CALDERDALE MBC
WARDS AFFECTED: ALL
5
GOVERNANCE AND BUSINESS COMMITTEE
24th March 2014
SINGLE STAGE COMPLAINTS PROCESS
Report of the Head of Customer Services
1.
Purpose of Report
To ask Members to approve the proposed Single Stage Complaints Process detailed in
this report.
2.
Background
2.1
Complaints about the Council are currently dealt with in three ways:

The Councils Corporate Complaints Policy;

Adult Health and Social Care Complaints Policy;

Statutory procedures for complaints regarding Children and Young Peoples
Service.
2.2
This report details a proposal for dealing with complaints currently dealt with under the
Corporate Complaints Policy.
2.3
These policies currently allow complainants three opportunities to have their complaint
resolved by the Council, with a final right to have their complaint considered by the
Local Government Ombudsman.
2.4
The proposal is to introduce a single stage complaints process, meaning that
complainants will have one response from the Council, with the right of appeal to the
Ombudsman remaining.
2.5
Complaints Process for Children and Young Peoples Service and Adult Health and
Social Care will remain the same.
3.
Current 3 Stage Process
3.1
Stage 1 – Complaint is dealt with by first line manager in service area being complained
about. If customer is not happy with response received they can escalate to Stage 2.
Stage 2 – Complaint is investigated by a manager independent of the service area
being complained about. Investigation report and draft response is reviewed by Head of
Service. Response is sent out by Head of Service. If customer is not happy with
response received they can escalate to Stage 3.
Stage 3 – Complaint is investigated by the Complaints Team or Senior Manager
independent of the Directorate. Investigation report and draft response is reviewed by
relevant Director. Response is sent out by Director. Customer is advised that they can
escalate complaint to Local Government Ombudsman.
3.2
Having a three stage process means that customers can exercise their right to a review
of their complaint even when the outcome is unlikely to change. This is a costly and
inefficient process.
3.3
Currently each Directorate has a Complaints Administrator who logs all complaints on
the Corporate Feedback System and who chases up responses from officers within
their Directorate. A variety of staff from administrators to senior managers undertake
this role and advise that an average of 2-3 hours per week is spent dealing with
complaint logging and monitoring. This equates to approximately 12-18 hours per
week. It is proposed that this work will be undertaken by the Complaints Team under
the new Single Stage Process. It is not proposed that resource currently used within
Directorates will be transferred to the Complaints Team. Thus releasing additional
support within Directorates.
4.
Proposed Single Stage Process
4.1
It is important that we always aim to get things right first time. However when we don’t
we need to acknowledge this and work quickly to put things right. The one stage
process will provide a consistent corporate method for investigating and responding to
complaints.
4.2
Complaints will be categorised based on their seriousness and likelihood of recurrence.
4.3
Complaints will then be allocated to either a manager in the relevant service area, Head
of Service or Director for a response.
4.4
Based on an analysis of complaints received in 2012/13 it is estimated that under this
proposal 79.3% of complaints would be resolved at service level, with 17.3% being
resolved following independent investigation on behalf of the relevant Head of Service
and 3.4% being resolved following independent investigation on behalf of the relevant
Director.
4.5
Adopting a single stage complaints process will result in approximately 20% less
investigations taking place (based on 2012/13 data).
4.6
A comprehensive training programme will be delivered to all staff who will be
investigating and drafting complaints responses. This will ensure that we are able to
effectively resolve complaints at the first point of contact. This will be simpler for
customers and more cost effective for the Council.
4.7
Full details of the proposed Single Stage Complaints Process are available in the
document attached at Appendix 1.
5.
Consultation
5.1
Consultation with existing Directorate Complaints Administrators has taken place.
5.2
An Equality Impact Assessment has been conducted.
5.3
Consultation with each Directorate Management Team has taken place.
5.4
Consultation with the talkback panel has taken place. Between 84 and 92 % of the
people who responded advised that the guidance explained clearly how to make a
complaint, who can and cannot make a claim and what a customer can do if they are
dissatisfied with the way a complaint has been dealt with. They also stated that the
guidance reassures customers that their concerns will be treated seriously.
5.5
Consultation with customers via established equality forums has taken place.
No negative feedback has been received in relation to the proposal.
6.
Matters for Consideration
6.1
Members are asked to consider the report and approve the single stage complaints
process.
7.
Financial Implications
The cost of administering the Single Stage Complaints Process will be met by existing
budgets.
8.
Corporate Implications
This proposal directly contributes to the following Population Outcome:
Use of Resources – ensuring that resources are allocated and used efficiently and
effectively in order to meet the Council’s priorities
9.
Recommendation
The Committee is asked to approve the proposals in this report and detailed in
Appendix 1.
Head of Customer Services
For further information on this report contact:
Sarah Richardson, Customer Access Manager. Telephone 01422 288094
Documents used in preparation of report:
Corporate Complaints Policy
Adult Health and Social Care Complaints Policy
Children and Young Peoples Complaints Policy
The documents are available for inspection at:
Halifax Customer First, Horton Street, Halifax, HX1 1QE
Appendix 1
Single Stage
Corporate Complaints
Procedure
Draft – SR4
10th February 2014
Contents
1.
Purpose of the Guide
2.
Aims of the Single Stage Corporate Complaints Procedure
3.
What is covered by the Single Stage Corporate Complaints Procedure
4.
What is not covered by the Single Stage Corporate Complaints Procedure
5.
Complaint Handling Procedure
6.
Investigation Process
7.
Equality & Diversity
8. The Local Government Ombudsman
1. Purpose of the Guide
This guide explains how the Single Stage Corporate Complaints Procedure works to staff who
receive and/or deal with customer feedback.
The Single Stage Procedure means that the customer only has one opportunity to raise their
dissatisfaction with us. It is therefore crucial that we act quickly and put things right for the
customer where we have got things wrong.
2. Aims of the Single Stage Corporate Complaints Procedure
The aim of the procedure is to provide a consistent, corporate method for dealing with and
responding to complaints.
The key aim for all complaints is to act quickly to put things right for the customer where we
have got things wrong.
The procedure is intended to be:

