Effective behaviours in complaint handling

Complaint handlers may work in different services across organisations and complaint handling may not be part of their core role. Therefore, it is important for complaint handlers to understand what behaviours support effective complaint handling as these may differ from expected behaviours within their other duties.

The following behaviours are taken from the Ombudsman Association’s “Caseworker Competency Framework”. Complaint handlers may find these helpful in understanding behaviours that support effective complaint handling:

• Analytical: Looks at evidence from all parties with a critical eye and is able to break complex complaints down into manageable parts.
• Impactful: Is able to consider the wider impact of any fault or poor practice identified and make SMART recommendations for personal remedies and service improvements.
• Constructive: Looks for mutually beneficial solutions, even if the organisation is not at fault. Reaches sustainable decisions, taking into account their practical implications.
• Approachable: Uses plain language that is easy to understand and shows awareness of how an approach impacts on others and adapts accordingly.
• Open-minded: Acts with neutrality and objectivity and is willing to reconsider decisions in light of new information or ideas. Is able to make difficult or unpopular decisions when necessary.
• Professional: Acts in accordance with fundamental principles of public life (Nolan Principles) and treats colleagues and complainants with the same level of courtesy. 

These behaviours also support a rights-based approach to complaints which is set out later in this guide.

Complaint handlers should be familiar with local complaint processes, including details of the relevant “complaint manager” responsible for overseeing the end-to-end complaint process. Complaint handlers may not be directly line managed by the complaint manager so effective communication around standards and timescales for responding to complaints is an important part of a good complaint system. Complaint handlers should keep complaint managers regularly updated on progress of any complaint and advise them of any delays and the reasons for this.

Complaint handlers should also familiarise themselves with resources available within their organisation to support effective complaint handling. This may include casework management systems, template letters and standard paragraphs. Complaint handlers should also ensure they know how to access advice from colleagues, particularly when considering complaints about services they are unfamiliar with.