1 2008

How to deal with Complaints

A Handbook for Staff

Customer Relations

2 2008

Contents Page How do you feel when someone complains 4 How do you feel when you want to make a complaint 5 Who can complain and how? 6 An Overview of the Complaints Procedure 7 The Pre-Stage Process

How to deal with informal comments and queries 8

What is a complaint; and what is not? 9 The Stage 1 Process – Service Management

Who should deal with the complaint? 10 Complaint about a service 11 Complaint about the way the customer has been dealt with 11 Complaint about Staff 12 Step 1 - Record the Complaint 14 Step 2 – Understand the complaint 15 Step 3 – Acknowledge the complaint 15 Step 4 – Investigate the complaint 16 Step 5 – Reply to the complainant 18 Remedies and Compensation 19 Unjustified complaints 19 Step 6 – Follow up and closure 20 Comebacks (Repeat complaints) 21

The Stage 2 Process – Chief Executive Review 22 The Local Government Ombudsman 23 Special types of complaint

Local County Councillors’ involvement in complaints 24

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Disclosure of personal data to Elected Members 24 Members of Parliament 25

Adults’ and Children’s Social Care 25 Data Protection and Freedom of Information Acts 26 Complaints about Discrimination (Racism) & Harassment 27 Complaints about the County Council’s Contractors/Consultants 27

Special types of complainant

Angry Customers 29 Aggressive or Threatening Customers 30 Unreasonably Persistent Complainants 30

Appendices

Appendix 1: Complaints Officers Network

Appendix 2: Exemptions from complaints procedure

Appendix 3: Policy on handling unacceptable behaviour and unreasonably persistent complainants

Appendix 4: Example acknowledgement and response letters

Appendix 5: Complaint monitoring form (example)

Appendix 6: Guidance notes for Members

Appendix 7: Complaints poster

How do you feel… …when someone complains about your work or the service you provide?

Criticised? Blamed? Challenged? Threatened? Annoyed at having to spend time on a “difficult” customer

when you had planned to do something else? These reactions are only to be expected. It’s quite natural to react defensively or try to put up barriers. But that often makes the situation worse. It’s not an acceptable strategy for a Council that aims “to place the customer at the heart of everything we do”. This handbook aims to show how we can use complaints to satisfy our customers, improve services and make work more fulfilling.

Complaints: Resolve them quickly

+ Apply the learning from them

= Better services

= More satisfied customers

= Fewer complaints

The important thing here is that “fewer complaints” should arise as a result of “more satisfied customers” and not from attempts to minimise complaints by constructing barriers to them. This may mean that complaints will go up before they come down. But research suggests only a tiny minority of dissatisfied customers actually complain – so we should actively seek and welcome more feedback

The Customer Complaint Iceberg

Full feedbackrecorded

Some feedbackrecorded

Don’t tell anyone

4%

28%

68%

ComplaintComplaint WaterWater--lineline

4 2008

How do you feel… …when you want to make a complaint about the service you’ve received or the way you’ve been treated? How can the County Council meet those expectations?

5 2008

Our customers want To be able to complain without being inconvenienced Someone to listen – to tell my problem to Someone to say sorry Someone to explain why it went wrong Someone to sort it out A named contact who will keep them informed about progress To make sure it doesn’t happen again/to anyone else

We need to offer Open & easy access to complaints process A joined-up consistent approach – including contractors/agents A positive attitude to complaints A culture that empowers staff to sort things out – and to say sorry Trained and motivated staff A system for recording and learning from customer feedback

I’d like to comment on the services I get, but I don’t know how to

I’ve seen details of different ways I can contact the Council

I’ve contacted the Council

I got a response really quickly – to say that they

were investigating my comment and would get

back to me soon.

I’ve got a response from the

right person.

Gather feedback

and record

Assess and decide

course of action

Provide information updates for customer

Take action, communicate and record outcome

Analyse trends,

Take appropriate managemen

t

Who can complain and how? [NB. Social care complaints follow a different process. See page 25]

Our complaints procedure is available to anyone who lives or works in West Sussex or visits the County and receives one or more of our services. The procedure is also available to any individual acting on behalf of and with the consent of the complainant e.g. a nominated relation/friend, advocate, professional advisor, Local Councillor or Member of Parliament. We want to make the complaints procedure accessible to everyone. A complaint can be written or oral and customers can complain: by using the on-line form via the website (www.westsussex.gov.uk) by e-mail by phone in writing by using our complaint leaflet/form (see appendix 7) by fax by minicom in person at a Help Point, Library or any other County Council service

point Do not insist that complaints are put in writing. We will also do our best to help people who do not speak English, or want the complaints leaflet in another format such as Large Print (via the website or on request), or mediated access.