Easy to use

Designed to give customers an opportunity to tell us when things have gone
wrong

Designed to ensure complaints are dealt with at an appropriate level, offering
resolution within specific timescales

Independent – all complaints which are dealt with through this procedure will be
investigated by a person other than the officer whose actions or decision is being
complained about.

Objective – investigating officer will examine all relevant evidence and if required
an officer from outside the service area will investigate.

Confidential – the customer’s privacy will be protected.
Customers should always be encouraged to contact the service involved in the first instance to
allow them an opportunity to put things right, before a formal complaint is made. If customers
don’t want to do this, or the complaint is of a serious nature then the single stage corporate
complaints procedure should be followed.
3. What will be dealt with by the Single Stage Corporate Complaints Procedure
Complaints about most Council services which relate to:







A failure to provide a service
A failure to provide a service at the level or standard you would reasonably expect
The unhelpful attitude of a Council employee
A failure to follow the policies and procedures of the Council
A failure to consider all relevant information in reaching a decision
A failure to inform people of their rights
A failure to provide information or the right information in a timely manner
4. What will not be dealt with by the Single Stage Corporate Complaints Procedure
The Single Stage Corporate Complaints Procedure does not cover:















Complaints relating to schools or Children’s Social Care.
Complaints about Adult Social Care services
Complaints about elected Members or services commissioned on behalf of the Council.
Matters where there is a right of appeal, for example, where there is an appeal process
within the Council or to an independent tribunal, or a legal remedy.
Requests for services or reporting a problem or defect: for example, reporting a faulty
street light. Such requests will be passed to the relevant service for action
Requests for information regarding, or explanations of, Council policy or practice.
Requests that fall under the Data Protection Act, Freedom of Information Act,
Environmental Information Regulations or which are covered by any other legislation.
A complaint relating to a claim under public liability insurance.
A complaint that has been withdrawn by the complainant, unless we decide that there is
merit in pursuing the complaint, e.g., to identify any lessons learnt
A complaint that repeats or is substantially the same as a complaint made by the same
individual that has previously been considered through the complaints procedure
A complaint that is being or has previously been investigated by the Local Government
Ombudsman
A complaint that is unclear
A complaint that has formally been considered vexatious or unreasonably persistent by the
Complaints Team Manager or the head of the service being complained about.
The subject of complaint relates to events more than one year before the date that we
receive the complaint (except in certain circumstances)
Consideration of the complaint would prejudice any pending or ongoing legal proceedings
or investigation
Further advice on whether a complaint would be excluded from the Single Stage Corporate
Complaints Process can be obtained from the Complaints Team.
5. Complaint Handling Procedure
Customers should always be encouraged to contact the relevant service area to seek a
resolution to their complaint before submitting a formal complaint. Where we have been
unable to resolve the complaint directly between the customer and the relevant service area, a
formal complaint can be made. Customers can complain to us about the service they have
received via any method convenient to them.
Written complaints should be date stamped by the receiving service and then forwarded
within 1 working day to the Corporate Complaints Team for recording and processing. Verbal
complaints should be recorded and dated and then sent to the Corporate Complaints Team
within 1 working day.
The Complaints Team will then determine at what level a complaint should be dealt with. This
helps to ensure that complaints are dealt with consistently and in the most appropriate and
effective way. Complaints will be categorised by the Complaints Team according to
seriousness and likelihood of recurrence, using the matrix below.
LIKELIHOOD OF RECURRENCE
RARE
UNLIKELY
POSSIBLE
LIKELY
ALMOST
CERTAIN
SERIOUSNESS
LOW
MEDIUM
HIGH
KEY:
SERVICE MANAGER
HEAD OF SERVICE
DIRECTOR
Service Manager Investigation process
A complaint or concern that can be resolved quickly, close to the point of contact with minimal
investigation.



