Complaints handling policy

Document statement

Waverley aims to give excellent service to all its customers and to put things right for the customer when problems arise.

This document sets out Waverley’s approach to dealing with customers’ complaints, ensuring that complaints are investigated as quickly and efficiently as possible, and that we learn from past events to help improve services for the future.

The Policy takes into account the requirements of the Housing Ombudsman’s complaint handling code.

Complaints handling policy

What is a complaint?

An expression of dissatisfaction, however made, about the standard of service, actions or lack of action by the organisation, its own staff, or those acting on its behalf, affecting a resident or group of residents.

This could be about:

• a failure or delay in delivering a service
• providing a poor-quality service
• concern about the attitude or behaviour of a member of our staff
• a failure to follow Council policies or procedures
• concerns about alleged fraud or corruption

Complaints submitted via a third party or representative, for example by a councillor or MP, will be dealt with in line with this policy, provided that the complainant has given their permission for the third party or representative to act on their behalf.

We will not usually consider a complaint about a matter that occurred over 12 months ago, where legal procedures have started or where the issues being complained about have already been considered under the complaints procedure.

What is not a complaint?

Service requests ie a request from a customer to the Council requiring action to be taken to put something right, are not complaints. However, a complaint will be raised if the resident expresses dissatisfaction with the response to their service request, even if the handling of the service request remains on-going.

Matters which are covered by a separate appeal or review procedure, are not covered by this policy for example:

• planning appeals
• benefit appeals
• Council Tax or business rates appeals
• Councillor conduct complaints

Policy aims

1. Improved customer service – at least with the process if not the outcome.

To be achieved by:

• Putting things right for the customer promptly, and if possible putting them back to the position where they were before the problem arose.
• Acknowledging fault where appropriate.
• Dealing with customers’ complaints with as little delay as possible.
• Demonstrating listening and empathy for the customer’s situation.

2. Continuous improvement in services – of benefit to customers as a whole and the organisation.

To be achieved by:

• Learning from past events including mistakes, taking prompt action to put matters right.
• Where appropriate, revising administrative processes so that services are provided more efficiently.

3. Making the best use of limited resources – of benefit to customers and the organisation.

To be achieved by:

• Ensuring that there is a thorough investigation of the issues raised by the complainant.
• Ensuring that all staff handling complaints have the appropriate training.

Principles of Waverley’s complaints handling

Providing an accessible and well-publicised complaints handling procedure

• We will ensure that details of our complaints procedure are published on the Council’s website and are available in printed form for those customers who do not have access to the internet.

Ensuring that our complaints handling procedure is focused on the customer

• We will be flexible in how complaints are received – by phone, letter, email, via the internet or in person.
• We will treat all customers fairly and impartially.
• We will be sensitive to customers’ individual needs, empathising with the customer’s situation.
• We will make reasonable adjustments for customers where appropriate under the Equality Act 2010, keeping a record of those adjustments which will be kept under active review.
• We will make sure that all responses to a complaint include the ‘complaint definition’ ie our understanding of the issues being raised by the complainant.
• We will take an objective view of the issues being complained about, to get a clearer understanding of what has caused the complaint.
• We will encourage staff to try to resolve complaints at the earliest opportunity, thereby benefiting the customer and organisation.
• We will ensure that all complaints are investigated initially under Level 1 of the Council’s complaints procedure before progressing to Level 2. If appropriate we may fast track the investigation of complaint that require urgent attention by responding to those complaints in a shorter timescale that the Council’s target response targets of 10 working days for Level 1 complaints and 20 working days for Level 2 complaints.

Providing clear and timely responses

• We will give the customer clear timescales for acknowledging, investigating and responding to complaints, keeping the customer informed of any delays.
• We will use plain English, addressing all the points raised and will explain why an expected outcome is not achievable.
• We will make sure that all staff are aware of the complaints process and that all staff dealing with complaints are suitably trained in the importance of complaints handling.
• Where it is necessary to extend the timescale for response to a complaint at either Level 1 or Level 2 due to the complexity of the complaint, we will inform the complainant of the expected timescale for response making sure that any extension is no more than 10 working days, and explaining the reasons for this extension. We will also provide them with contact details of the appropriate Ombudsman.