“Complaints can no longer be seen as a necessary evil of our day-to-day business but as a means of improving the ways in which we work” “Complaints are a vital means of getting unsolicited feedback about service delivery” “They are a valuable resource for improving services at the point of delivery and a focus for training staff and maintaining good relations with customers” Research report for Housing Ombudsman

6 2008

An Overview of the Complaints Procedure [NB. Social care complaints follow a different process. See page 25]

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First Contact Service Request or Enquiry

Stage 1

Complaint dealt with by Service Manager

“If you are dissatisfied with our response to you, please fill in our on-line complaints form, contact our Customer Relations Team, or use one of the other methods for making a complaint. Your complaint will be dealt with by the manager responsible for the service.”

“If you are unhappy with the Service Manager’s response, you may ask the Chief Executive to review your complaint. You should say why you are not satisfied and what you think he should do to put things right.”

Stage 2 Complaint to Chief Executive

Customer still dissatisfied?

Local Government Ombudsman Independent investigation into whether or

not the Council has acted unfairly and caused the complainant an injustice

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First Contacts

How to deal with informal comments and queries We often receive informal comments and queries about the services we provide. Often these may be reports of problems or requests for a service. It is not appropriate for every such query from a member of the public to be treated as a complaint. In general comments or queries should be dealt with immediately either by providing information, instigating the appropriate action or explaining a decision. Practical Steps In many cases the problem will be resolved if this advice is followed: be polite, honest & sensitive identify yourself and give the customer a contact name and phone

number listen carefully and make notes at the time summarise the query in your own words, to make sure you understand

and to show that you listened ask what the customer would like to be done to puts things right look at the problem from the customer’s point of view don’t jump to conclusions make sure the customer doesn’t get passed from “pillar-to-post” take ownership of the enquiry until you are sure someone else has

accepted handover from you tell the customer what they can reasonably expect you to do, what you

can or can’t do and the time limits keep the customer informed about how you are dealing with the issue don’t delay in providing a service or information if you can’t deal with the problem tell the customer about how they

can pursue the matter through the complaints procedure and, if necessary, seek advice from your line manager.

Where possible, services should record informal comments and queries because they provide valuable feedback that can help develop and improve its services. Very few queries will become formal complaints. However, if an informal comment cannot be dealt with immediately and requires a response or remedial action, it should be considered as a stage 1 complaint and dealt with under the complaints procedure.

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What is a complaint; and what is not?

The West Sussex County Council definition of a complaint is:

“A complaint is an expression of dissatisfaction, however made, about the standards of service, actions or lack of action by the County Council or its staff, affecting an individual customer or group of customers”

Complaints which come under this complaints procedure include: A failure to provide a requested service or a mistake in the way we

provided a service A failure to meet our targets or delay in providing a service A fault has been reported but no action, or the wrong action, has been

taken A failure to act in a proper way An unfair service has been provided An informal response has failed to resolve an issue Matters of Council Policy Complaints not resolved by contractors or consultants (see p.18 for

details) Complaints about Adults’ or Children’s social care may be subject to a separate statutory procedure. Contact the Customer Relations team about this. Exceptions, to which the complaints procedure does not apply, are listed in Appendix 2. Examples are:

Requests for service provision and defect reports (e.g. reporting a faulty

streetlight). When a member of the public first makes a request for a service it is not a complaint. However, the request does become a complaint if the person makes contact again to inform us that the service requested was either not performed, not performed to their expectation, or not delivered within the specified timescale.

Matters for which there is a right of appeal or a legal remedy, including schools admission and exclusion appeals or appeals to the Special Educational Needs Tribunal

A complaint that has already been or could be heard by a court or tribunal A complaint about a personnel matter, including appointments,

dismissals, pay, pensions and disciplines The conduct of Councillors Allegations of criminal behaviour Responses to consultation and statutory notices Enquiries regarding Council Tax or the County Council’s budget Resolving the issue should always be the priority and, if in doubt, it should be recorded as a complaint and investigated in line with this

complaints procedure. For further advice please contact the Customer Relations team.

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The Stage 1 Process – Service Management

Who should deal with the complaint? Once a complaint has been received either in writing or orally, you will need to decide who is the most appropriate person to deal with it. Our complaints procedure states “Your complaint will be dealt with by the manager responsible for the service.” This is deliberately non–specific and could imply any level of management from a local manager or team leader up to an Executive Director. Therefore, wherever there are several tiers of management, everyone needs to be clear what authority they have to resolve complaints. This can only be set by services, and service protocols need to be established so everyone is clear. The first stage response to a complaint must be quality assured by being checked at the correct level of management, and the manager needs to be confident that his/her decision would not be over-ruled at a higher level. If in doubt, check. The next page sets out a process for handling complaints, which would require consideration of each step at a higher level of management. Thus a decision to make an exception to service criteria, would need to be taken at a higher level that a decision to follow a customer’s wishes where these meet approved criteria. A decision to initiate a policy review would be taken at an even higher level. If the complaint has been sent to the wrong department, or you feel it would be more appropriately dealt with by another department, it should be passed immediately to the correct department provided there is a clear agreement with them on ownership of the complaint. In this case the receiving department is responsible for sending an acknowledgement to the customer before passing it on (see page 15 for acknowledgement guidelines). Advice can always be sought from the Customer Relations Team. In addition most Services have designated Complaints Monitoring Officers1, whose roles are to: Act as the main point of contact for complaints queries Ensure that within their unit there is a well-defined process for monitoring

and processing complaints in accordance with the County Council Complaints procedure

