Assessment Manual

8. Holding and 'Premature' Decisions

8.1 Where there is insufficient information to proceed 

See section 3.6 on making quick enquiries to get the information we need , and the note in section 4.1 on whistleblower and personnel complaints, and do not make enquiries or disclose the complaint to the BinJ where we would not issue the decision to it.

Where BinJs either delay or fail to respond to enquiries, we may consider recording this in the Public Value Remedy/BinJ information screen.

Where required information is not provided by the complainant within the specified timescale, we should close the complaint as ‘Insufficient information to proceed and PA advised’.

Insufficient Information – ECHO instruction

The Assessor must record clear information in the N&A screen about the status of the complaint and the information they needed to make an Assessment decision. This record is required so Intake staff can deal appropriately with the case if further information is received.

8.2 Premature Complaints

Role of the Assessment Team Co-ordinator (ATC)

Intake will continue to decide the majority of premature complaints where the decision can be made safely using the information submitted by the complainant, during an outbound phone call with them, or from a prompt BinJ reply to an enquiry. 

In cases where the BinJ does not reply to Intake quickly, or the BinJ complaints procedure appears not to be working, the ATC will determine prematurity.

All Assessment staff have delegation to make ‘premature decisions’, but only ATCs are currently authorised to do so. Other Assessment staff may only make premature decisions if they have been authorised by their AM. Assessment Investigators will task ATCs if they decide something is premature.

An Investigator or AM will need to consider whether early referral to LGSCO is justified, and whether to exercise discretion and ignore prematurity, for example where the matters in the complaint are OJ or where the BinJ has conducted an appeal or review process. Investigators can make a 26(5)(b) decision that it is not reasonable for the complainant to bring the matter to the attention of the BinJ. Please see the Guidance on Jurisdiction for more on when this might be appropriate.

For a complaint which may be premature, the Investigator should task the ATC to make the necessary checks, and either close as premature, using N&A to inform the letter, or pass the case back to the Investigator if it is not. If the ATC is closing the case as premature, they need to put it in their name by changing ownership in Case Actions, Properties.

Unless the case is a whistleblower or personnel complaint (see note in section 4.1), the The ATC will record the decision on ECHO and send the complainant and BinJ letters informing them of this outcome. This letter to the complainant will:

  • explain we have forwarded their complaint to the BinJ;
  • advise the complainant firmly that we will not remain involved in their complaint; and 
  • explain they should not contact LGSCO until they have completed all stages of the BinJ’s complaints process. 

Resubmission of premature complaints

Where a complainant subsequently exhausts the BinJ’s complaints process and wishes to re-submit their complaint to LGSCO, they may do so by contacting either Intake or the ATC. If Intake have not seen the final response, they will task the ATC to make further checks with the BinJ before resubmitting the complaint.

Where a premature complaint is re-submitted, the original complaint number will be re activated if it was closed within the last twelve months and has not been File Managed. This will be clear from the FM date in the banner at the top of the case. 

If a complainant comes back to us more than 12 months after we have issued a premature or holding decision on a case, we should not reactivate the original case. File management will either have taken place already on the original case or will be imminent. We must therefore set up a new case. Any resubmission documents placed on the original case should be moved to the new case. If N&A has been recreated on the old case, we should manually delete it. 

In all resubmitted cases we should ensure we send the complainant the data privacy notice and relevant letter.

Re-submitted complaints can be subsequently picked up by any member of the Assessment team – they do not have to be dealt with by the original team member unless requested. 

Premature Complaints – ECHO instruction

Resubmitted Complaints – ECHO instruction

Where a complaint has been reopened but subsequently turns out still to be premature, then ATCs should:

  • remove the reopened date and reason on the holding screen; and
  • make a note in N&A with the first premature date and the reopened date.

Anyone else picking up the file will then understand what has happened.

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