JTW-JME-06
Justice, Trade & Work
Justice & Market Ethics
CORE
Excellence
v2.9.7
Code-compliant complaints policy; learning log published
Assesses whether the organization has a complaints policy compliant with recognized codes (e.g., ISO 10002; Housing Ombudsman Code; Charity Commission guidance) and publishes a log of lessons learned. The policy must include a triage decision tree distinguishing: (1) service complaints, (2) safeguarding/SEA/PSEA allegations (immediate referral to DSL), and (3) whistleblowing/protected disclosures. The public learning log must be aggregate and anonymised to demonstrate transparency while protecting privacy. Where legal or safeguarding constraints apply, publish aggregated thematic learning only.
Assessment Questions
- Does the organization have a documented complaints policy with a broad definition of 'complaint'?
- Show the triage decision tree: how are safeguarding/PSEA and whistleblowing matters distinguished from service complaints?
- How does the policy demonstrate compliance with a recognized external code (e.g., ISO 10002, Housing Ombudsman)?
- What conflict-of-interest checks are performed at Stage 1 and Stage 2, and where are they recorded?
- Is there a structured 'lessons learned' register with owners and due dates? (Show evidence)
- Does the organization publish its anonymised learning log quarterly/biannually? (Show website)
- What is the anonymisation standard used to protect privacy before publication?
- How are reasonable adjustments provided for complainants (Equality Act compliance)?
- What triggers a Charity Commission serious incident report (SIR) or regulator notification?
- What anti‑retaliation measures protect complainants and staff?
- Is there an independent Stage 2 review? Who conducts it (demonstrate independence)?
- What external escalation routes are signposted (e.g., Ombudsman, ICO, Fundraising Regulator)?
- Do you conduct and publish an annual self‑assessment against the chosen code?
Evidence Requirements
- The official Complaints Policy document with triage decision tree.
- Redaction/anonymisation checklist and a sample signed-off publication extract.
- The internal complaints register and structured lessons/actions register.
- Stage 2 independence evidence: reviewer appointment, conflict declaration, and template decision letter.
- Board/Audit Committee minutes showing review of complaints trends and learning log.
- Published anonymised learning log (link/screenshot) showing quarterly/biannual updates.
- Annual complaints performance report and code self-assessment.
- Privacy Notice covering complaints handling.
- Risk register entries linked to complaint themes and SIR triggers.
- Public webpage screenshots showing process, accessibility info, and external signposting.
Scoring Guidelines
| Level | Rating | Description |
|---|---|---|
| 5 | 5/5 | Policy exceeds code (e.g., trauma-informed, measurable targets), public anonymised lessons log published quarterly, and demonstrably used to drive improvements. |
| 4 | 4/5 | Policy code-compliant; internal lessons/actions register actively maintained with owners/due dates; annual report published. |
| 3 | 3/5 | Policy code-compliant; complaints recorded with outcomes but analysis is ad-hoc; no structured 'lessons/actions' register. |
| 2 | 2/5 | Policy exists but not code-compliant; inconsistent logging; no learning log. |
| 1 | 1/5 | No documented complaints policy. |
Discussion (1)
Administrator
2026-03-07 11:07:55.205348
📋 **Version updated: 1.0.0 → 2.9.7** **Changes:** Updated islamic_references from mizan-297.json
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