PROCEDURES FOR INDEPENDENT COMPLAINTS INVESTIGATOR (ICI) COMPLAINTS
REVISED DECEMBER 2009
Step 1
The Independent Complaints Investigator (ICI) receives a complaint. The ICI advises the department concerned that the complaint has been received. The ICI decides whether it is a matter that s/he can investigate by reference to the investigating guidelines (approved by Corporate Management Team) see appendix 1.
Where investigation is not appropriate the ICI advises the complainant and offers appropriate advice. This may include referring the complaint back to a department for investigation if the complainant has not yet raised a complaint with them. The department is informed of what the ICI has advised.
Complaints do not need to be in writing by the complainant. If the complainant would prefer not to put their complaint in writing then the Independent Complaints Investigator will do so on their behalf.
Step 2
Where the complaint is to be pursued, the ICI simultaneously contacts the complainant and the relevant manager and director. The contact with the department needs to be a question and answer process to decide whether or not to go to a formal investigation. The letter to the complainant summarises the complaint and tells him/her when to expect a reply.
The department will be sent a copy of the complaint. Departments are asked for their comments on the case and given a response time (usually 10 to 20 working days depending on the complexity of the complaint). The department’s response will be prepared by either the director or a named senior manager. Where the complainant has emailed or written in, this will be copied to the department otherwise they will receive the ICI’s summary of the complaint. In cases where substantial documentation is submitted in connection with a complaint the ICI will summarise the issues that s/he is investigating for the department.
On receiving the response from the department the ICI will either decide:
a)the case has been resolved informally; or
b)there has been no maladministration; or
c)there may be a case that maladministration has occurred; or
d)that the response from the department is inadequate.
Where either a) or b) options are appropriate the ICI will write to the complainant and copy it to the department.
Step 3
If either no response or an inadequate response has been received within the time limits of Step 2, or it appears that maladministration has occurred, the Independent Complaints Investigator will copy all correspondence to the Director. The Director will convene a meeting within 10 working days (taking account of the part-time hours worked by the ICI). The Director will decide which members of his/her staff will attend the meeting.
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Step 4
Following the meeting the ICI will make a decision. The communication of that decision will depend upon the severity of the findings.
No maladministration
Where there is no maladministration the ICI issues a letter to the complainant and copies it to the department.
Maladministration but no injustice
Where the ICI considers there is maladministration but no injustice, he/she will ask the department to comment on the factual content of the response prior to it being sent to the complainant. Departments will respond within 7 working days.
Maladministration with injustice
Where the ICI considers there is maladministration with injustice he/she will issue a draft report to the department’s director inviting comments on the factual content of the report. S/he will also offer the department a meeting to discuss the report. A copy of the draft report is also sent to the Chief Executive for information. Departments will respond within 10 working days.
Where the report is accepted by the department it is then sent to the complainant. The ICI advises the complainant that the department will respond on behalf of the Council within 10 working days of the report’s despatch. The response will be from the director in person. A copy of the report will be sent to the Director of Central Services as the Council’s Monitoring Officer.
Where the report is not accepted by the department it is then sent to the Chief Executive for discussion with the ICI and the Director involved. 10 workings days will be allowed for this discussion. The report will be sent to the complainant 10 working days after it has been sent to Chief Executive. The ICI will advise the complainant that the Chief Executive will respond on behalf of the Council within a further 10 working days. A copy of the report will be sent to the Head of Legal Services as the Council’s Monitoring Officer.
Remedies
Where there is a finding of maladministration or maladministration with injustice, the ICI will recommend a remedy or compensation in accordance with the guidelines attached at appendix 2.
Additional notes
The ICI will make it clear in correspondence with the departments which stage the complaint has reached.
The ICI has a target time of 35 working days to resolve all complaints. Where Directors are unable to meet the target times laid down in Step 3 they are requested to let the ICI know as soon as possible so that s/he can advise the complainants accordingly.
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Attachments:
Appendix one - Independent Complaints Investigator Investigating Guidelines
Appendix two - Guidelines on Remedies and Compensation
Appendix three - Definitions of Maladministration and Injustice
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Appendix 1
INDEPENDENT COMPLAINTS INVESTIGATOR
INVESTIGATING GUIDELINES
The Independent Complaints Investigator service was last reviewed by the authority’s Corporate Management Team in January 2007 with some further minor updating in December 2009.
