A proportionate approach 

When considering complaints, complaint handlers should focus on the following questions:

• What, if anything, has gone wrong?
• What was the impact on the person complaining or the wider public?
• What action should be taken to put things right?

These points do not need to be answered sequentially. For example, a good complaints system focuses on outcomes people are seeking. Complaint handlers should look for opportunities to resolve complaints without the need for a detailed investigation. This saves time and resources for both the organisation and the complainant.

Early resolution

If a complaint can be resolved without the need for a detailed investigation, and the complainant agrees with the proposed action, the complaint handler should consider closing the complaint on that basis. The complaint handler should still signpost to the next stage of the process or the Ombudsman (whichever is appropriate). This provides the complainant with an opportunity to raise a complaint if any agreed action is not completed as expected or they later change their mind about the resolution offered.

However, organisations should not seek to resolve complaints by providing services the complainant is not entitled to, or by providing financial remedies without justification.

The only exception to this approach is where a complaint is being investigated at stage 2 of the statutory children’s complaints process. The statutory process requires an investigation of the complaint. However, if there is an opportunity to resolve the complaint without a detailed investigation and the complainant, council and independent person agree with the proposed outcome it may be expedient to close the complaint on that basis.

Considering the impact on the individual and the public

Understanding the potential impact of alleged fault on the complainant or the wider public helps inform the level of resource necessary to respond to a complaint. Not all complaints require a detailed investigation. Where there is very little impact on the complainant or the wider public it may be appropriate to respond to a complaint with an explanation of the relevant law and the organisation’s standard processes unless there is any clear fault that can be quickly addressed.

Considering the extent of the alleged fault

It may be disproportionate to carry out a detailed investigation into complaints about minor faults. In these cases complaint handlers may wish to thank the complainant for highlighting the issue and pass this on to the relevant service area as feedback. The complainant should still be signposted to the next stage of the complaint process.

By taking this approach, complaint handlers can ensure they are focusing their resources on addressing complaints about matters which have the greatest impact on individuals and the wider public.