Providing clear outcomes and where appropriate a remedy

• We will acknowledge if we have been at fault and will take prompt action to put matters right.
• We will ensure that appropriate remedies can be provided at any stage of the complaints process without the need for escalation.
• We will ensure that learning points are acted upon promptly, to achieve continuous service improvement.
• We will ensure that customers are aware of how they can escalate their complaint to the Local Government and Social Care Ombudsman or to the Housing Ombudsman Service, as appropriate and at any stage of the complaints procedure.

Complaints procedure

The Council will publish a clear procedure for dealing with complaints from its customers, and for advising customers how they can take their complaint to the appropriate Ombudsman if necessary.

Document improvement

The Council welcomes comments and feedback on its policies and procedures. Please contact the Corporate Complaints Officer if you have any comments.

Related information

Other related Council policies / information

Policy for dealing with unreasonably persistent complaints and unreasonable complainant behaviour

Other documents

Housing Ombudsman Service – Complaint Handling Code

Waverley’s complaints procedure

Waverley’s complaints procedure has two levels:

Level 1

Complaints will initially be investigated by the appropriate Team Leader or Manager in the Service that is being complained about.

Level 1 complaints will be acknowledged within 3 working days and responded to within 10 working days with details of how to escalate the matter to Level 2 if the complainant is not satisfied with the response.

Level 2

If the customer is unhappy with the response to their Level 1 complaint they can ask the appropriate Assistant Director to investigate their concerns under Level 2.

Level 2 complaints will be acknowledged in 3 working days and responded to within 20 working days with details of how to escalate the matter to either the Local Government and Social Care Ombudsman or the Housing Ombudsman Service as appropriate if the complainant is not satisfied with the response.

All complaints must be investigated initially under Level 1 of the Council’s complaints procedure and responded to using the appropriate template.

Roles and responsibilities

Assistant Directors

Assistant Directors are responsible for ensuring that:

• Responses to Level 2 complaints are comprehensive, impartial and objective, and that any outstanding concerns are addressed in full.
• Learning and improvement from complaints is properly disseminated and implemented within the Service.
• Priority is given to those complaints where there is a clear, serious and continuing detrimental effect on the service user or the Service that needs to be addressed promptly.
• Staff who deal with Level 1 complaints have the appropriate training to investigate and respond to customer complaints.

Team Leaders and Managers

Team Leaders and Managers are responsible for ensuring that:

All complaints are logged by their Service Complaints Administrator

• Wherever possible the complaint is responded to within the target time of 10 working days for Level 1 complaints.
• The response includes the complaint definition (ie the Council’s understanding of the complaint and the outcome the complainant is seeking) and addresses each aspect of the complaint.
• The quality of responses is high, using the Level 1 template and plain English.

Corporate Complaints Officer

The Corporate Complaints Officer is responsible for:

• Managing the Council’s complaints handling database and working with Service Complaints Administrators to ensure efficient and timely handling of complaints.
• Keeping under close review all complaints received at Level 2 and providing direct assistance to Assistant Directors in the investigation of Level 2 complaints.
• Providing guidance and training to staff on good complaints handling, including response templates, and on the requirements of the Housing Ombudsman’s complaint handling code and the proposed Local Government and Social Care Ombudsman’s complaint handling code.
• Responding to requests for information received from the Local Government and Social Care Ombudsman and the Housing Ombudsman Service in respect of complaints they have received about Waverley’s services.
• Acting as the Council’s Link Officer with the two Ombudsman Services.
• Providing statistical information on performance in complaints handling to the Chief Executive, Directors, Assistant Directors, senior managers and Councillors.

Service Complaints Administrators (SCA)

A list of the SCAs and their deputies is included as appendix 1.

SCAs are responsible for:

• Logging complaints on the complaints database.
• Acknowledging complaints and confirming to the complainant the name of the investigating officer and the date on which they can expect a response.
• Completing the complaint record once the complaint has been responded to, and recording any lessons learned and action taken as a result.