Ensure that all complaints are recorded properly Ensure that complaints publicity (leaflets, posters, etc) are displayed Ensure that all staff in their unit are aware of the procedure for dealing

with complaints and trained accordingly Attend complaints network meetings to develop and share best practice “Handling complaints about the service is as much part of the job as providing the service” - Service First Unit – Cabinet Office

1 A list of complaints monitoring officers can be found in appendix 1

Complaint about a service Where the complaint is about a service (such as a refusal to supply it, or a mistake or poor quality) the following approach to complaints handling is recommended. It should not be applied mechanically – complaints are too varied for “one size fits all”. However, in many cases it will provide a useful framework for complaints about service delivery.

1. Be clear what it is the customer wants 2. If it meets our criteria, we need to ensure they get it 3. If not, there is a “Can we?” question first. It may be the customer

is asking for something we cannot legally or practically do. So the answer has to be “No”. But we should check that the barrier is real and not self-imposed, eg a matter of Council policy, or inconvenience.

4. Should we make an exception? Considerations include affordability, precedence, effect on other customers, reputation, benefits, circumstances.

5. Then if the demand does not fit our criteria and we see no reason to treat this customer as an exception, there’s a question whether there have been so many complaints about this matter that our policy or practice should be reviewed.

This approach can be illustrated as follows:-

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START PROCESS Establish what the

customer wants

Does that meet WSCC established

criteria?

Resolve the complain

END PROCESSFollow through -

Ensure we do what we have promised

Is this incident a one-off or endemic?

Apply lessons to future service improvement

Complaint about the way the customer has been dealt with This approach does not apply if the complaint is about the way the customer has been dealt with. In this case, there should always be an expression of regret and apology. If the complaint is justified and serious, it may be appropriate additionally to offer a modest financial payment or compensation to be charged against the service budget. This would be akin to the Local Government Ombudsman’s recommendation of a “time and trouble” payment or compensation for distress.

t

Can we provide what the customer

wants - legally, practically?

Should we make an exception to the

criteria?

No

Yes

Yes

Is there an acceptable alternative?

Yes

NoYesExplain and close

No Should the Council's policy, service criteria or practice change?

Instigate changes

No

NoEndemic

One-off

Yes

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Complaint about Staff Generally a complaint about a service will not be against a specific officer, even though the complainant may be unhappy with the officer’s implementation of County Council policy. However, occasionally there are complaints about a named officer’s actions or behaviour. Managers should always investigate a complaint made about an individual officer fairly and openly. The steps set out on the following pages will help the Manager to understand the complaint and determine how it should be investigated and dealt with. At any stage in the investigation it may become clear that the complaint is potentially disciplinary in nature or may involve the employee’s competence to carry out their job role. In these circumstances the Manager should immediately seek advice from their HR Representative on how to proceed. The initial assessment may form part of a preliminary investigation for the purposes of these procedures. Practical Steps Whatever the nature of the complaint, after seeking the relevant advice, the Manager should make sure the employee is: notified that there will be an investigation if necessary informed in accordance with the relevant service unit’s

Discipline, Capability or Poor Performance Policy of any potential discipline or performance issues

kept up to date with the investigation given adequate support throughout the investigation (if necessary an

independent person should be identified as a welfare contact) not criticised unfairly for properly implementing departmental policy informed that the details of the complaint will not be recorded on their

personal files unless disciplinary or poor performance issues are identified

notified in advance if an interview is required and be advised of their right to bring a friend or trade union representative with them (this should not be line manager or supervisor)

informed that the purpose of the interview is to establish the facts in order to determine whether the complaint is justified.

advised that any information they provide will be handled sensitively; however, a final report may be sent to the complainant or other relevant parties under confidential cover to resolve the complaint effectively

Given a copy of the final report that must be signed as acknowledged by the member of staff with an opportunity for the member of staff to make comment.

notified as soon as possible of the outcome of the investigation, usually via their line manager or in accordance with the service unit’s Disciplinary, Poor Performance or Capability Procedure

Given the opportunity to discuss the outcome of the complaint with a senior manager

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Disciplinary or other action If the investigation identifies discipline, poor performance or capability issues, there is a need to balance the confidentiality of the procedure against the expectations of the complainant of a full response. The complainant should be informed that appropriate management action will be taken, but the nature of that action will remain within the confidentiality of the relevant procedure. No further action The complainant should be informed that no further action will be taken against the member of staff where there is no evidence to warrant action on the grounds of discipline, poor performance or capability. However, the Manager could make recommendations, where appropriate, to improve any relevant customer service practice or procedure as a result of the complaint.

Remember!

