Introduction
Aims of investigation
Investigating complaints is our main job and at the heart of everything we do. In our investigation of complaints we aim to:
- Resolve complaints of injustice arising from maladministration and service failure by local government and other bodies in a way that is timely, open and independent.
- Protect the fundamental freedoms and human rights of citizens in their relations with local government.
- Increase public confidence and trust in local government and in the complaints system as a whole.
- Provide local government with feedback from our investigations to improve local services, complaint handling and governance.
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Approach to investigation
The Commission believes that the best way to acheive these aims is to give staff as much discretion as possible in how to investigate complaints, within a framework of key principles and certain mandatory requirements.
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Key principles
When investigating complaints we should have regard to the following key principles:
- We should be customer focused and mindful of the needs of both complainants and authorities.
- We should take into account complainants' preferences as to how we pursue their complaint and desired outcomes.
- We should approach investigations flexibly and proportionately to the seriousness of the case, using opportunities for informal resolution where appropriate.
- We should maintain a clear record of the reasons for each significant step in handling a complaint.
- We should be open in providing complainants and authorities with documents or information which we have considered (whilst respecting any proper limitations on disclosure).
- We should deal with complaints as quickly as possible, but without compromising fairness or quality.
- We should explain our reasons for decisions.
- We should be alert in the course of our investigations to injustice that may have been suffered by third parties and investigate this, and include it in our recommendations, where appropriate.
- We should be alert to identifying wider issues arising from our investigations which could lead to improvements in service delivery, decision making or complaint handling by councils and take these up with councils on an individual case basis and through Annual Reviews to councils.
- We should follow up recommended procedural reviews or improvements to make sure they have happened and tell complainants the outcome.
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Mandatory requirements
Mandatory requirements are shown throughout the investigative procedures and guidance documents in italic type. A summary of the main ones are set out below.
Some are mandatory because of requirements of the Local Government Act 1974 as amended. Other actions are mandatory because the Commission has decided that they are essential to meet the aims and principles of investigations, to provide the necessary level of quality and consistency in approach and to ensure that we produce accurate and useful complaint data.
- Make early personal contact with a complainant - see initial contact
- Throughout the life of a complaint consider the exercise of jurisdictional discretions and record the outcome of this consideration and the reasons for it on the file - see exercising discretions – Sections 26B, 26(6), 24A(6) and 24A(7).
- If investigating, give a local authority an opportunity to comment – Section 28(1).
- Keep all parties up to date with progress generally at least every 28 days - see service standards
- Conduct investigations in private – Section 28(2).
- Tell an authority that a complaint has been made, the outcome and reasons for the decision – Section 30(1) (unless covered by an exemption) – see provisional view letters and decisions on complaints
- Prepare, consult on and issue a report in all cases where an investigation is complete – see reports – Section 175.
- Maintain files in accordance with key principles – and keep accurate electronic records of the registration progress and outcome of complaints – see electronic record keeping
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Who does what?
Some of the sections in this guidance suggest who, generally, will do what. But, apart from instances which reflect the delegation arrangements, this is not intended to be prescriptive. Some arrangements in each office may vary, and a key to achieving our aims is reasonable flexibility in roles.
Page last updated: March 2010
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Date Updated: 12/04/10