their stated preferred method of contact. We should keep a clear record of any discussion
with the complainant.
In all cases, we must have a clear shared understanding of:
What are the points of complaint to be investigated?
While the complaint may appear to be clear, agreeing the points of complaint at the
outset ensures there is a shared understanding and avoids the complaint changing or
confusion arising at a later stage. The points of complaint should be specific enough to
direct the investigation, but broad enough to include any multiple and specific points of
concern about the same issue.
We will make every eort to agree the points of complaint with the complainant
(alternative complaint resolution approaches may be helpful at this stage). In very
rare cases, it may not be possible to agree the points of complaint (for example, if the
complainant insists on an unreasonably large number of complaints being separately
investigated, or on framing their complaint in an abusive way). We will manage any such
cases in accordance with our Acceptable Behaviour Guidance, bearing in mind that we
should continue to investigate the complaint (as we understand it) wherever possible.
Is there anything we can’t consider under the CHP?
We must explain if there are any points that are not suitable for handling under the CHP
(See PART 2: What to do if the CHP does not apply).
What outcome does the complainant want to achieve?
Asking what outcome the complainant is seeking helps direct the investigation and
enables us to focus on resolving the complaint where possible.
Are the complainant’s expectations realistic and achievable?
It may be that the complainant expects more than we can provide or has unrealistic
expectations about the scope of the investigation. If so, we should make this clear to
the complainant as soon as possible.
Notifying sta members involved
If the complaint is about the actions of a particular sta member/s, we will notify the sta
member/s involved (including where the sta member is not named but can be identified
from the complaint). We will:
• share the complaint information with the sta member/s (unless there are compelling
reasons not to);
• advise them how the complaint will be handled, how they will be kept updated and how
we will share the complaint response with them;
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• discuss their willingness to engage with alternative complaint resolution approaches
(where applicable); and
• signpost the sta member/s to a contact person who can provide support and
information on what to expect from the complaint process (this must not be the person
investigating or signing o the complaint response).
If it is likely that internal disciplinary processes may be involved, the requirements of that
process should also be met. See PART 2: Complaints and disciplinary or whistleblowing
processes.
Investigating the complaint
It is important to plan the investigation before beginning. The sta member investigating the
complaint should consider what information they have and what they need about:
• what happened? (this could include, for example, records of phone calls or meetings,
work requests, recollections of sta members or internal emails);
• what should have happened? (this should include any relevant policies or procedures that
apply); and
• is there a dierence between what happened and what should have happened, and is
UWS responsible?
In some cases, information may not be readily available. We will balance the need for the
information against the resources required to obtain it, taking into account the seriousness
of the issue (for example, it may be appropriate to contact a former employee, if possible,
where they hold key information about a serious complaint).
If we need to share information within or outwith the Institution, we will be mindful of our
obligations under data protection legislation. See PART 1: Maintaining confidentiality and
data protection.
The SPSO has resources for conducting investigations, including:
• Investigation plan template
• Decision-making tool for complaint investigators
Alternative complaint resolution approaches
Some complex complaints, or complaints where complainants and other interested parties
have become entrenched in their position, may require a dierent approach to resolving
the matter. Where we think it is appropriate, we may use alternative complaint resolution
approaches such as complaint resolution discussions, mediation or conciliation to try to
resolve the matter and to reduce the risk of the complaint escalating further. If mediation is
attempted, a suitably trained and qualified mediator should be used. Alternative complaint
resolution approaches may help both parties to understand what has caused the complaint,
and so are more likely to lead to mutually satisfactory solutions.
Alternative complaint resolution approaches may be used to resolve the complaint entirely,
or to support one part of the process, such as understanding the complaint, or exploring the
complainant’s desired outcome.
The SPSO has guidance on alternative complaint resolution approaches.
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If UWS and the complainant (and any sta members involved) agree to using alternative
complaint resolution approaches, it is likely that an extension to the timeline will need to be
agreed. This should not discourage the use of these approaches.
UWS Mediation Service
UWS has a Mediation Service which is available to all sta and students. Mediation is a
voluntary form of early dispute resolution. It involves an independent third party, a Mediator,
supporting two individuals in dispute to discuss the issue and agree on a solution. It is
completely voluntary, and everything discussed in mediation is kept confidential. You can find
more about the service on the Mediation Service website.
Meeting with the complainant during the investigation
To eectively investigate the complaint, it may be necessary to arrange a meeting with the
complainant. Where a meeting takes place, we will always be mindful of the requirement
to investigate complaints (including holding any meetings) within 20 working days wherever
possible. Where there are diculties arranging a meeting, this may provide grounds for
extending the timeframe.
As a matter of good practice, a written record of the meeting should be completed and
provided to the complainant. Alternatively, and by agreement with the person making the
complaint, we may provide a record of the meeting in another format. We will notify the
person making the complaint of the timescale within which we expect to provide the record
of the meeting.
Timelines
The following deadlines are appropriate to cases at the investigation stage (counting
day one as the day of receipt, or the next working day if the complaint was received on a
weekend or public holiday). Academic holidays should be counted as normal working days
(except for weekends or public holidays).