A complaint about an individual member of staff should be

investigated and responded to by a senior manager

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Step 1 - Record the Complaint All complaints received at stage 1 should be recorded and details passed to the Customer Relations team. The initial record should comprise: The complaint as submitted, if received in writing A note of the complaint if received by telephone or personal visit The initial record must include the following information: Complainant details

Identity (name and name of organisation if relevant) Accessibility (contact details, times available, preferred channel) Role in process, (eg service user or advocate, in which case name

of service user also must be recorded)

Problem information Exact conditions: place, time, perceived cause Whether follow-up or new complaint

Remedy What the complainant wants done to put things right

Receipt information Date and time (of sending and receipt if not the same) Channel (eg letter, on-line form, telephone, personal visit) Employee accepting complaint

The Customer Relations team and some services already use complaint-handling IT systems to record this information; otherwise a manual system must be used. A sample record form is Appendix 5.

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Step 2 – Understand the complaint Complaints vary and therefore it is very important to understand exactly what a complaint is about before responding or starting an investigation. By using some or all of the following advice you will have a better understanding of the complaint and will be able to give a thorough and clear reply. Practical Steps

Check if there are any previous complaints from this person, but do not

make assumptions based on the outcome of a previous complaint. Check if there are any previous complaints about the same matter from

other people, but do not make assumptions based on the outcome of previous complaints

If the complaint has been received in writing, unless it is fully and comprehensively understood, contact the complainant to arrange a meeting or time for a telephone conversation to:

Clarify the complaint. This should give you a better understanding of

the problem and show the customer that they are dealing with a ‘human face’

Clarify the outcome sought e.g. apology, compensation etc Explain the complaint/investigation procedure Check whether the complainant needs support of any kind, or has poor

sight or hearing, or a language difficulty and check what help the complainant needs so as to be able to understand the discussion properly

Check the complainant has a copy of the Council’s complaints leaflet Step 3 – Acknowledge the complaint Once you have a clear understanding of the nature of the complaint you should send a written acknowledgement including2: A summary of the complaint The name and contact details of the investigating officer The timescales involved Details of how to contact the local elected member A copy of the County Council’s complaints leaflet (if the complainant

doesn’t already have one) We are no longer gathering equality monitoring information, at the time of complaint but will seek this information through a satisfaction survey. Send the Customer Relations team a copy of the acknowledgement.

Remember!

You must acknowledge the complaint within 3 working days

2 See appendix 4a for an example acknowledgement letter

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Step 4 – Investigate the complaint Many complaints can be resolved very quickly, especially by following the approach recommended on page 11. Some complaints require investigation. Investigations should be

proportionate to the seriousness of the complaint and the outcome sought;

as light touch as practicable; not use more resources than the outcome the complainant seeks.

The guidance below is intended to cover the largest scale investigation, and some or all may apply to smaller scale ones. Contact the Customer Relations team for guidance if you feel you need help. The investigation Practical Steps Prepare a plan of approach and allow time for the investigation Look at the problem from the customer’s point of view as well as the

Council’s Divide the complaint into the separate issues that require investigation Obtain or view all relevant documents including files, logbooks and

timesheets Familiarise yourself with relevant legislation, policy standards and

procedures Establish the sequence of events and details of officers involved at each

stage Seek legal advice if appropriate e.g. if a complaint amounts to a warning

of a claim on the Council Discuss the complaint with your manager or colleagues. They might have

investigated a similar complaint or have some advice on how it could be resolved.

Decide whether you need to interview anyone e.g. the complainant, key staff, managers etc.

Keep records at all stages of the complaint process: these should include who dealt with the complaint, what action was taken and the complainant’s response

Think about how you can resolve the problem. Seek support from your manager if you think the best way to resolve the problem is outside the responsibility you have been given

Remember - it is important to keep the customer

informed throughout the investigation

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Interviews On some occasions it will be necessary to conduct an interview with those involved in order to establish the facts of the complaint. By using some or all of the following advice you will be able to establish the facts on which to base your final decision. Practical Steps Prepare questions for each person to be interviewed Use open, not leading questions Consider whether you need a witness for any difficult interviews Arrange the order of interviews so that you start with the officers most

directly involved in the matter complained about and end with more senior officer(s). You may need a separate first interview with the manager in order to establish what procedures are normally followed.

Inform all interviewees that they can be accompanied by an advocate, friend or union representative, but emphasise this is not a disciplinary interview

Make thorough notes throughout the interview At the end of the interview summarise the main points covered and ask

the interviewee if they have anything to add Make a written record of the interview from your notes as soon as

possible after the interview. Each person interviewed, including the complainant, should receive a draft copy of their interview notes for comment.

Consider comments and amend the record if necessary adding conclusions.