Can be resolved within 10 working days or extended date agreed with complainant
Resolution requires immediate action(s) rather than an investigation
Action required by manager directly responsible for the service provision
Head of Service Investigation process
A complaint that is potentially contentious and where there is a need to carry out a more formal
investigation to establish the facts before reaching a conclusion and identifying potential resolutions.


A resolution plan which includes a timescale for responding is agreed with the Complainant
Requires an investigation by a manager within the service area with a written response directly to
the complainant from the Head of Service.
Director Investigation process
A complaint which is considered high profile and / or has potentially serious implications for the Council
and where there is a specific need for an independent investigation to establish the facts before
reaching a conclusion and identifying potential resolutions.


A resolution plan which includes a timescale for responding is agreed with the Complainant
Resolution requires an investigation to establish the facts which is undertaken by the Complaints
Manager. A formal written response is provided by the Service Director or if appropriate the Chief
Executive of the Council
Complaints will be dealt with according to the flowchart on the following page.
Complaint Received and sent
to Complaints Team and
logged on the Feedback
system
Service Manager Response
Head of Service Response
Complaints Team will
acknowledge and forward
this to the appropriate
operational manager
Complaints Manager and
Head of service agree that the
complaint requires a more
senior investigation
Complaints Manager and
Head of service agree that the
complaint requires an
independent investigation
Investigating Manager to
agree a resolution plan with
the complainant and a
timescale for response
Complaints Manager to agree
a resolution plan with the
complainant and a timescale
for response
Manager will take actions to
resolve the complaint within
10 working days or contact
the complainant to agree a
date for responding
Investigation completed
within agreed timescales and
response provided to
complainant
Complainants advised of right
to approach Local
Government Ombudsman
Manager will complete
learning from complaints
form and send to Complaints
Team with response to be
logged on Feedback System
Complaints procedure
concluded and closed on the
feedback system
Investigation is completed
and a report and draft
response provided to the
Head of Service
Head of Service reviews the
report and sends out
response.
Management Action Plan
prepared to oversee
implementation of any
recommendations
Complaints procedure
concluded and closed on the
feedback system
Director Response
Investigation completed
within agreed timescales and
report and draft response
provided to Director.
Director reviews the report
and sends out response.
Management Action Plan
prepared to oversee
implementation of any
recommendations
Complaints procedure
concluded and closed on the
feedback system
6. Investigation Process
Officers involved in investigating complaints must have completed the corporate training on
Effective Complaint Handling.
Officers will receive advice on conducting a thorough and open investigation and in drafting
complaints reports and responses.
Investigating Officers will:
 Aim to put things right for the customer where we have got things wrong
 Keep an open mind
 Keep a written record of the investigation including details of evidence gathered and
people interviewed
 Make recommendations for resolving the complaint
 Draft a response to be sent to the complainant
 Follow good practice and corporate standards
 Complete investigation and draft response within agreed timescales
 Give feedback to the service on any areas for improvement in service delivery
 Remember that we only have one opportunity to put things right where we have got
things wrong. The customer’s next step is to complain to the Local Government
Ombudsman.
Standard templates are available for all officers involved which will be provided once training
had been completed.
7. Equality and Diversity
We aim to make the complaints procedure inclusive and accessible to all by:
 Providing information in another format or language, on request
 Promoting the use of advocacy or other support services where complainants feel this
is needed
 Providing access where appropriate to signing and other interpretative services
Complainants will be invited to provide information as part of the feedback process, to enable
us to monitor use of the procedure and to identify changes to the procedure to improve
access.
8. The Local Government Ombudsman (LGO)
As this is a Single Stage Corporate Complaints process, it is important that we aim to put
things right for the customer where we have got things wrong.
If complainants are dissatisfied with the response they have received they can contact the
Local Government Ombudsman. In most circumstances the LGO will only look at complaints if
the Council have had an opportunity to resolve them first.
The LGO will investigate to find out whether the Council has done things wrong that directly
affect the complainant. If they find the Council has got it wrong they will tell us, and ask us to
find a way to put it right.
Ann Johnson Brown – Head of Customer Services