COMMUNITY & ADULT CARE DIRECTORATE
CHILDREN & YOUNG PEOPLE’S DIRECTORATE
DEALING WITH COMPLAINANTS WHO DEMONSTRATE UNREASONABLE PERSISTENCE OR
UNACCEPTABLE BEHAVIOUR.
DEALING WITH COMPLAINANTS WHO DEMONSTRATE UNREASONABLE PERSISTENCE OR
UNACCEPTABLE BEHAVIOUR.
Contents
/Page
1.Policy statement / 34
2. Purpose
3. Scope
4. Definitions
5. Legal context
6. Unreasonably persistent complainants
7. Responding to unreasonably persistent complainants / 5
8. Unacceptable Behaviour / 7
9. Options for action / 8
10. Withdrawing unreasonably persistent or unacceptable behaviour status / 9
11. Monitoring and review / 10
Dealing with Complainants who Demonstrate Unreasonable Persistence or Unacceptable Behaviour
1. Policy Statement
Gloucestershire County Council is committed to dealing with all complaints fairly and impartially and to providing a high quality service within agreed timescales to those who complain (see Social Care Complaints Policy). However, there are a small number of complainants who, because of their frequency of contact or their behaviour or actions towards the local authority and its staff, hinder consideration of their own complaints or those of the service users they represent.
2. Purpose
To deal fairly, honestly and appropriately with people who persistently use the social care complaints procedure, while ensuring that other service users, staff members or the Local Authority as a whole do not suffer any detriment and that the Local Authority’s resources are used as effectively as possible.
3. Scope
This policy applies to all social care staff in both the Community and Adult Care Directorate and the Children and Young People’s Directorate, and those service users, their representatives, carers and any other person who qualifies to use the Social Care Complaints Policy.
4. Definitions
“Complaint” - an expression of dissatisfaction or disquiet about the actions, decisions or apparent failings of the Local Authority’s adults, children’s and young people’s care services provision which requires a response.
“Complainant”- any person who makes or has made a complaint in accordance with the procedures and includes a person acting as a representative for someone else
“Complaints manager”- the person appointed under regulation 11 of the Social Services Complaints Regulations to manage the Local Authority’s social care complaints process
“Staff”- any person who is employed or engaged by the Local Authority to provide services.
“Unreasonable persistence” – see Section 6.4 below
“Unacceptable behaviour” – see Section 8.2 below. The Safer Working Practice policy covers aspects of this in more depth, and should be referred to in the first instance for guidance.
5. Legal Context
· The Local Authority Social Services Complaints (England) Regulation 2006 Statutory Instrument 2006, number 1681
· The Children Act 1989 Representation Procedure (England) Regulations 2006 Statutory Instrument 2006, number 1738
· The Adoption and Children Act 2002
· Children Act 1989
· NHS and Community Care Act 1990.
6. Unreasonably Persistent Complainants
6.1 A small number of people complain frequently, persistently and in a manner which causes unacceptable disruption to the work of staff and is sometimes seen as abusive. These complainants are often seeking resolution or redress which cannot be achieved through the Social Care Complaints Procedure.
6.2 Where the Local Authority encounters unresolvable and persistent complaints, it will consider all aspects of why this situation may be developing, recognising the difficulties some people experience when complaining to a large organisation. Everyone will believe their complaints are in some way justified; it is the way in which they pursue them which may be unreasonable.
6.3 The first consideration is why the complainant is persisting with a particular complaint, or bringing a series of complaints which may or may not be related. If it is because the complaints have not been considered in full then the Local Authority should address this. However, if the Local Authority has already done so and has demonstrated this to the complainant, then the Complaints Manager should consider whether the complainant is now unreasonably persistent. The complainant should be reminded of their right to take a complaint to the Local Government Ombudsman, once the local procedure has been exhausted, if they are unhappy with the Local Authority’s response.
