Complaints - Stage 6: Follow up complaint (REACH only)

• 6.1 Gather relevant information
• 6.2 Refer to Band 2 for decision as to follow-up
• 6.3 Inspector follow-up
• 6.4 Complaints Officer follow-up
• 6.5 Dutyholder response satisfactory
• 6.6 Dutyholder response unsatisfactory
• 6.7 No dutyholder response
• 6.8 Referral to inspector 
• 6.9 Review of follow-up
• 6.10 Further action in all cases

Step 6.1

For: Complaints Officer

Gather relevant information and contact the lead inspector / unit

Gather relevant information about the dutyholder by:

• checking COIN for details of the dutyholder
• if the dutyholder is registered on COIN, print off the details and determine who the lead inspector is
• if the dutyholder is not registered on COIN, obtain information felt to be relevant as appropriate (eg address and contact details, website address etc)
• if the dutyholder is not registered on COIN, but is a dutyholder HSE would ordinarily be the enforcing authority for, determine which area office and which group would be responsible

Contact the relevant field inspector / unit:

• where the dutyholder is already registered on COIN, contact the lead inspector to inform them the complaint has been made, and determine whether there are any relevant factors that would influence how the complaint investigation should be progressed
• where the dutyholder is not registered on COIN, but is a dutyholder HSE would ordinarily be the enforcing authority for, contact the relevant area office and group and pass on the dutyholder's details (note that the Complaints Officer should still create the company and site details on COIN in such cases, unless it is agreed otherwise)

Step 6.2

For: Complaints Officer and Band 2

Refer complaint to Band 2

Refer the complaint and the information gathered under step 2.1 to Band 2 for a decision as to who will follow it up

The decision as to whether the complaint should be followed up by a Complaints Officer or by an Inspector is a matter of discretion, though consideration should be given to the following matters where appropriate:

• the immediacy that action appears to be required
• the hazards presented by the substance in question and the risks resulting from the activities that are the subject of the complaint
• whether there is a risk of serious personal injury or serious harm to the environment
• whether there is an ongoing issue, eg formal enforcement action is underway with the dutyholder
• whether there is a previous history similar to the complaint, eg previous relevant advice has been given to the dutyholder, or there has been a previous complaint made relating to the dutyholder
• whether there are insufficient details to identify the dutyholder
• whether the complainant wishes their complaint to be non-disclosable
• the complaint is from another enforcing authority, UK Government Department or other such public authority, or their equivalents in other Member States
• the complaint does not meet the UK REACH CA's policy for follow-up or investigation

Step 6.3

For: Inspector

Inspector follow-up

If the complaint is to be followed up by an Inspector:

• inform the REACH Helpdesk about the complaint and the action taken so far
• follow the appropriate steps in the Investigation procedure, starting at the beginning of Stage 3: Prepare the investigation

Go to investigation procedure

Step 6.4

For: Complaints officer

Complaints Officer follow-up

If the complaint is to be followed up by a Complaints Officer

• seek a response from the dutyholder to the complaint, contacting them by the manner most appropriate for the circumstances (eg by telephone, letter, email etc)
• seek any relevant additional information from the dutyholder that the complainant was not able to provide (based on the questions in the prompt form/checklist )
• (for complaints that are disclosable) inform the dutyholder that the complainant will be informed of the outcome
• request confirmation of the dutyholder's response in writing
• inform the REACH Helpdesk about the complaint and the action taken so far

With all complaints (except where the dutyholder is not known)

• record timescales and deadlines set using the REACHCompliance MS Outlook Account calendar function
• record the action taken on COIN
• if the dutyholder is not on COIN, add them (use the 'Create company' and 'Create site' forms to obtain all relevant details)
• create a complaints case, add note(s) to the case and amend the relevant sections on the Primary page

Step 6.5

For: Band 2 and Complaints Officer

Is the dutyholder's response satisfactory?

If the response received from the dutyholder acknowledges the issue(s) raised and satisfactorily deals with the complaint (in the opinion of the Band 2), the Complaints Officer should:

• inform the complainant of the outcome
• retain any relevant written information received from the dutyholder
• record details of all the action taken and the outcome achieved
• update the details on the REACH Compliance MS Outlook Account

On COIN:

• add a note(s) to the Complaints case and close the case

Step 6.6

For: Band 2 and Complaints Officer

Is the dutyholder's response unsatisfactory?

If the response received from the dutyholder does not deal with the complaint satisfactorily (in the opinion of the Band 2), the Complaints Officer should:

• seek clarification from the dutyholder if necessary and record this action on COIN
• update the details on the REACHCompliance MS Outlook Account

If the response is still unsatisfactory (in the opinion of the Band 2), the Complaints Officer should:

• refer the complaint to an Inspector
• update the details on the REACH Compliance MS Outlook Account

On COIN:

• add a note to the Complaints case

Go to step 6.8

Step 6.7

For: Complaints Officer

Is there no response from the dutyholder?

If there has been no response from the dutyholder within 20 working days of the initial contact:

• attempt to contact the dutyholder again as soon as possible and record this action
• update the details on the REACH Compliance MS Outlook Account
• if there is still no response, refer the complaint to an Inspector

On COIN:

• add a note to the Complaints case

Step 6.8

For: Band 2, Inspector and Complaints Officer

Is Inspector action required to resolve the complaint?

Where a Complaints Officer has referred a complaint because:

• the dutyholder did not respond
• the dutyholder's response was inadequate
• the complainant was abusive or aggressive

The Band 2 should do one of the following:

• end action on the complaint, ensuring that the complainant is notified of the decision (unless the complaint is anonymous), and that this action and the decision itself, with the reasons, are recorded
• refer the complaint back to the Complaints Officer with instructions on what action to take
• refer the complaint to an Inspector to begin an investigation, and notify the Complaints Officer of this action.

On COIN

• ensure the complaints case is updated accordingly (either by adding appropriate notes and closing, or by amending the case status and re-assigning it to the investigating Inspector)

Step 6.9

For: Band 2 and Complaints Officer

Is the follow-up action due a review?

Review the progress of the complaint with the Complaints Officer at regular intervals to determine whether:

• the complaint is to be followed up any further, or
• the follow-up action should be now be concluded

Where the decision is to continue:

• the reason(s) for this must be recorded
• the complaint must be reviewed again regularly thereafter

Where it is decided that the Complaints Officer should not follow up any further:

• either end action on the complaint, ensuring the complainant is notified of the decision, and that this action and the decision itself, with the reasons, are recorded, or
• refer the complaint to an Inspector for investigation

On COIN:

• ensure the complaints case is updated accordingly (either by adding appropriate notes and closing, or by amending the case status and re-assigning it to the investigating Inspector)

Step 6.10

For: Inspector and Complaints Officer

Further action in all cases

Contact the relevant field inspector / unit:

• where HSE is ordinarily the enforcing authority for the dutyholder, contact the lead inspector to inform them of the outcome of the complaint follow up / investigation
• there is no need to contact the local field inspector where HSE is not ordinarily the enforcing authority for the dutyholder in question, although consideration should be given to the need to inform the relevant local authority in line with the guidance below

Consider whether it is necessary to pass details of the complaint and the action taken to any of the following:

• other UK REACH enforcing authorities (using the methods of communication outlined in the Memorandum of Understanding for the Enforcement of REACH)
• the Competent Authority or enforcing authorities of other Member States, in which case the information should be referred to the UK's representative on the REACH Forum for the Exchange of Information on Enforcement ('the Forum'), who should forward the information in the manner prescribed by the Forum, eg using the relevant electronic information exchange system etc.