Corporate and housing services complaint procedure

Appendix 1

1.1 Which is the correct complaints procedure  

 There are a number of complaint procedures used by the Authority. It is important that the complaint is dealt with in line with the correct procedure.  

 Complaints about services provided by the Council: this procedure. 

1.2 Exemptions 

The Authority will not take a blanket approach to excluding complaints or refusing to escalate a complaint through all stages of the complaint process; it will consider the individual circumstances of each complaint.  

This complaints procedure does not apply when: 

  • the person wishing to complain does not meet the requirements of ‘who can complain’
  • matters over one year old, unless there is good reason and will be at the discretion of the Authority’s Complaint Manager. For example, someone who has been unable to lodge their complaint earlier due to incapacity, or where new information has come to light which could have affected the original investigation
  • legal proceedings have started; typically defined as details of the claim, such as the Claim Form and Particulars of Claim, having been filed at court
  • complaints about the Authority’s policy*
  • where the same complaint has already been dealt with at all Stages of this procedure and/or by the Local Government or Housing Ombudsman
  • the complaint is unclear, frivolous, or vexatious
  • matters which should be dealt with under other proceedings, e.g.
  • disciplinary proceedings**
  • complaints from staff about personnel issues
  • services for which alternative statutory appeals process already exists,  

including the statutory ‘social services’ complaints procedures. 

* The Authority’s Policy includes decisions formally agreed by a Committee, Cabinet or Council. This might extend to incorporate formally approved procedures and well-established custom and practice but there will be a requirement on a person seeking to rely on this exception to demonstrate, possibly ultimately to the Local Government and Social Care or Housing Ombudsman, that the issues should be deemed as being The Authority’s Policy.  

Complaints about policy may be ‘investigated’ at Stage One and relevant Elected Members will be advised by the Customer First Manager but no further action is taken within these procedures. 

Complaints can be accepted if they relate to the interpretation and / or application of policy.  

** Complaints are treated as being about quality of service, not an individual employee or employees. Staff can be named in complaints as most of the Authority’s services are provided by its staff. However, the complaints procedure is not a disciplinary tool. Complaints will only be referred for consideration under the separate disciplinary procedures where gross misconduct is alleged; or other serious issues appear to have occurred; or where the individuals have live warnings of a relevant nature. Such referrals shall be made at the discretion of the relevant service manager who will advise the member of staff accordingly. In such circumstance the complaint, or relevant element of complaint, will not be considered further under these procedures and the complainant will be informed accordingly.  

In the event that a complaint is not accepted at any Stage, a detailed explanation is provided to the person wishing to complain, setting out the reasons why the matter is not suitable for the complaints process or the next Stage and their right to refer that decision to the relevant Ombudsman. If the Ombudsman does not agree that the exclusion has been fairly applied, the Ombudsman may tell the Authority to take on the complaint.  

1.3 Anonymous complaints 

Anonymous complaints will be recorded within the procedure and examined at Stage One. Relevant service management will have discretion to decide what action it should take. The fact that the complaint is from an anonymous source will not justify a decision not to examine the matter, nor will it rule out referral to other procedures as appropriate.  

1.4 Offensive complaints  

A complaint is considered offensive if it includes comments (including swearing) which are of a derogatory, discriminatory, or offensive in nature. The complaint will be referred to the Customer First Manager who will determine the appropriate response. A distinction will be drawn between the above and a statement made in good faith. For example, a customer might allege a member of staff swore at them and when the customer repeats back what was said to them, or what they heard a member of staff say, they must give this detail as part of making their complaint.  

1.5 Persistent complainants  

There may be an occasion where a complainant will persist in their cause, often following multiple routes (corporate complaint, Chief Executive or Director of Service, Councillor or MP, Advocate, Freedom of Information, Subject Access Requests, and social media). All potentially persistent complaints will be considered, but if the substance of the complaint is the same as the previously determined one, and there are no new issues presented, then the Service Manager and / or Customer First Manager will consider applying the Managing Unreasonable Behaviour Policy. 

1.6 Insurance claims  

The Authority will not investigate a complaint if the issue is something that should be dealt with as an insurance claim against the Authority.  Where this is the case, the customer will be advised of this decision and the reasons for it.