Section 2 Agreeing the Complaint Best Practice 1 Good Practice 2 Sub-standard 3 Mark / N/A Comments 2.1 Consent Appropriate consent obtained and clearly recorded (easily identified) in the file before any confidential information is shared Appropriate consent obtained and recorded in the file. Consent not obtained or inadequately recorded 2.2 Jurisdiction Any limitation on the issues that can be considered clearly identified and explained to the complainant at the earliest opportunity and any alternative process clearly signposted Limitations on issues that can be considered identified and explained to the complainant. Any alternative process clearly signposted Limitations on issues that can be considered not identified and/or not explained to the complainant. Alternative routes not signposted 2.3 Timebar Time bar issues identified and evidence of consideration given on file. A detailed explanation and details of any right of appeal have been given to the complainant Possible time bar issues identified and noted (to complainant as appropriate) No consideration given to a possible/ actual time bar issue 2.4 Outcomes Identified Complainant asked for outcomes being sought. Expectations managed appropriately and achievable outcomes discussed Complainant’s desired outcomes noted and/ or requested No discussion of or reference to achievable outcomes
2.5 Expectation Management All issues or outcomes which cannot be dealt with / achieved are clearly identified and evidence of consideration given is held on file. A detailed explanation and details of any right of appeal have been given to the complainant The key issues or outcomes which cannot be dealt with / achieved have been identified and explained. Details of any right of appeal given to the complainant There is little or no mention or explanation for issues or outcomes which cannot be achieved or any right of appeal 2.6 Personalised Contacts Contacts made according to identified wishes of complainant and in a personalised way – both verbally and in writing (if complainant wishes) Contacts made according to identified wishes of complainant Little or no attempt to identify or make contacts according to wishes of complainant Section 3 Investigation Best Practice 1 Good Practice 2 Sub-standard 3 Mark / N/A Comments 3.1 Evidence: Availability and accessibility Evidence relied on in reaching a decision is clearly identified and recorded, and can be located easily Evidence relied on in reaching a decision is contained in the file but requires detailed searching Evidence relied on in reaching a decision not clearly available or documented 3.2 Evidence: Balance Information has been gathered from the The complainants views have been considered Little or no attempt has been made to find
complainant / that supports the complainants views as well as from / on behalf of the organisation alongside the views of the organisation information in support of differing views 3.3 Evidence: Relevant Standards Any policy, guidance, law or other standard directly relevant to the service concerned has been clearly identified and taken into account Some relevant policy, guidance, law or other standard has been identified and taken into account Little or no reference has been made to relevant policy, guidance, law or other standard 3.4 Evidence: Bias The investigation is demonstrably free from any apparent or actual bias There is no indication of actual or apparent bias in the investigation There is evidence of a possible or actual bias (conscious or otherwise) in the investigation Section 4 Decision Best Practice 1 Good Practice 2 Sub-standard 3 Mark / N/A Comments 4.1 Tone of Explanation Is the explanation customer focussed? Does it show understanding of the impact of the issues on the complainant? (irrespective of Demonstrates understanding of the impact of each issue on the complainant. Uses a personalised approach. Explains agreement and disagreement with the complainant with equal Makes some attempt to acknowledge feelings and impact but uses clichés or standard phrases rather than personalised approach No attempt to reflect the views of the complainant and may even seek to direct blame at them for this or other issues
whether 'fault' identified) clarity 4.2 Clear and logical explanation The document structure clearly highlights relevant information relied on in making the decision and uses this to explain the conclusions reached All information relevant to the decision is included in the document with a broad link to the conclusions reached Little or limited information relevant to the decision is included and a broad link made to the decision reached 4.3 Breadth of Explanation Every issue raised (including those already dealt with) is clearly identified The main substantive issues are identified Some issues are responded to but there is a lack of clarity in the structure and/ or incomplete coverage of the main points raised 4.4 Quality of Explanation Every issue raised is clearly responded to here or reference made to information provided in previous communications for example telephone calls or meetings The main substantive issues raised are clearly responded to. Limited responses to the issues raised 4.5 Decision Is it clear what decision has been reached? Decisions are clearly identifiable and identified as such within the document even when reading quickly Decisions are clear when the document is read in detail (slowly and carefully) Decisions are not clear 4.6 Accuracy 100% accuracy of dates, references, spelling, grammar Several minor errors but no substantial errors. (A substantial One or more substantial errors. (A substantial error is one
error is one which impacts on the accuracy of the explanation or is on a point of sensitivity for example spelling of a name, key date) which impacts on the accuracy of the explanation or is on a point of sensitivity for example spelling of a name, key date) 4.7 Use of Language Uses plain English throughout. All technical terms are clearly explained and used only as necessary. Personalised approach with no unnecessary use of standard phrases. Tone and approach of the document are appropriate to the complainant's communication style and preferences Uses mainly plain English. Key technical terms are explained. Personalised approach. Tone and approach of the document are appropriate to the complainant's communication style and preferences Little or no use of plain English. Technical terms are used without explanation. OR No personalised approach. OR Unnecessary use of standard phrases. OR Tone and approach of the document not appropriate to the complainant's communication style and preferences 4.8 Apology (if applicable) The apology is clear, personalised and comprehensive. It avoids clichés, attributing blame or making excuses (no 'ifs' no 'buts'!). It is linked to the action plan or offers an explanation as to why further remedy is not possible There is a clear original apology for the problems identified. It avoids clichés, attributing blame or making excuses (no 'ifs' no 'buts'!) There is an apology but this relies on standard phrases and/or attributes blame to the complainant (I am sorry 'if' you felt …) or makes excuses (I am sorry 'but' …) OR There is no apology for errors identified
4.9 Next Steps Clear and complete reference to the next steps (internal and external) open to the complainant on every aspect of their complaint. Clear indications of where there are no further steps available and why Reference to the next steps open to the complainant (internal and external) on every aspect of their complaint is present within the document Limited, inaccurate or no reference to further steps open to the complainant Section 5 Learning Best Practice 1 Good Practice 2 Sub-standard 3 Mark / N/A Comments 5.1 Action taken to address problems for the future and prevent possible reoccurrence or escalation of problems Action plan on file. Evidence of follow-up and completion (if appropriate). Evidence of wider learning. Evidence of feedback to complainant Action Plan on file and evidence of action to complete Action plan on file but no follow-up to check completion OR no Action Plan where there is indication of further action being needed Section 6 File Management Best Practice 1 Good Practice 2 Sub-standard 3 Mark / N/A Comments 6.1 Case File All relevant documents are on file or clearly linked directly from the All relevant documents are on file or clearly linked directly from the Limited documentation on file or referred to. Drafts or personal