Appendices

Appendix 1: A summary of Principles of Good Complaint Handling

The Parliamentary and Health Service Ombudsman, Principles of Good Complaint Handling (2008), p. 1

These Principles are not a checklist to be applied mechanically

  1. Getting it right
  2. Being customer focused
  3. Being open and accountable
  4. Acting fairly and proportionately
  5. Putting things right
  6. Seeking continuous improvement.

These Principles are not a checklist to be applied mechanically. Public bodies should use their judgment in applying them to produce reasonable, fair and proportionate results in all the circumstances of the case. The Ombudsman will adopt a similar approach when considering the standard of complaint handling by public bodies in her jurisdiction. Parliamentary and Health Service Ombudsman (the Principles series of booklets are essential reading for anyone involved in complaints handling).

Appendix 2: How the complaints system works

Please see DH, Listening, Responding, Improving: A Guide to Better Customer Care (26 February 2009) p. 23.
 

Appendix 3: The Risk Assessment Matrix

 
Step 1: Decide how serious the issue is

Seriousness

Description
Low Unsatisfactory service or experience not directly related to care. No impact or risk to provision of care.
OR
Unsatisfactory service or experience related to care, usually a single resolvable issue. Minimal impact and relative minimal risk to the provision of care or the service. No real risk of litigation.
 
Medium Service or experience below reasonable expectations in several ways, but not causing lasting problems. Has potential to impact on service provision. Some potential for litigation.
 
High Significant issues regarding standards, quality of care and safeguarding of or denial of rights. Complaints with clear quality assurance or risk management issues that may cause lasting problems for the organisation, and so require investigation. Possibility of litigation and adverse local publicity.
OR
Serious issues that may cause long-term damage, such as grossly substandard care, professional misconduct or death. Will require immediate and in-depth investigation. May involve serious safety issues. A high probability of litigation and strong possibility of adverse national publicity.

  

Step 2: Decide how likely the issue is to recur

Likelihood

Description
Rare Isolated or 'one off' - slight or vague connection to service provision.
Unlikely Rare - unusual but may have happened before.
Possible Happens from time to time - not frequently or regularly.
Likely Will probably occur several times a year.
Almost certain Recurring and frequent, predictable.

 
Step 3: Categorise the risk
 

Find out more here: Department of Health, Listening, Responding, Improving – A Guide to Better Customer Care (26 February 2009), pp. 17—18.

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