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stages. The complainant should be invited to attend a meeting with a senior member of the organisation who is involved in the Stage 1 review to explore their concerns in order to agree the heads of the complaint and to explain the next steps, as well as expected timeframes. The meeting may be face to face, or
via phone or video conference/online if the complainant prefers and a written summary should be provided to the complainant within five working days. It is important that the heads of the complaint are agreed before proceeding with the investigation. Complaint handlers should use appropriate language and avoid jargon or technical language.
The investigation will involve reviewing
all the correspondence and clinical records, records of meeting(s) with the complainant, and statements provided by clinicians and others involved, as well as summarising the actions to be taken and learning points.
Written consent should be obtained from the patient where the complaint is being made by someone else on their behalf
or where the handling of the complaint requires disclosure of confidential information to another party. Complaint handlers should be open and transparent in accordance with duty of candour
and explain whether an independent investigation/opinion is required. Written statements should be obtained from staff. All details of the complaint and its investigation must be kept confidentially. Complaint handlers should arrange for any outstanding amounts to be put on hold and ensure that no referral to debt collector agencies is made while the complaints process is ongoing.
What should be included in a single full written response at Stage 1?
The Stage 1 response should be appropriate and professional, providing a sincere, empathetic apology for the patient’s experience in clear language from a senior member of staff. The following should be included:
• Summary of the agreed heads of the complaint.
• Summary of the process of the investigation.
• Findings of the investigation including a summary of statements of responses.
• Response to the findings, acknowledging what went wrong.
• Consideration of the impact on the complainant.
• An explanation of the reasons for shortcomings where appropriate.
• Learning from the findings.
• Any actions taken as a result. • Any remedy offered.
• Detailed signposting to the next stage of the complaints process, including how to escalate to Stage 2 in writing within six months of the final response.
REFERENCES
• IDF Handbook
• ISCAS Code for Practice Complaints Management October 2021
• ISCAS patient guide for making complaints
• ISCAS guidance for managing unacceptable behaviour by complainants
• ISCAS Goodwill Payments Guide
The written response should be provided within twenty days. If this is not possible then a written update should be provided at a minimum every twenty days to explain the reasons for the delay. The aim should be to complete Stage 1 within three months. Remedies by complaint handlers may include making a financial gesture of goodwill where appropriate, which can be offered in such a way as
to be in full and final settlement of the complaint.
It is important to note that, should a complaint be escalated to Stage 2, the Stage 2 review will include a full review of the Stage 1 response to the complaint, so handling the complaint correctly and in line with the ISCAS Code at Stage 1
is vital. ISCAS has a Goodwill Payments Guide which can be used by the IDF at Stage 2 (and also ISCAS at Stage 3) to decide upon the circumstances in which a goodwill payment should be awarded and the amount to be awarded. It should be noted that all areas of the Goodwill Payments matrix are considered equally and the majority of these relate to the handling of the complaint at Stage 1. It is therefore paramount that complaint handling at Stage 1 fully meets the expectations of the ISCAS Code.
Dr Alexandra Harkins
MA MBBS MRCGP DRCOG DCH DFSRH PGCE
Responsible Officer IDF E: revalidation@idf.co.uk
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