Complaints database

The complaints database holds the following information:

• contact details for each complainant
• copies of the incoming correspondence and Waverley’s response
• the outcome of the complaint ie whether upheld or not upheld; and
• where appropriate, lessons learned and action taken

Complaints received from a third party

In accordance with the Data Protection Act 1998, Waverley is legally obliged to ensure that all personal data it holds about individuals is kept securely and is not disclosed to a third party without the permission of the individual to whom the data relates. Therefore when a complaint is received from a third party acting on behalf of the complainant, it is essential that the complainant is asked to confirm that they have agreed for their complaint to be dealt with in this way.

In cases where a third party is unable to provide evidence that they have been authorised by the complainant to act on their behalf, the complainant should be asked to confirm third party authorisation - see appendix 2.

Complaints submitted by MPs and Councillors on behalf of a complainant will be investigated and responded to in accordance with the complaints procedure, and the response sent to the complainant with a copy to the MP or Councillor as appropriate.

Investigation of complaints

A note on the general principles to be followed when investigating complaints can be found in appendix 3.

Responding to complaints

A complaint response should be provided to the complainant when the answer to the complaint is known and not when the outstanding actions required to address the issue are completed. The response should include the ‘complaint definition’ ie a summary of the issues being raised by the complainant.

The response should address all the points raised by the complainant and provide clear reasons for any decisions, referring to relevant policy, law and good practice as appropriate.

All responses at Levels 1 and 2 should be sent using the appropriate template.

Remedies

Appropriate remedies

When a complaint is upheld there needs to be an appropriate remedy, and if they have not done so already the complainant should be asked how they would like their complaint to be resolved. The Local Government and Social Care Ombudsman advises that: ‘As far as possible the complainant should be put in the position he or she would have been in had things not gone wrong’.

Remedies include:

• An apology.
• An explanation of the way the matter was handled and what went wrong.
• Action by Waverley to make sure that the problem complained about does not happen again which could include a review of policy and procedures, and feedback to the complainant on how their complaint has been used to improve the service.
• A face to face discussion/interview.
• Compensation which may not always be money but could include vouchers or an offer to provide another form of assistance to the complainant.

Financial compensation

There may be circumstances when a customer has grounds for claiming compensation if there is evidence that:

• the Council failed to do something or did something wrong or badly
• the error or omission amounted to negligence or a failure to meet a legal obligation to the complainant; and
• the complainant suffered financial loss, additional expense or inconvenience as a result

Arrangements for paying financial compensation

If it is established that liability lies elsewhere e.g. with one of the Council’s contractors, they will be asked to pay all or part of the compensation awarded.

All compensation payments must be authorised by the relevant Assistant Director of the Service concerned.

Appendix 4 sets out a short check list of the steps to be followed by officers dealing with requests for financial compensation from a complainant

Dealing with unreasonably persistent and unreasonable complainants

An unreasonably persistent complainant is a person who:

• Repeatedly makes an unreasonable complaint or expects an unrealistic outcome; or
• Makes a reasonable complaint in an unreasonable way (for example by making excessive demands on time and resources of staff, changing the basis of the complaint as the investigation proceeds, refusing to accept that certain issues are not within the scope of our complaints procedure or refusing to accept the Council’s response).

This issue is addressed in more detail in the Council’s policy on dealing with unreasonably persistent and unreasonable complainants.

Appendix 1 - Waverley’s Service Complaint Administrators

• Regulatory Service and Environmental Services– Anna Pride, Ed Hornby
• Planning Development and Planning Policy – Lucy Ireson, Claire Reina
• Housing – Sharon Bryden
• Assets and Property– Caroline Wallis supported by Debbie Smith
• Communities Services – Clare Arnold
• Finance – Sharon Civil
• Property and Engineering – Nick Laker
• Legal and Democratic Services – Laura Richardson
• (Sue Petzold – Corporate Complaints Officer)

Appendix 2 - Authorising third party involvement in communications with the Council

In accordance with the Data Protection Act 2018, Waverley Borough Council is legally obliged to ensure that all personal data it holds about individuals is kept securely and is not disclosed to a third party without the permission of the individual to whom the data relates.