• Complaints must be acknowledged within 3 working days.
• a full response to the complaint should be provided as soon as possible but not later than
20 working days from the time the complaint was received for investigation.
Complaints received after 5pm on a working day, will be recorded as the date of the next
working day. If received on a Saturday or Sunday, they will be recorded as the date of the
following Monday (or, if this falls on a Bank Holiday, the next working day).
Extension to the timeline
Not all investigations will be able to meet this deadline. For example, some complaints are
so complex that they require careful consideration and detailed investigation beyond the
20-working day timeline. It is important to be realistic and clear with the complainant about
timeframes, and to advise them early if we think it will not be possible to meet the 20-day
timeframe, and why. We should bear in mind that extended delays may have a detrimental
eect on the complainant.
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Any extension must be approved by an appropriate manager. We will keep the complainant
and any member/s of sta complained about updated on the reason for the delay and
give them a revised timescale for completion. We will contact the complainant and any
member/s of sta complained about at least once every 20 working days to update them
on the progress of the investigation.
The reasons for an extension might include the following:
• essential accounts or statements, crucial to establishing the circumstances of the case,
are needed from sta or others but the person is not available because of long-term
sickness or leave;
• we cannot obtain further essential information within normal timescales; or
• the complainant has agreed to alternative complaint resolution approaches as a
potential route for resolution.
These are only a few examples, and we will judge the matter in relation to each complaint.
However, an extension would be the exception.
• Appendix 1 provides further information on timelines.
Closing the complaint at the investigation stage
The response to the complaint should be in writing (or by the complainant’s preferred method
of contact) and must be signed o by a manager or ocer who is empowered to provide the
final response on behalf of UWS.
We will tell the complainant the outcome of the complaint (whether it is resolved, upheld,
partially upheld or not upheld). The quality of the complaint response is very important and in
terms of good practice should:
• be clear and easy to understand, written in a way that is person-centred and non-
confrontational;
• avoid technical terms, but where these must be used, an explanation of the term should
be provided;
• address all the issues raised and demonstrate that each element has been fully and fairly
investigated;
• include an apology where things have gone wrong (this is dierent to an expression of
empathy: see the SPSO’s guidance on apology);
• highlight any area of disagreement and explain why no further action can be taken;
• indicate that a named member of sta is available to clarify any aspect of the letter; and
• indicate that if they are not satisfied with the outcome of the local process, they may
seek a review by the SPSO (see Signposting to the SPSO).
Where a complaint has been resolved, the response does not need to provide a decision on
all points of complaint but should instead confirm the resolution agreed. See page 6: Resolving the
complaint.
If the complaint is about the actions of a particular sta member/s, we will share with them
any part of the complaint response which relates to them, (unless there are compelling
reasons not to).
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We will record the decision, and details of how it was communicated to the complainant, on
the complaints system.
The SPSO has guidance on responding to a complaint:
• Complaint Decision Letter Template
• Apology guidance
At the earliest opportunity after the closure of the complaint, the sta member handling the
complaint should consider whether any learning has been identified. See PART 4: Learning
from complaints.
Signposting to the SPSO
Once the investigation stage has been completed, the complainant has the right to
approach the SPSO if they remain dissatisfied. We must make clear to the complainant:
• their right to ask the SPSO to consider the complaint;
• the time limit for doing so; and
• how to contact the SPSO.
The SPSO considers complaints from people who remain dissatisfied at the conclusion of our
complaints procedure. The SPSO looks at issues such as service failure and maladministration
(administrative fault), and the way we have handled the complaint. There are some subject
areas that are outwith the SPSO’s jurisdiction, but it is the SPSO’s role to determine whether
an individual complaint is one that they can consider (and to what extent). All investigation
responses must signpost to the SPSO.
The SPSO recommends that we use the wording below to inform complainants of their right
to ask the SPSO to consider the complaint. This information should only be included on [the
institution’s] final response to the complaint.
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Information about the SPSO
The Scottish Public Services Ombudsman (SPSO) is the final stage for complaints about
public services in Scotland. This includes complaints about The Scottish Higher Education
Sector. The SPSO is an independent organisation that investigates complaints. It is not
an advocacy or support service (but there are other organisations who can help you with
advocacy or support).
If you remain dissatisfied when you have had a final response from UWS, you can ask the
SPSO to look at your complaint. You can ask the SPSO to look at your complaint if:
• you have gone all the way through the UWS’s Complaints Handling Procedure
• it is less than 12 months after you became aware of the matter you want to complain
about, and
• the matter has not been (and is not being) considered in court.
The SPSO will ask you to complete a complaint form and provide a copy of this letter (our
final response to your complaint). You can do this online at www.spso.org.uk/complain or
call them on Freephone 0800 377 7330.
You may wish to get independent support or advocacy to help you progress your complaint.
