Illustration of document titled complaints procedure being reviewed

Complaints Procedure: Purpose and Overview

This complaints procedure sets out the framework for receiving, assessing and resolving concerns raised by any person who wishes to make a complaint. The aim of the complaint handling procedure is to ensure that matters are dealt with fairly, consistently and promptly. It explains the scope of the complaints policy, the stages of the complaint process, and the principles that guide investigations. This document is intended to provide clarity about how complaints are managed while protecting the rights of all parties involved.

Scope and applicability

The complaints policy applies to interactions and decisions connected with the organisation’s services, conduct of staff or procedures. A complaint can include any expression of dissatisfaction about actions, omissions or standards. The complaint process covers concerns that fall within the organisation’s remit and excludes matters better suited to other procedures (for example contractual disputes or criminal allegations that require separate handling). The policy is applied in an objective manner to all submissions.

Graphic representing principles of fairness and transparency in complaint handling

Core principles

The complaints handling procedure is guided by key principles: fairness, accessibility, transparency and proportionality. Complainants should receive an acknowledgement, an assessment of the issue, and a clear outcome. Investigations are conducted impartially and decisions are based on documented findings. Measures are taken to prevent conflicts of interest, and reasonable adjustments are made to ensure access for those with specific needs.

Commitments and standards

Timeliness: Complaints are acknowledged promptly and handled within published timeframes.
Impartial investigation: Allegations are examined without bias, using relevant evidence.
Proportionate response: Remedies reflect the nature and severity of the issue.
Confidentiality: Personal information is treated securely and only shared where necessary.

These commitments ensure that the complaint process operates consistently and that outcomes are recorded for learning and improvement.

Image showing submission of a complaint with supporting documents

How to submit a complaint

To make a complaint under this complaints procedure, provide a clear description of the issue, relevant dates, and any supporting documents or references. Where possible, the complainant should indicate the desired outcome or remedy. The organisation encourages the use of plain language and requests that correspondence remains respectful. Anonymous reports can be considered but may limit the ability to fully investigate or implement corrective action.

Acknowledgement and initial assessment

Upon receipt, complaints are logged and an initial assessment determines jurisdiction, urgency and any immediate actions needed to safeguard people or services. This stage identifies whether the matter can be resolved informally or requires a formal investigation under the complaints policy. The complainant is informed of the next steps and expected timelines for resolution.

Investigation and resolution

Investigations follow the defined complaint handling procedure and may include interviews, document review and analysis of relevant communications. Investigating officers gather evidence impartially and prepare a report summarising findings and recommended remedies. Outcomes can include corrective measures, process changes or other proportionate responses designed to address the issue. Where a complaint is upheld or partially upheld, actions are tracked to completion.

Visual indicating escalation and review process within a complaints policy

Escalation, review and appeals

If a complainant is not satisfied with the outcome under this complaints procedure, there is a right to request an internal review or escalation in accordance with the escalation rules set out in the policy. Reviews are conducted by a different officer or panel to ensure independence. Timeframes for escalation requests are specified to promote finality and the effective resolution of disputes. External independent review may be available where appropriate and consistent with applicable law.

Chart showing record keeping and monitoring of complaints

Record keeping, monitoring and continuous improvement

Records of complaints, investigations and outcomes are maintained securely and retained as required by applicable retention policies. Aggregated, anonymised data is used to monitor trends, identify systemic issues and inform training or process improvements. Regular reviews of the complaints policy and complaint handling practice ensure the procedure remains effective and aligned with best practice. Training for staff who handle complaints supports consistent implementation and fosters a culture of learning.

Closure and publication

Once actions arising from a complaint are completed, the case is closed and the complainant is notified of the outcome and any remedies undertaken. The organisation may publish anonymised summaries or periodic reports about complaint trends to increase transparency and accountability. The complaints policy is reviewed periodically to incorporate lessons learned and to ensure the complaint process remains accessible, fair and robust.