6. Complaints stages

Stage 1

6.1  Organisations should have processes in place to consider which complaints can be responded to as early as possible, and which require further  consideration. Organisations should consider factors such as the complexity of the complaint and whether the individual is vulnerable or at risk. Most stage 1 complaints can be resolved promptly, and an explanation, apology or resolution provided to the individual.

6.2  Complaints should be acknowledged, and logged at stage 1 of the complaints procedure within five working days of the complaint being received.  

6.3  Organisations should provide a full response to stage 1 complaints within 10 working days of the complaint being acknowledged.

6.4  Organisations should decide whether an extension to this timescale is needed when considering the complexity of the complaint and then inform individuals of the expected timescale for response. Any extension should be no more than 10 working days without good reason, and the reason(s) should be clearly explained to the individual.

6.5  When an organisation informs an individual about an extension to these timescales, they should be provided with the details of the relevant Ombudsman.

6.6  A complaint response should be provided to the individual when the answer to the complaint is known, not when the outstanding actions required to address the issue are completed. Outstanding actions should still be tracked and actioned promptly with appropriate updates provided to the individual.  

6.7  Organisations should address all points raised in the complaint and provide clear reasons for any decisions, referencing the relevant policy, law and good practice where appropriate. Organisations should be clear which aspects of the complaint they are, and are not, responsible for and clarify any areas where this is not clear.

6.8  At the conclusion of stage 1 organisations should provide details of how to escalate the matter to stage 2 if the individual is not satisfied with the response.

6.9  Where individuals raise additional complaints during stage 1, these should be incorporated into the stage 1 response if they are related, and the stage 1 response has not been provided. Where the stage 1 response has been provided, the new issues are unrelated to the issues already being considered, or it would unreasonably delay the response, the new issues should be logged as a new complaint.

6.10  Organisations should have systems in place to ensure that a complaint can be remedied at any stage of its complaints process. Individuals should not have  to escalate a complaint in order to get an appropriate remedy.

Stage 2

6.11  If all or part of the complaint is not resolved to the individual’s satisfaction at stage 1, it should be progressed to stage 2 of the organisation’s procedure. Stage 2 is the organisation’s final response.

6.12  Requests for stage 2 should be acknowledged and logged at stage 2 of the complaints procedure within five working days of the escalation request being received. Within the acknowledgement, organisations should set out their understanding of any outstanding issues and the outcomes the individual is seeking. If any aspect of the complaint is unclear, the individual should be asked for clarification.

6.13  Individuals should not be required to explain their reasons for requesting a stage 2 consideration. Organisations should make reasonable efforts to understand why an individual remains unhappy as part of its stage 2 response.

6.14  The person considering the complaint at stage 2 should not be the same person that considered the complaint at stage 1.

6.15  Organisations should issue a final response to the stage 2 within 20 working days of the complaint being acknowledged.

6.16  Organisations should decide whether an extension to this timescale is needed when considering the complexity of the complaint and then inform individuals of the expected timescale for response. Any extension should be no more than 20 working days without good reason, and the reason(s) should be clearly explained to the individual.

6.17  When an organisation informs an individual about an extension to these timescales they should be provided with the details of the relevant Ombudsman. 

6.18  Organisations should confirm the following in writing to the individual at the completion of stage 2 in clear, plain language:

• the complaint stage;
• the organisation’s understanding of the complaint;
• the decision on the complaint;
• the reasons for any decisions made;
• the details of any remedy offered to put things right;
• details of any outstanding actions; and
• details of how to escalate the matter to the Ombudsman if the individual remains dissatisfied.

6.19  Stage 2 should be the organisation’s final response and should involve all suitable staff members needed to issue such a response.

6.20  A process with more than two stages will make the complaint process unduly long and delay access to the relevant Ombudsman. A process with a single stage means the organisation may lack the ability to check its response before an individual comes to the Ombudsman.

6.21  Where an organisation’s complaint response is handled by a third party (e.g. a contractor) or independent adjudicator at any stage, it should form part of the two stage complaints process set out in this Code. Individuals should not be expected to go through two complaints processes.

6.22  Organisations are responsible for ensuring that any third parties handle complaints in line with the Code.