If you would like a third party, ie another person including your local MP or Councillor, to help you communicate with the Council, or you would like them to communicate with the Council on your behalf, we will need your permission.

• Send us an authorisation email answering the questions.
• You must also send a copy to the person who is taking action on your behalf.

Questions you must answer in the email

1. Your name:

2. Your address:

3. Summary of the matter you would like to raise with the Council:

4. I authorise:

to communicate with the Council on my behalf regarding the matter summarised.

5. Their contact details are as follows:

6. I confirm that I authorise Waverley Borough Council to release to the person named above any personal information about me that is held by the Council and which is relevant to the matter I wish to raise. I understand that the above authorisations will remain valid for six months from the date on which I sent this request.

  (a) Your name:

  (b) Date:

7. Please confirm your contact email address:

Send us an email to give a third party communications permission

Appendix 3 - General principles to be followed in the investigation of complaints

How a complaint is received should not make a difference to how it is investigated, although a written complaint is likely to include more detailed information. Some, or all of the following steps, will need to be taken:

• Establish what issues are being raised by the complainant and the outcome being sought e.g. apology, compensation etc.
• Research relevant legislation, policy, procedures.
• Establish a chronology of events i.e. who did what and when.
• Consult other members of staff as necessary.
• Seek legal or insurance advice if necessary.

Points to bear in mind when preparing a response to complaints received in writing

Tone and style

Written responses to complainants should be professional but customer friendly. It is important to remember that most complainants will not be familiar with how the Council works and services interact. It is also important to make it clear to the complainant that their complaint is being taken seriously.

General context

Replies should:

• Set out the complaint definition, ie what the complaint is about.
• Answer all the points of concern raised by the complainant.
• Set out briefly, but clearly, any legislation, policy, procedures and good practice issues relevant to the complaint, enclosing any supporting documents where necessary.
• Explain any recommendations and remedies arising from the complaint.
• Use Plain English, avoiding jargon, technical terms and uncommon abbreviations as much as possible.
• Avoid very long paragraphs or sentences. All sentences should be concise and clear.

Apologising

An apology should always be offered in cases where the Council has made a mistake.

Points to bear in mind when responding to complaints made by telephone or in person

Complaints will often be made over the telephone or in person. When receiving such a complaint, every effort should be made to resolve the complaint by:

• Actively listening to what the complainant is saying to show the complaint is being taken seriously and providing verbal encouragement e.g. ‘Yes’, ‘No’, ‘I see’.
• Not interrupting and allowing the complainant to air their concerns.
• Asking open questions to gain information and get to the root of the problem e.g. how, when, what.
• Answering questions as fully as possible and if the answer is not known, promising to find out and call them (back), or write if they prefer, with a deadline by when this will be done.
• Providing the member of staff’s name who is dealing with the complaint and using the complainant’s name (if provided).
• Not blaming the ‘system’ or another service area – many customers make no distinction between different parts of the Council.
• Avoiding reaching any conclusion without all the relevant information.

But remember that the Council does have a Policy on Dignity and Respect at Work, and that officers should not be subjected to unreasonable behaviour.

Appendix 4 - Steps to be taken when considering whether financial compensation should be paid to a complainant whose complaint has been upheld or partly upheld

All compensation claims should be considered in the first instance under Level 1 of the Council’s complaints procedure, and should be logged on the complaints database.

Careful consideration should be given to the following:

• Why is the complainant claiming financial compensation?
• How much compensation has been requested, and is this regarded to be reasonable and/or justified?
• Has the complainant provided evidence eg photos, receipts, costings to support their claim?
• Has the claim been considered by the Council’s Legal Service and/or the Council’s Insurance Officer, and what are their recommendations?
• Does the claim relate to repairs covered by the Right to Repair legislation (in which case the amount being claimed should not exceed £250)?

All compensation payments must be authorised by the relevant Assistant Director.

Any compensation paid needs to be consistent with other cases of a similar nature to offer a sense of equity between complainants.