Terms of Reference of Independent Complaints Investigator
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Matters arising within the last two years
Matters arising more than two years ago
Matters relating to the conduct of Councillors (at the request of Standards Committee)
Personnel matters (at the request of the Head of Human Resources)
Matters previously considered or currently being considered by LGO
Matters previously considered by ICI
Matters arising from commercial contracts which have an impact on tenants or recipients of public services. Investigations of provider and/or client side. Matters taken up directly with providers will be undertaken with the client’s knowledge.
Matters where the complainant has an alternative right of appeal or review or the right to bring legal proceedings.
Matters which have given rise to current civil or criminal proceedings to which the Council is a party.
Matters which have given rise to civil or criminal proceedings to which the Council is not a party.
Yes
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No
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[ T ]
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Discretionary
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[ T ]
[ T ]
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Compensation
The Independent Complaints Investigator can make a recommendation to the Director of the department concerned for compensation up to a maximum of £500 to be paid to a complainant. Any larger payment for compensation would need to be reported to Committee. However, legal and insurance advice will need to be sought as appropriate.
Performance Measures
A maximum target time of 35 working days should be observed from receipt of the complaint by the Independent Complaints Investigator to the issuing of his/her report.
The Independent Complaints Investigator will issue an annual report in May of each year in the agreed format.
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Appendix 2
GUIDELINES ON REMEDIES AND COMPENSATION
1.Introduction
Where the Independent Complaints Investigator is satisfied a complainant has been prejudiced by a failure on the part of the Council, the question of an appropriate remedy will arise.
Each case should be considered on its own merits, taking into account:
1.The remedy sought by the complainant;
2.The complainant’s behaviour particularly if he/she has contributed to his/her difficulties or failed to take reasonable steps to mitigate them;
3.These guidelines, so that as far as possible similar cases are dealt with consistently.
2.Types of Remedy
1.Apology and Explanation
Many complainants are simply seeking an apology and reassurance that a similar mistake will not be made again. All justified complaints should result in an apology from the department(s) responsible, together with an explanation as to how the mistake arose and what steps have been taken to prevent a recurrence.
2.Specific Action
In many situations it is possible to take practical steps to put right any mistake or at least to mitigate it. If specific action is possible it should almost always be preferred to financial compensation. In some situations the remedy may consist of specific action and compensation under headings 3C and D.
3.Financial Compensation
A.Money Due not Paid
If the Council has failed to pay money due to a complainant it should be a straightforward matter to arrange reimbursement from the department responsible. If the money has been outstanding in excess of three months it may be appropriate to make an award of interest. This should be calculated at the county court standard rate for the relevant period. In these cases the complainant’s conduct will not be relevant to the payment of the amount due but may impact on any decision to pay interest.
Any payment under this heading would not preclude additional payment
under either C or D.
B.Quantifiable Loss
If it is possible to put a figure on an actual loss suffered by a complainant or additional expenditure incurred as a direct result of the Council’s failings, this should be a starting point for calculating compensation. Again it may be appropriate to include an additional payment under headings C and D.
C.Distress
This heading covers matters such as stress, anxiety, frustration, uncertainty and inconvenience. Consideration should be given to the length of time involved and whether other members of the complainant’s family were affected.
In most circumstances compensation under this heading would not exceed £500. If an element of an award is paid in respect of distress this should be made clear to the complainant.
D.Time and Trouble
This is quite separate from Distress and in recognition of the time spent by the complainant pursuing the matter. Consideration should be given to the number of contacts with the Council and the quality of their responses.
In most circumstances compensation under this heading will not exceed £100. If an element of an award is made for time and trouble this should be made clear to the complainant.
As complainants do not usually need professional help, either to approach the Council or the Independent Complaints Investigator the reimbursement of professional fees should only be made in exceptional circumstances.
Note
All payments will need to be in accordance with the Late Payment of Commercial Debts (Interest) Act 1998 where appropriate.
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Appendix 3
DEFINITIONS OF MALADMINISTRATION AND INJUSTICE
The Independent Complaints Investigator uses the same definitions of maladministration and injustice as the Local Government Ombudsman.
Maladministration
The law does not define “maladministration”, but it means that there has been a fault in the way the council has or has not done something. (We cannot question what a council has done or decided simply because you do not agree with it.)
For example, it would be maladministration if a council:
- took too long to do something;
- did not follow its own rules or the law;
- broke its promises;
- treated you unfairly;
- gave you wrong information; or
- did not make a decision in the correct way.
Injustice
You might have an injustice if you:
- did not get a service or benefit you were entitled to or there was a delay before you got it;
- suffered financial loss; or
- were caused distress or upset.
However the Independent Complaints Investigator may decide not to investigate the complaint if:
1)the injustice of which you are complaining is relatively minor; and
2)it would not in his/her view, justify an investigation.
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