The Decision When you have considered all the facts relevant to the complaint, you need to give your decision. As a guide you should decide whether you: Agree with the customer and uphold their complaint Disagree with the customer and do not uphold the complaint Agree with some of the customer’s complaints and partly uphold their

complaint You will improve the possibility of satisfying your customer if you: have conducted a fair and honest investigation have checked the original complaint and ensured that your decision

shows that you have considered all the facts and interpreted the complaint fairly

have shown your intention to resolve the complaint in a way that is fair to both the customer and the Council

have kept the customer informed about progress and any delays

18 2008

Step 5 – Reply to the complainant The customer will normally be sent a full written response within 10 working days. If a full response cannot be given in that time, e.g. because of the need for further investigation, a revised timescale should be negotiated with the complainant and a holding letter sent, setting out the reason for the delay and notifying them of the new deadline for a full response. If the timescale is extended, the customer should be kept informed of progress. Once the complaint has been investigated and the decision has been made, you are ready to write your reply. The reply should be clear and concise and address all the issues raised in the original complaint. It should be written in plain language and avoid the use of jargon. The Customer Relations team is ready to offer advice and to comment on drafts. If you find that we have acted unreasonably, made a mistake or failed to deliver a service, you should say so in your reply and apologise. You should also think about how you could resolve any injustice caused to the customer. If the complaint is not upheld the reply should give a clear, full and sympathetic explanation. The reply should include3: A summary and history of the complaint An friendly expression of understanding for the customer’s point of view,

with an expression of regret or apology A summary of your investigation, including the facts and your findings Details of any legislation, policy or procedure issues relevant to the

complaint Your decision (upheld, not upheld or partly upheld), if you need to spell

this out An appropriate remedy or solution (e.g. an apology; what action you are

going to take to resolve the complaint; details of compensation to be paid). See next page.

Details of any changes made as a result of their complaint so that they can see that they made a difference by their action

If the decision corresponds to customers’ expectations, express thanks for drawing problem to our attention

If the decision falls short of customer’s wishes, express regret, ask for understanding of decision, and explain how the customer can appeal against the decision (include a copy of the complaints leaflet, if needed)

Pay careful attention to style of language, correct spelling and grammar, careful proofreading, especially of customer’s name and address. A copy should be sent to the Customer Relations Team.

Our target for responding to complaints is 10 working days. If your investigation means that you cannot reply within the time

limit you must tell the customer and agree a new deadline for your reply.

3 See appendix 4b for example response letter

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Remedies and Compensation Where a complaint is found to be justified, careful consideration needs to be given to the type of remedy. An apology will normally be appropriate and other action may also be justified. We should be gracious, not grudging, in putting things right. Practical Steps Remedies can be of three types: Tangible – a service, or a change of service, repair, etc. Financial – compensation, money back, price reduction Intangible – explanation, information, assurance All or any combination of these may provide a solution. Often the complainant is looking for a simple remedy, for example: An explanation An apology A service Assurance it won’t happen again Where a mistake has been made, an apology should always be given. Even where the actions taken have been correct, it will often be appropriate to acknowledge and apologise for the upset caused. The Local Government Ombudsman states that “the general principle is that, as far as possible, complainants should be put in the position they would have been in if things had not gone wrong”. 4 In some cases the complainant may be looking for compensation or re-imbursement of costs. A financial remedy may be appropriate. This may be the case if the complainant has suffered loss or incurred costs because of the Council’s fault. It may be that financial compensation is appropriate because there is no other way of putting things right. We should also consider making modest payments in recognition of the complainant’s distress or time and trouble, in appropriate cases. Where the case falls outside the scope of these provisions, further advice should be sought from the Customer Relations team or the Legal Services Unit. Unjustified complaints Where all the costs (including intangibles) of doing what the customer wants are less than the costs of investigating and handling the complaint, it may be appropriate to solve it quickly. However, if there is no objective cause for complaint and no reason to comply with the customer’s demand, the request should be firmly but matter-of-factly refused.

4 Further comments on approaches to remedies are set out in the Local Government Ombudsman publication: Guidance on good practice 6: Remedies. Available from www.lgo.org.uk

20 2008

Step 6 – Follow up and closure We must make sure that the complaint is truly resolved and that any lessons from it are learned and applied. To complete the process the following tasks must be completed: Put a copy of your reply on any relevant files, so that any staff dealing

with the customer later will be aware of your actions Send a copy of your reply to the Customer Relations Team and all other

relevant staff If the local member or an MP has been involved, make sure he/she is

informed If a Help Point was involved let them know the outcome Carry out any action you recommend in your reply (compensation

payments, refund, repairs etc.) You are responsible for monitoring this action to ensure that it is completed within the time limit agreed. Your involvement in the complaint is not over until all the recommendations and promises of action have been carried out

If the complaint highlights a problem with the way we do things, take steps to ensure the same thing does not happen again, and make a record of this

It is important that we learn from customer feedback – as individuals, as teams, and as a Council. All forms of feedback can give us valuable learning – service requests, defect reports, compliments, comments and complaints. Services should log and analyse this feedback appropriately (without turning it into an industry). Discussion of Customer Feedback should be a standing item at all monthly team meetings. It is particularly important that we learn from mistakes. For this reason, all complaints (and compliments) must be reported to the Customer Relations Team, together with acknowledgements and replies and details of follow-up actions and learning. The Customer Relations Team will analyse this and produce management information reports on: Total number of complaints and compliments received The subject of the complaint (with details of any developing trends) The number of complaints upheld, not upheld, part upheld Response times – what % of complaints have been acknowledged and

replied to within target timescales Action taken e.g. any changes in practices, procedures or training made in

response to a complaint The total amount of compensation paid or other expenditure to redress

the complaint A breakdown of complaints by gender, disability and ethnicity, where

information is available The Customer Relations Team will collate this information and include the Ombudsman’s annual letter to produce a corporate annual report to be taken to the Cabinet and to the Standards Committee annually in June. This report will give statistical information and a commentary on trends in complaints. The emphasis will be on learning lessons and preventing problems from recurring. A copy will be placed on the County Council’s website.