6.4 Examples of the behaviour of an unreasonably persistent complainant may include:
· Making the same complaint repeatedly (with minor differences), but never accepting the outcomes;
· Seeking an unrealistic outcome and persisting until it is reached;
· A history of making other unreasonably persistent complaints;
· Making and breaking contact with the Local Authority on a continuing basis.
· Making contact with the Local Authority which is frequent, lengthy, complicated and stressful for staff;
· Behaving in an aggressive manner to staff or being verbally abusive or threatening;
· Continuing to complain about an historic or irreversible decision or incident;
· Changing aspects of the complaint partway through the investigation or review panel;
· Persistently approaching the Local Authority through different routes about the same issue in the hope of getting different responses (the scattergun approach);
· Unwillingness to accept documented evidence as factual or denying receipt of an adequate response, despite correspondence specifically answering their question/concerns. This could also extend to complainants who do not accept that facts can sometimes be difficult to verify after a long period of time has elapsed;
· Not identifying clearly the precise issues they wish to be investigated, despite reasonable efforts to do so by staff and, where appropriate, their advocates;
· Focusing on a small detail to an extent that is out of proportion to its significance and continuing to focus on this point.
6.5 An isolated incident, unless particularly serious, would not be sufficient to define a complainant as unreasonable, but a discernible pattern relating to one or more of the examples would lead to the consideration of such action.
7. Responding to Unreasonably Persistent Complainants
7.1 Any restrictions applied to the complainant will be carefully considered, appropriate, and proportionate to the nature of the contact with the Local Authority at the time.
7.2 Where the relationship becomes unworkable, the Complaints Manager should ensure that they demonstrate that they have considered the complaints as fully as is appropriate. This should normally be through advising the complainant, in writing, that:
· They do not constitute a person who may complain and/or that their complaints do not fall within the relevant criteria for what may be complained about (see the standard Complaints Policy);
· The Local Authority has either offered or provided consideration of the issues through another procedure;
· The Local Authority has already considered the substantive issues at all stages of the complaints procedure; or
· The matters raised are not sufficiently different to justify being considered as a new complaint.
A copy of the correspondence should be kept in the file relating to the service user concerned, and the complaint and its outcome recorded in the on-going record.
7.3 Where the Local Authority has attempted to move the complaint on to the next stage but the complainant has either refused or delayed such progression with objections related to the process, rather than any disagreement about the substantive issues of the complaint, the Local Authority should advise the complainant, in writing, that their approach is causing unnecessary delay, and is an unreasonable use of the Social Care Complaints Procedure.
7.4 If the complainant does not pursue the complaint at the next stage but continues to correspond, the correspondence should be considered. If it raises no significant new matters and presents no new information, the complainant should be informed that the Local Authority is not entering into any further correspondence about the matter. If the complainant still does not take this advice, any further correspondence that does not present significant new matters or new information should only be acknowledged rather than acted upon.
7.5 In all cases where the Complaints Manager decides to treat someone as an unreasonably persistent complainant, they should write to tell the complainant why they believe their behaviour falls into this category (using an example from this policy), what action is being taken and the duration of that action (see Section 9). They should also inform the complainant how to challenge the decision if they disagree with it; this should include information regarding the Local Government Ombudsman.
7.6 If the complainant wishes to challenge this decision then they must write to the Group Director within ten working days from the date they were informed of being unreasonably persistent, outlining their reasons. The Group Director will consider their challenge and respond within a further ten working days outlining their decision. If they write after this time the Local Authority will not reconsider their decision to make a record of that person being “unreasonably persistent”.
7.7 Where the decision stands to treat someone as an unreasonably persistent complainant, a file warning will also be added to the individual’s electronic service user’s file. If the complainant is not the service user, then this will be made clear within the record.
