Joint Working Manual

Statutory requirements related to joint working cases

Consent

The Regulatory Reform Order inserted into the Local Government Act 1974 (LGA74) sections 33ZA (part 3) and 34N (part 3a) and into the Health Service Commissioners Act 1993 (HSCA 93) section 18ZA. These sections require, at (2), that

A Local Commissioner must obtain the consent of [the person affected] or [the complainant (if any)] before agreeing to a joint investigation referred to in subsection (1) above.

The Order is silent on what consent is actually for. However, LGSCO and PHSO have agreed that consent is required for:

  1. The complaint to be considered jointly; and
  2. For information to be shared between LGSCO and PHSO

Unless reasonable adjustments dictate otherwise, consent should be in writing, though a note of oral consent is acceptable in the first instance, to be followed up with written consent. Where someone has given their consent for another person to represent them in dealing with their complaint, and where we are satisfied that representative is a suitable person, consent for joint working can be accepted from the representative. We should not transfer a case to the joint working team until written consent has been given by either the person affected or their properly authorised representative.

If consent is withdrawn, we cannot investigate the complaint jointly. The ‘no longer joint working’ field should be completed in ECHO and a discussion held with the AO about how to deal with the now separated complaints.

Notification of investigation

Section 11(1) of the Health Service Commissioners Act 1993 says that where PHSO propose to investigate, the organisation involved should be given an opportunity to comment on the complaint. The same requirement is placed on the LGSCO in part 28(1) of the LGA74.

We will advise the organisations (BinJ) involved in a case that we have started to assess the complaint. If we decide that the case needs to be investigated in detail, we will let the organisations know.

If a BinJ, PA or REP raise concerns about the proposal to investigate, these will be dealt with and responded to by the investigator. This may mean the initial scope of the complaint could change once the investigator has considered any comments from all parties.

Where we identify new bodies in jurisdiction during the course of an investigation, we must ensure they are given the same opportunity to comment. The standard letter can be tailored to inform any new BinJs identified at this later stage.

Statutory 52-week letter

Section 14 (2HA) of the HSCA 93 states that:

Where the Commissioner has not concluded an investigation before the end of the 12 month period beginning with the date the complaint was received, the Commissioner must send a statement explaining the reason for the delay to the person who made the complaint.

Therefore, where a complaint has not been decided within 12 months of the date of receipt by PHSO, the allocated investigator will send a letter to the complainant explaining what action has been taken on the complaint. There is a specific field on the joint working screen to record when the statutory letter is due, and when it was sent. The due date field will also set a task to advise the letter is due. The task date is set for 50 weeks from the date of receipt so allows time for the letter to be sent before the due date. Usually, the letter will be sent as a standalone document, but in those instances where it coincides with other correspondence, such as a draft decision, it can be included in that letter.

However, the letter should be clear that the explanation is included to meet the statutory requirement. Statutory letters should be sent in the two-week period between the task being due and the 52 week anniversary of the complaint being received, and not after the 52 week anniversary. PHSO must report to Parliament all instances where a statutory letter is sent late. There may be exceptional instances where it is not appropriate to send a statutory letter, but approval should be sought from the Assistant Ombudsman in those instances.

Where a case has been resubmitted, the date the statutory letter is due will be based on the resubmitted date, and not the original date of receipt. JWTCs will amend the ‘date received by JW body’ field and ‘statutory letter target date’ fields to reflect the revised dates.

Where a case was initially submitted to LGSCO, and then it was identified that the case should be joint working, and therefore the HSCA 93 is engaged, the 52-week period will run from date the PA/REP gives written consent for joint working. As it is at that point, the team will be acting on behalf of both Ombudsmen. 

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