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Comebacks Sometimes a customer will express continued dissatisfaction at the end of Stage 1 of the complaints procedure. We want to be helpful and considerate. If the “comeback” provides new information or considerations that were not taken into account during the stage 1 process and which in the service manager’s view require fresh consideration or a different outcome, then the complaint should be re-considered as a stage 1 complaint. Otherwise, the complaint should be referred to the Customer Relations team for consideration at stage 2 of the process. It is the responsibility of the member of staff dealing with the complaint to inform the complainant of the stages of the complaints process and progress the complaint quickly through the stages. It is important to prevent a complaint getting stuck in a frustrating, pointless and resource-wasting “ping-pong” exchange of communications between the customer and the same member of staff.

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The Stage 2 Process – Chief Executive Review If the customer is not satisfied with the outcome of a stage 1 complaint they can ask the Chief Executive to review the complaint (Stage 2). The Customer Relations Team is responsible for reviewing stage 2 complaints or serious multi-departmental complaints on behalf of the Chief Executive. The Customer Relations Team will undertake some initial investigation in order to assess whether the escalation is justified and, if so, undertake an independent review of the complaint. In exceptional and appropriate circumstances the Chief Executive may refer the complaint to a complaints panel, if he believes that such a hearing may assist him in clarifying and resolving the complaint. See Appendix 6. The general approach will be similar to that for Stage 1.

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Local Government Ombudsman If the customer is still not satisfied after a stage 2 investigation they can refer their complaint to the Ombudsman. The Local Government Ombudsman is independent and impartial and has the authority to investigate whether or not a Local Authority has acted unfairly or whether a complainant has been caused injustice by the Council’s maladministration. Complaints can be made to the Ombudsman at any time although he will not usually investigate a complaint until it has been through the formal complaints procedure and the Council has had the opportunity to settle matters locally. The Ombudsman will sometimes, therefore, decide that a complaint is premature and ask the Chief Executive to put it through the County Council’s complaints procedure. The Customer Relations Team will manage all complaints received via the Ombudsman, although the investigation may be delegated to the relevant department. When the Ombudsman receives a complaint he may decide he needs further information and will ask the Chief Executive to supply it. The Customer Relations Team will, in turn, ask the relevant service unit(s) for this information. This needs to be returned to the Ombudsman within 21 days from the date the Ombudsman letter was sent, so such requests require urgent attention. The Ombudsman may decide:

a) to discontinue the investigation either because there is insufficient evidence of maladministration or for other reasons

b) to suggest a way in which the Council could resolve the complaint. This is a “local settlement”

c) to conduct a full investigation. If this happens, further advice will be issued by the Customer Relations Team

Copies of the Ombudsman’s leaflet ‘Complained to the Council? Still not satisfied’ are available from any Council Office, Help Points or Libraries. Customers who want to complain to the Ombudsman should be advised to: telephone the Advice Team on 0845 602 1983; or Visit the website at www.lgo.org.uk; or Email advice@lgo.org.uk; Or text ‘call back’ on 0762 480 4323 Local Government Ombudsman Millbank Tower Millbank London SW1P 4QP

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Special types of complaint

Local County Councillors’ involvement in complaints Members of the County Council may be involved in a complaint in a number of different ways at any stage of the process. The complaint may come through them from a constituent. The Member may even be the complainant him/herself. Any written formal acknowledgement sent to a complainant should include a short paragraph giving details of how they can contact their local County Councillor5. Once this acknowledgement has been sent, it must immediately be copied to the Customer Relations Team. The Customer Relations Team is then responsible to alert the local Member whose electoral division it relates to. The Customer Relations Team will develop its own practice on how to do this appropriate to circumstances. In most cases the local member will simply be notified that a complaint has been received affecting his or her electoral division, giving the name and address of the complainant and an indication of the subject matter, together with contact details of the appropriate officer if the member wishes to know more. It may be that the local member should be sent a copy of the correspondence, if requested. If the matter complained about falls within the executive decisions of a County Local Committee (eg traffic regulation or highway works), or may be a matter for the CLCs area scrutiny role, the local member should be asked whether he feels the complaint should be referred to the CLC. If the Service Manager dealing with the complaint believes it raises a possible review of policy, he should draw it to the attention of senior management for a decision whether to involve the Cabinet Member. If the original complaint has been made through a Member of the County Council, the Member must be kept up to date with the progress of the complaint and may be given a copy of any reports and correspondence written as a result of the investigation. The fact that the complaint has originated from a member should not lead to any changes in procedure – the complaint still needs to be investigated in a thorough and fair manner. It is the responsibility of the Member to ensure that: the complainant has a copy of the comment, compliment and complaints

leaflet and is aware of the County Council Complaints procedure the officer responsible for investigating the complaint is kept up to date

by sending copies of all correspondence and paperwork received from the complainant.