Organisations who may be able to assist you are:
• Citizens Advice Scotland
• Scottish Independent Advocacy Alliance
The SPSO’s contact details are:
SPSO
Bridgeside House
99 McDonald Road
Edinburgh
EH7 4NS
(if you would like to visit in person, you must make an appointment first)
Their freepost address is:
FREEPOST SPSO
Freephone: 0800 377 7330
Online contact: www.spso.org.uk/contact-us
Website: www.spso.org.uk
Post-closure contact
If a complainant contacts us for clarification when they have received our final response, we
may have further discussion with the complainant to clarify our response and answer their
questions. However, if the complainant is dissatisfied with our response or does not accept
our findings, we will explain that we have already given them our final response on the matter
and signpost them to the SPSO.
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Appendix 1 - Timelines
General
References to timelines throughout the CHP relate to working days. We do not count non-
working days, for example weekends, public holidays and days of industrial action where our
service has been interrupted.
We do not count academic holidays as non-working days. Complaints received during
academic holidays should follow the same timelines as set out for frontline response and
investigation, unless there are special circumstances which would require an extension to
these timelines.
Complaints received after 5pm on a working day, will be recorded as the date of the next
working day. If received on a Saturday or Sunday, they will be recorded as the date of the
following Monday (or, if this falls on a Bank Holiday, the next working day).
Timelines at frontline response (stage 1)
We will aim to achieve frontline response within five working days. The date of receipt is day
one, and the response should be provided (or the complaint escalated) on day five, at the
latest.
If we have extended the timeline at the frontline response stage in line with the CHP, the
response should be provided (or the complaint escalated) on day ten, at the latest.
Transferring cases from frontline response to investigation
If the complainant wants to escalate the complaint to the investigation stage, the case must
be passed for investigation without delay. In practice this will mean on the same day that the
complainant is told this will happen.
Timelines at investigation (stage 2)
For complaints at the investigation stage, day one is:
• the day the case is transferred from the frontline stage to the investigation stage
• the day the complainant asks for an investigation or expresses dissatisfaction after a
decision at the frontline response stage; or
• the date we receive the complaint, if it is handled immediately at stage 2.
We must acknowledge the complaint within three working days of receipt at stage 2 i.e., by
day 3.
We should respond in full to the complaint by day 20, at the latest. We have 20 working
days to investigate the complaint, regardless of any time taken to consider it at the frontline
response stage.
Exceptionally, we may need longer than the 20-working day limit for a full response. If so,
we will explain the reasons to the complainant, and update them (and any sta involved) at
least once every 20 working days.
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Frequently asked questions
What happens if an extension is granted at stage 1, but then the complaint is escalated?
The extension at stage 1 does not aect the timeframes at stage 2. The stage 2
timeframes apply from the day the complaint was escalated (we have 20 working days
from this date, unless an extension is granted).
What happens if we cannot meet an extended timeframe?
If we cannot meet the extended timeframe at stage 1, the complaint should be
escalated to stage 2. The maximum timeframe allowed for a stage 1 response is ten
working days.
If we cannot meet the extended timeframe at stage 2, a further extension may be
approved by an appropriate manager if there are clear reasons for this. This should only
occur in exceptional circumstances (the original extension should allow sucient time
to realistically investigate and respond to the complaint). Where a further extension is
agreed, we should explain the situation to the complainant and give them a revised
timeframe for completion. We must update the complainant and any sta involved in
the investigation at least once every 20 working days.
What happens when a complainant asks for stage 2 consideration a long time after
receiving a frontline response?
Unless exceptional circumstances exist, complainants should bring a stage 2 complaint
within six months of learning about the problem, or within two months of receiving the
stage 1 response (whichever is latest). See PART 2: Time limits for making a complaint.
Appendix 2
The complaint handling process
A person may complain verbally or in writing, including face-to-face, by phone, letter or
email. Your first consideration is whether the complaint should be dealt with at stage 1
(frontline response) or stage 2 (investigation).
Stage 1: Frontline response
• Always try to respond quickly, wherever we can.
• Record the complaint and notify any sta complained about.
• Respond to the complaint within five working days unless there are exceptional
circumstance.
• Is the complainant satisfied?
• You must always tell the complainant how to escalate to stage 2.
• If Yes, record outcome and learning, and close complaint.
• Follow up on agreed actions flowing from the complaint - Share any learning points.
• If No refer to stage 2.
Stage 2: Investigation
• Investigate where: The complainant is dissatisfied with the frontline response or refuses to
engage with attempts to handle the complaint at stage 1. It is clear that the complaint
requires investigation from the outset.
• Record the complaint and notify any sta complained about. Acknowledge the
complaint within three working days.
• Contact the complainant to agree: Points of complaint; Outcome sought; Manage
expectations (where required) (these can be confirmed in the acknowledgement where
the complaint is straightforward).
• Respond to the complaint as soon as possible, but within 20 working days unless there is
a clear reason for extending the timescale.
• Communicate the decision, normally in writing. Signpost the complainant to SPSO and
advise of time limits.
• Record outcome and learning, and close complaint.
• Follow up on agreed actions flowing from the complaint - Share any learning points.
Page 19
Dre am.
Believe.
Achieve.
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