5. The complaint handling process

5.1  Organisations should have a single policy for dealing with complaints covered by the Code.

5.2  The early and local resolution of issues between organisations and individuals is key to effective complaint handling. Organisations should not have extra named stages (such as ‘stage 0’ or ‘informal complaint’) as this causes unnecessary confusion.

5.3  When an individual expresses dissatisfaction that could meet the criteria for a complaint as set out in section 1 of the Code, they should be given the opportunity to make a complaint. Organisations should recognise that individuals may be reluctant to raise complaints out of fear it may impact services they receive in future. .

5.4  The person responding to the complaint should:

• clarify with the individual any aspects of the complaint they are unclear about;
• deal with complaints on their merits, act independently, and have an open mind;
• give the individual a fair chance to set out their position;
• take measures to address any actual or perceived conflict of interest; and
• consider all relevant information and evidence carefully.

5.5  Where a response to a complaint will fall outside the timescales set out in this Code the organisation should inform the individual of when the response will be provided and the reason(s) for the delay.

5.6  Organisations must make reasonable adjustments for individuals where appropriate under the Equality Act 2010. Organisations should keep a record of any reasonable adjustments agreed. Any agreed reasonable adjustments should be kept under active review.

5.7  Organisations should not refuse to escalate a complaint through all stages of the complaints procedure unless there are valid reasons to do so. Organisations should clearly set out these reasons, and they should align with the approach to exclusions set out in section 2 of the Code.

5.8  A full record should be kept of the complaint, and the outcomes at each stage. This should include the original complaint and the date received, all correspondence with the individual, correspondence with other parties, and any relevant supporting documentation such as reports. This should be retained in line with the organisation’s data retention policies.

5.9  Organisations should have systems in place to ensure that a complaint can be remedied at any stage of its complaints process. Organisations should ensure that appropriate remedies can be provided at any stage of the complaints process without the need for escalation to stage 2 or the Ombudsman.

5.10  Organisations should have policies and procedures in place for managing unacceptable behaviour from individuals and/or their representatives. Organisations should be able to evidence reasons for putting any restrictions in place and should keep an individual’s restrictions under regular review.

5.11  Any restrictions placed on an individual’s contact due to unacceptable behaviour should be proportionate and demonstrate regard for the provisions of the Equality Act 2010.