Chapter 7: Complaints and retention of documents
Updated 5 June 2023
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Enquiries and complaints
7.01. You must have an appropriate and effective complaints process across your whole supply chain to resolve customers’ complaints. You must explain your complaints process to the participant in your first contact with them.
7.02. You should refer to the Complaint Resolution Core Briefing Pack for providers and the DWP Customer Charter when reviewing your processes.
7.03. If a customer is unhappy about the service they receive from you and raises a complaint, you should ensure that you follow each step of your process robustly in order to bring the complaint to a satisfactory conclusion.
7.04. After following all steps in your process you must include in your final response to the participant a standard text which signposts the customer to contact ICE should they wish to pursue their complaint. The text can be found in Annex E.
7.05. The Independent Case Examiner (ICE) will mediate between you and the customer to broker a resolution. If a resolution cannot be agreed between either party, ICE will ask to see the evidence. You must provide all the evidence which relate to the complaint. ICE will again attempt mediation between you and the customer (known as a ‘settlement’ if the evidence is needed to broker an agreement). If this cannot be achieved, ICE will undertake a full investigation of the complaint.
7.06. Please note that under normal circumstances, if a complaint is upheld against you at investigation stage, £5,000 is recovered from you to go towards funding the ICE service for provider complaints in the following year.
7.07. Further information on complaints procedures can be found in your contract and in chapter 2 of the generic guidance for DWP providers – Delivering DWP Provision.
Issues management
7.08. When you identify problems relating to any aspects of the services you deliver, you should resolve such problems in an appropriate manner.
7.09. You should report any proposed changes to the way in which your services are accessed or suggestions for improving the efficiency of the services provided to your Performance Manager in writing. Their approval is required prior to implementation.
Document security
7.10. Please refer to chapter 8 of the generic guidance for DWP providers – Information Security.
Document retention
7.11. You should keep and maintain for 6 years after the end of the contract period, (or as long as may be agreed) a full and accurate record of the contract including the services supplied under it, all expenditure reimbursed by the Department and all payments made by the department.
7.12. In respect of completed specified reports (Needs Assessment Referrals and Needs Assessment Reports) these can be retained for up to six months after payment is received at which point they can either be:
- securely destroyed and disposed of or
- anonymised and retained for up to 6 years
Providers can now find annexes A-E of the holistic assessments provider guidance on Jaggaer.