Guidance

Annex E: checklist for responses (accessible version)

Updated 5 December 2024

Tick
Reference number, date of response, date of original complaint receipt and subject matter(s) of the complaint.  
Name and job title (plus postal address and e-mail/phone details) of the investigating officer, particularly if different from the signatory of the letter.  
Explanation of what the investigation involved (including the process that was followed such as interviews with staff or others, examination of CCTV footage and/or relevant records etc).  
A response to each element of the complaint in turn and, for each, whether it has been upheld (substantiated or partially substantiated) or not substantiated. Possible responses might include:

- an apology, where an issue might have been handled better

- recognition that even in cases where staff acted in a reasonable way, distress may have been caused

- clear reasons where complaint has not been substantiated.

An overall assessment of the complaint should also be provided (Unsubstantiated/Part-Substantiated/Substantiated) where a complaint involves various component parts with differing stated outcomes.
 
Outline actions which have or will be taken, where the complaint is Substantiated, to rectify the issue (eg. following loss of property), ensuring that lessons are learned and to help prevent a recurrence.

If a complaint has not been substantiated or is part-substantiated, but lessons can still be learned and actions will be taken, this should be explained.
 
An offer to the complainant to contact the respondent if they are unhappy with the response (particularly relevant where a complaint has not been substantiated).  
Service delivery and Minor Misconduct complaints: Details of the escalation and appeal process to the Independent Examiner of Complaints (IEC).  

Serious misconduct complaints: Details of the appeal process to the Prisons and Probation Ombudsman (PPO). | | | For non-detention immigration complaints explain that the escalation process is to the Parliamentary and Health Services Ombudsman, via a Member of Parliament (MP). | | | Include a copy of the complaints handling feedback form and ask for it to be completed and placed in the yellow complaints box. Make clear that the reason complainants are being asked to do this is to help the Home Office to monitor and improve the complaints handling process, rather than attempt to reopen the complaint consideration. | | | All responses should be written in plain English to enable ease of comprehension. | | | — | — |