Disclosure of personal data to Elected Members Disclosures of personal data may be made to an elected member only if access to and use of that data is necessary for him or her to carry out official duties. A Council does not generally have to obtain the consent of the

5 See appendix 4a for an example acknowledgement letter

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complainant to disclose their personal information to an elected member, as long as:

the elected member represents the ward in which the individual lives;

the elected member makes it clear that they are representing the individual in any request for their personal information to the local authority; and

the information is necessary to respond to the individual’s complaint.

Where personal information is particularly sensitive, it may be advisable to get an individual's signed consent. When forwarding correspondence relating to a complaint to a local Member, the Member should be reminded to treat it as confidential and use it only for the purpose of helping the complainant6. There may be exceptions where correspondence cannot be forwarded to the local Member, such as sensitive personal Education or Social and Caring Service complaints. Members of Parliament Members of Parliament may bring a complaint by acting as their constituent’s advocate. Any response to a letter of complaint received from a Member of Parliament (MP or MEP) should appear over the name of, or be cleared by, the relevant Cabinet Member, unless the Cabinet Member has agreed otherwise. The majority of MPs’ complaints are general queries addressed to Directors. In general these should be dealt with by the Director, who will ensure that the relevant Cabinet Member has been notified of the complaint and has approved the draft response. There are some occasions however when a response should be from the Cabinet Member, for example a complaint which questions the County Council’s political choices. Each directorate must be responsible for its own administration arrangements to ensure that Cabinet Members are kept regularly and promptly informed about complaints from MPs and that complaints are acknowledged and responded to within the specified timescales. Except for correspondence of a personal nature, MPs’ constituency enquiries and replies to them should also be copied or at least notified to the relevant local County Councillor, as they may already be aware of and wish to comment on the matter. Adults’ and Children’s Social Care Certain complaints about Adults’ and Children’s social care have to be dealt with following statutory procedures laid down under the Health and Social Care (Community Health and Standards) Act or the Children Act. Many of the principles in this handbook apply to such complaints, especially at stage 1 of the process, but there may be different response times and additional requirements for the involvement of independent persons and

6 See appendix 6 for guidance notes for Members

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review panels. The stage 2 process is different and has no role for the Chief Executive. Further advice and guidance is available from the Adults’ and Children’s Complaints Managers in the Customer Relations Team. Data Protection and Freedom of Information Acts Customers have rights under the Data Protection Act. These include the right to: Find out what information is being held about them Prevent personal data being processed where the processing would

cause substantial damage or distress Amend/destroy inaccurate data held about them Compensation for damage or distress caused by breach of the Act.

Customers also have rights under the Freedom of Information Act and related legislation to: Request, in writing, information held by the County Council To be informed, in writing, whether the Council holds the information and, if so, to have it communicated to them unless an exemption applies, it exceeds a cost threshold, or is vexatious.

In general, FoI requests are handled by designated staff (Information Liaison Officers) in each Service. DP requests are handled by the Data Protection & Access Officer. Complaints about breaches of these Acts tend to raise legal issues, rather than matters of policy or practice – for example whether an exemption has been properly applied. For this reason complaints under these Acts should be referred to the Head of Legal Services in his role as the Council’s Monitoring Officer. In some cases, however, the complaint may be about the truthfulness or accuracy of the information given. Such complaints should follow the standard complaints procedure described in this handbook. If a complainant remains unsatisfied with the outcome of the complaints procedure, he or she can appeal to the Information Commissioner. Information Commissioner The Commissioner is an independent officer who reports directly to Parliament. He has the central role in ensuring compliance with the Act and giving the public information about the Act. For more information about the Information Commissioner please contact: Information Commissioner’s Office Wycliffe House Water Lane Wilmslow, Cheshire SK9 5AF Telephone: (01625) 545700 Website: www.informationcommissioner.gov.uk

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Complaints about Discrimination & Harassment The County Council believes that everyone who lives, works or visits West Sussex has the right to be treated with dignity and respect and to live without fear of discrimination or harassment. Anyone who experiences discrimination or harassment which they believe is based on their race, nationality, faith, sexuality, disability or gender identity should be advised to complete Hate Incident Reporting Form (available on the intranet, www.westsussex.gov.uk/harmreduction or call 0845 075 1021). A victim, witness or third party can complete the form, and respondents can remain anonymous if they prefer. If the victim's contact details are supplied, he or she will be contacted and offered help in dealing with the incident by Victim Support Sussex. If a complainant alleges discrimination or harassment by the County Council or any of its staff, agents or contractors on grounds of their race, nationality, faith, sexuality, disability or gender identity, the following procedure should be followed: • a full record of the alleged incident must be made • a report should be made to a senior manager • the incident should be investigated in accordance with the guidance given

in this handbook by someone who was not involved in the alleged incident.