8. Unacceptable Behaviour
8.1 The Local Authority is committed to dealing with all complaints fairly and impartially, and to provide an appropriate service to those who make them. As part of this service, the Local Authority will not normally limit the contact complainants have with their offices. However, the Local Authority does not expect its staff to tolerate unacceptable behaviour by complainants. The Local Authority will take action to protect staff from that behaviour, including that which is abusive, offensive or threatening. The Safer Working Practice policy is the base line for guidance in these circumstances and should always be referred to in conjunction with this policy.
8.2 Examples of unacceptable behaviour include:
· Using obscene, racist, offensive or threatening language in written communications, on the telephone or face to face
· Seeking to coerce or intimidate staff, or abusing or distressing them by the language and tone of telephone conversations
· Threatening, abusive, aggressive or violent behaviour towards staff
· Threatening, abusive, aggressive or violent behaviour or actions directed at other people involved in the events which gave rise to the complaint
· Persistence in sending letters or faxes which demand responses, or making telephone calls or seeking interviews with staff, long after the Local Authority has closed the investigation into a complaint and all rights of review and appeal have been exhausted.
· Making defamatory comments about staff to the media.
8.3 When the Complaints Manager considers that a complainant’s behaviour is unacceptable, they should tell them why the behaviour is unacceptable and ask them to change it, in line with the Safer Working Practice guidance. This should be confirmed in writing together with what action is being taken and the duration of that action. If the unacceptable behaviour continues, the Complaints Manager should take action (set out in section 9 below) to restrict the complainant’s contact with the Local Authority’s offices. In all cases where the Complaints Manager decides to treat someone as behaving unacceptably, they should write to tell the complainant why they believe the behaviour falls into this category, what action is being taken and the duration of that action. They should also inform the complainant how to challenge the decision if they disagree with it; this should include information regarding the Local Government Ombudsman.
A copy of the correspondence and a record of any other contact should be kept in the file relating to the service user concerned.
8.4 If the complainant wishes to challenge this decision then they must write to the Group Director within ten working days from the date they were informed that they were behaving unacceptably, outlining their reasons. The Group Director will consider their challenge and respond within a further ten working days outlining their decision. If the complainant writes after this time, the Local Authority will not reconsider their decision to make a record of that person demonstrating “unacceptable behaviour”.
8.5 Where the decision stands to consider someone’s behaviour as unacceptable, a file warning will also be added to the individual’s electronic service user’s file. If the complainant is not the service user, then this will be made clear within the record.
9. Options for action
Where there are concerns that a person’s unreasonable behaviour may be attributed to a mental health issue, discussion will take place between the Complaints Managers and other relevant professionals. If necessary an alternative course of action will be planned, should any of the standard responses be deemed inappropriate to manage the individual’s behaviour.[1]
The following is a list of options for managing a complainant’s involvement with the Local Authority when their behaviour is deemed to be unacceptable or their persistence unreasonable. Following discussion between the service manager involved and the Complaints Manager it will be decided which staff need to be informed in order to implement and monitor any protocol invoked. This may include the call centre, EDT, specific admin teams and operational teams, as appropriate on a case by case basis.
One or more options may be chosen and applied:
· Placing time limits on telephone conversations and personal contacts;
· Restricting telephone calls to specified days and times;
· Limiting the complainant to one form of contact (telephone, letter, e-mail etc);
· Requiring contact to take place with a named member of staff and on a specific telephone number;
· Asking the complainant to enter into a written agreement about their future conduct if the complaint is to be progressed;
· Requiring that any personal contacts take place in the presence of a witness (including telephone calls);
· Closing the complaint investigation;
· Refusing to register and process any further complaints but providing the complainant with acknowledgements only of the Local Authority’s receipt of further letters, faxes or e-mails received;
· In cases where the Local Authority believes the complainant has committed a criminal offence, for example an assault on staff or criminal damage, or where assault is threatened, or where the complainant refuses repeated requests to leave the Local Authority’s premises, then an immediate police response will be requested[2]. Staff who wish to take legal action against an individual who abuses, assaults or threatens them will be supported by the Local Authority.