Complaints handling - best practice guidelines
The organisation(s)
Complaints should be handled expetitiously; notwithstanding this, some delay may be necessary to ensure that a complaint is handled properly, thoroughly and fairly.
At all times the complainant should be kept informed, preferably in writing, as to the progress of their complaint and what are the current and next stages of the complaints process.
Dr Foster Intelligence Limited is ("Dr Foster").
The Ethics Committee Limited is a company independent of Dr Foster Intelligence Limited but contracted to provide review and dispute resolution services pursuant to a Deed of Covenant ("the Ethics Committee")
When the complaint is made:
- all complaints should in the first instance be passed to the Ethics Committee Secretary for processing
- the Ethics Committee Secretary is to record the date the complaint is made
- the Ethics Committee Secretary is to open a complaint file
- the Ethics Committee Secretary will acknowledge the complaint in writing normally within 10 working days of receipt of the complaint and clarify the complainant's consent to the processing of any personal data.
- the Ethics Committee Secretary is to pass the complaint file to the Ethics Committee appointee in order for them to consider whether the complaint
- can be dealt with informally by Dr Foster Intelligence
- needs to be referred to the Ethics Committee
- the Ethics Committee appointee is to record their decision and reasons for it on the complaints file
If the complaint is to be dealt with internally:
- the Ethics Committee Appointee will inform the complainant, and pass to an employee of Dr Foster to act as Investigating Officer who will handle the complaint;
- the Investigating Officer should ensure that s/he understands the parameters of the complaint before commencing any investigations;
- the Investigating Officer should investigate the complaint (the nature of such investigations will depend entirely on the nature of the complaint);
- the Investigating Officer must keep notes of his investigations on the complaint file bearing in mind always the provisions of the Data Protection Act 1998;
- the Investigating Officer should prepare a short summary report of his investigations to be kept on the complaint file;
- within 28 working days from his/her receipt of the complaint, the Investigating Officer must revert to the complainant with either:
- an update on progress;
- preliminary findings;
- a decision;
- and a note of any such communications must be kept on the complaint file;
- regular updates must be made to the complainant until a decision is notified;
- decisions must be notified to the complainant and to the Ethics Committee in writing and a copy kept on the complaint file.
If the complaint is to be dealt with formally:
- the Ethics Committee Appointee is to pass the complaint file to the Secretary to the Ethics Committee;
- or in the alternative, if the complainant has bypassed the informal procedure and complained directly to the Secretary to the Ethics Committee and if a complaints file has not therefore been opened by Dr Foster, then the Secretary to the Ethics Committee must:
- record the date the complaint is made
- open a complaint file
- acknowledge the complaint in writing normally within 10 working days of receipt of the complaint (by whatever route it was received) and pass the complaint file to the Chair of the Ethics Committee;
- the Chair of the Ethics Committee is to appoint a Lead Committee Member who will take conduct of the complaint; the Chair may appoint himself as Lead Committee ;
- the Lead Committee Member should ensure that he understands the parameters of the complaint before commencing any investigations;
- the Lead Committee Member should investigate the complaint (the nature of such investigations will depend entirely on the nature of the complaint);
- the Lead Committee Member must keep notes of his investigations on the complaint file bearing in mind always the provisions of the Data Protection Act 1998;
- the Lead Committee Member should prepare a short summary report of his/her investigations to be kept on the complaint file;
- the Report of the Lead Committee Member will be presented to the Ethics Committee for its consideration;
- the Ethics Committee, or a Sub-Committee set up for this purpose, must decide whether it wishes to invite the complainant to a meeting to discuss the complaint in person;
- Should such a meeting be deemed necessary, then:
- in so far as is practicable, it should be convened at a date and time to be reasonably agreed with the complainant;
- the Committee, or a Sub-Committee, must write to the complainant and invite the complainant to a complaints meeting explaining why it considers a meeting to be appropriate or necessary and setting out its terms; for example, who will be convening and conducting the meeting and what format the meeting will take; the Complainant will be informed that the hearing will take place in their absence if they decide not to take up the invitation to attend.
- a note taker who is independent of the proceedings may be appointed by the Committee or Sub-Committee to take a minute of the meeting; the Committee or Sub-Committee may make a recording of the meeting if it thinks fit.
- the Committee, or a Sub-Committee, must decide whether further investigations are necessary;
- if further investigations are necessary, either the Lead Committee Member or a representative of those convening the complaint meeting must undertake them (as detailed above); the Lead Committee Member is not a voting member of the Committee or the Sub-Committee;
- if further investigations are not necessary the Committee, or a Sub-Committee, must make its decision;
- within 28 working days of receiving the complaint the Lead Committee Member and/or a representative of those convening the complaint meeting must write to the complainant with either:
- an update on progress;
- preliminary findings;
- a decision;
- and a note of any such communications must be kept on the complaint file;
- regular updates must be made to the complainant until a decision is notified;
- decisions must be notified to the complainant in writing and a copy kept on the complaint file.
The content of the decision letter
This should set out:
- the parameters of the complaint;
- the nature of the investigation and the identity of the Lead Committee Member;
- the identity of the Committee members who comprised any Sub-Committee set up;
- the decision and the reasons for it;
- what action will now be taken, if any - including, whether there is a recommendation
- confirmation of how the decision will be made public or communicated to others.
Supporting documents may be attached including any minute of any complaints hearing.