• either the complainant or the person recording the incident should complete the Hate Incident Reporting Form, available as above

• further advice may be sought from the Customer Relations Team.

Complaints about the County Council’s Contractors/Consultants The County Council engages the services of contractors or consultants either to deliver direct services for which the County Council has responsibility or to carry out work for the County Council. Contracts and contract management should require contractors to have effective complaints procedures, which should be implemented in the spirit of customer service that reflects the ethos of the County Council. Complaints about services delivered through a contractor or consultant should generally be dealt with under the County Council’s complaints procedure, unless a system for reporting complaints about the service has been put in place under the contract and the arrangements publicised e.g. care services, street lighting faults. Where such a complaint is received, the County Council’s manager for the contract in the service unit should be notified at the earliest opportunity, as the contract arrangements will determine how such matters can be resolved. The acknowledgment should make it clear whether the complaint is being referred to the contractor or is being investigated with the contractor or consultant for reply by the County Council. Complaints about contract works or services should be directed initially to the contractor, if it is the contractor’s responsibility under the contract to address them. The referral should be made promptly. However, the buck stops with the County Council. The service manager must monitor the complaint to ensure that it is addressed effectively. If the contractor fails to deal with complaint effectively, or the complainant is

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dissatisfied with the result, then it should be considered under the County Council’s complaints procedures. It is important to note that in all cases where a complaint is received relating to the County Council’s contractors/consultants, which include a claim for compensation, no admission or mention of proposed steps to address or settle the claim should be made to the complainant unless there has been prior agreement in writing with the contractor/consultant. The contractual arrangements will invariably determine how to proceed and advice from the Legal Services Unit should be sought if there is any doubt.

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Special types of complainant Angry or Aggressive Complainants Customers can often express disappointment, anger and even aggression at a lack of service or poor service. Managers have responsibility to provide and promote a safe working environment and climate of dignity and respect for their staff. Angry or aggressive customers may create an environment where an employee feels vulnerable. To minimise the risk to staff in dealing with angry or aggressive customers, Managers should train their staff to deal with this type of customer complaint effectively using the practical steps below. Angry Customers Practical Steps

Remember LEAF+: Listen, Empathise, Apologise, Fix, plus something extra.

Stay calm: don’t take it personally. Let the customer talk. They are letting off steam and you are

learning about their problem. Listen actively, nod and murmur assent without interrupting. Summarise the complaint to show you have understood. Empathise – let them know you understand their anger, and that you

care about resolving their problem.

Apologise, even if it wasn’t your organisation’s fault, but never accept blame. Focus on the solution. “I’m sorry this has happened, I can deal with this for you. What would make this better for you?”

Take responsibility for solving the problem, but don’t promise what

you can’t deliver. Check they are happy with the solution. If they aren’t, look to see if

there is an acceptable alternative we can offer. If you can’t resolve it straight away, or you need to take the

matter higher, tell the customer. Let them know how long it will take – and keep them posted on progress.

When agreed action has been taken, follow up again to make sure they are happy.

Find a way to give them something extra, the “wow” factor,

that shows you value them and to compensate them for their trouble. It will always pay off in the long run.

Don’t

Talk over the customer Refuse to acknowledge a mistake if one has been made Give the impression the complaint is trivial Get involved in an argument

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Aggressive or Threatening Customers Aggression may involve a more significant level of unacceptable language or behaviour that is intimidating or threatening in nature. Examples of aggressive behaviour are: Rude noises, expressions or gestures Verbal abuse of either personal or general nature Threatening or offensive behaviour Physical violence against property, and Physical violence against a person which may involve seizing, pushing,

hitting, punching or kicking. Aggressive behaviour may also extend to discriminatory behaviour or potential harassment. Examples of discriminatory behaviour and/or harassment are: values and attitudes expressed on the basis of gender, religion, ethnic

background, age or disability differences an inappropriate interest in an officer’s personal life, e.g. by seeking

personal information or a personal relationship suggestive comments or body language and unwanted physical contact comments on dress, physical attributes, personality or sexual activities abusive language and racist "jokes", lewd jokes, offensive language ridiculing a person because of their race or religion, sexuality, disability

or gender Extreme numbers of repeated calls

Practical Steps If a member of staff identifies that a complainant is creating a

threatening environment, the member of staff should politely inform the complainant the conversation will end unless the unacceptable language or behaviour stops.

If the behaviour does not stop as requested, the member of staff should immediately call for a Manager’s assistance or end the conversation, advising the complainant to put the request or concerns in writing.

If necessary, request the person to leave the premises A note of the reason for terminating the call or conversation must be

placed on file and the manager notified The manager may authorise a letter to be sent to the complainant

requesting no repetition of the behaviour and, if necessary, setting conditions and restrictions for further contact with staff.

Further information about handling unacceptable behaviour is in Appendix 3 Unreasonably Persistent Complainants We have discontinued the use of the term “Vexatious complainant” as it often exacerbates the situation. See Appendix 3 for the Council’s Policy on dealing with unreasonably persistent complainants.

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