The corporate complaints policy is a corporate procedure which complements any specific statutory or internal procedures. It should be read in conjunction with these.
1. Roles and responsibilities
This policy is subject to a regular review to make sure it remains effective and practical.
The executive director: communities is responsible for agreeing any minor changes to the policy in consultation with the chair of the governance and audit committee.
Any changes will be based on experience of the policy or good practice identified by the national and southern regional complaints managers groups or the Local Government and Social Care Ombudsman (LGSCO).
Executive directors are responsible for the management of complaints within their own directorate, within the corporate guidelines.
The corporate complaints team will provide advice to council services on the application of this policy.
2. Complaints at Bracknell Forest
This policy reflects and supports a positive complaint handling culture. It aims to build better relationships with residents and provide an opportunity for learning and improvement of council services.
Effective handling and investigation of a complaint should demonstrate:
- accountability
- transparency
- clarity of council processes
This policy includes the definition of and process for handling service requests, which may come before a complaint.
This policy looks at issues which have personally affected the complainant, or group of complainants, in their position as a service user or local resident. Complaints about discrimination, victimisation or harassment made on behalf of others will be considered.
The process for handling complaints should be followed unless there are good reasons not to. In such situations, the key principles of this policy still apply.
The actions of contractors or other bodies acting on behalf of the council should be considered as the council’s actions. Services should have clear arrangements for complaint handling in any contract or agreement under which a partner provides public services. If a third party responds directly to a complaint, this is considered a response from the council. Arrangements should make sure that partners respond in line with the council’s approach. This does not apply to care providers acting on behalf of the council as these complaints come under a statutory process.
3. Key principles
We resolve problems at the earliest opportunity. Individuals should not have to escalate a complaint to get an appropriate remedy.
We are fair, transparent and honest.
We make sure that residents feel valued and their concerns are heard.
We make complaint decisions on the balance of probabilities.
We work together between teams where issues are raised across the council.
Services take ownership for their actions and their learning.
We provide regular monitoring information to develop insights and support council improvement.
4. Definition
A complaint is an expression of dissatisfaction, however made, about the standard of service, actions or lack of action by the council, its employees or those acting on its behalf affecting an individual or a group.
This policy refers to an individual complainant, but also applies to a group of complainants.
A complaint against a council policy may be made under the complaints procedure.
5. Exclusions
The corporate complaints policy does not cover the following areas:
- issues covered by the statutory procedures of individual departments, for example, statutory social care complaints - read more information on our complaints pages
- issues covered by data protection legislation - read more information on our data protection page
- matters for which a right of appeal to a tribunal, or other legal remedy, exists
- complaints:
- which are subject to open legal proceedings (from the date the individual or the council started legal proceedings by registering the matter at court or tribunal)
- where a court has decided on the specifics of the complaint or matters which cannot be separated from the complaint
- requests for a service or information, or clarification of policies, procedures or services
- complaints by a professional about matters related to their professional activities, or complaints by a professional body or organisation, however:
- complaints from an individual or small business about their business activities can be considered under this policy
- large organisations seeking significant compensation may be expected to use other legal methods
- complaints which relate to contracts between the council and a third party - complaints about council services delivered under a contract are included under this policy
- complaints about councillors or co-opted members under the councillor code of conduct
- complaints against more than one council
- complaints where the central issues have previously been investigated under this procedure (or a previous version)
- complaints which are being or have been investigated by the LGSCO
- complaints about personnel matters, such as employment or disciplinary issues
- complaints made on behalf of a third party where the person affected has not provided sufficient consent for the complainant to act on their behalf - we may use information provided for an internal investigation or review, where the UK General Data Protection Regulation would allow us to
- anonymous complaints - they should be forwarded to the relevant service to make sure action is taken where appropriate and that we learn from customer feedback
The following is not usually considered under this policy:
- complaints made more than 12 months after the issue occurred or the complainant became aware of the issue (if later) - we will consider whether to apply discretion to accept complaints made outside this time limit where there are good reasons to do so
- issues that affect most people in the area
Each complaint is considered on its own merits and in line with the key principles of this policy. If we decide not to accept a complaint, we will explain our reasoning.
6. How a complaint may be made
We make it easy for individuals to complain by providing different channels to make a complaint.
We use an online complaints form to support consistent and effective complaint management. We will direct individuals to the online form to make their complaint. If an individual needs help to complete the form, they can call customer services on 01344 352000.
Complaints made in person or over the phone to any member of staff are recorded on the online form. Staff should signpost to the online form and advise that it is the most effective route to complain. If the individual does not wish to complete the online form themselves, the staff member should complete it for them and get confirmation that the complaint information is correct.
Before signposting, the staff member should attempt to resolve the individual’s concerns wherever possible.
Complaints made by letter are accepted. The responsible directorate will raise an online form.
7. Service requests
A service request is a request that the council:
- provides or improves a service
- fixes a problem
- reconsiders a decision
Service requests are not complaints but may contain expressions of dissatisfaction. It is usually the first time someone raises their concern with us.
Service requests are our opportunity to resolve matters to an individual’s satisfaction before they become a complaint. They should be dealt with quickly and effectively by a member of staff or manager in the relevant service area.
Service requests can provide useful insights and are recorded, monitored and reviewed regularly. Recording, monitoring and reviewing service requests is the responsibility of each directorate.
An individual may raise a complaint if they are not satisfied with our response to their service request, even if we are still working on the service request. We will not stop efforts to address the service request if the individual complains.
Some individuals may not want to escalate their service request to a complaint. They should be given the option to raise a complaint but should not feel any requirement to do so.
8. Managing complaints
Executive directors are responsible for the management of complaints within their directorate. Complaints are dealt with by individual service areas.
The corporate complaints team provides oversight of complaint performance and of the corporate complaint process, as well as advice and support on individual complaints. The corporate complaints team collates data provided by each service area to develop insights into complaints and support learning.
The executive director’s PA logs and monitors complaints in their directorate. Some services have additional officers who handle specific complaints in their area. In this policy, the executive director’s PA and other relevant officers handling complaints are referred to as complaint coordinators.
In the people directorate, the complaints manager logs and monitors complaints and acts as the complaint coordinator for the directorate.
If a complaint does not relate to a specific directorate, the head of corporate complaints will review the complaint and allocate it to a lead service to coordinate the response. The complaint will be logged and handled by the complaint coordinator from the lead service.
If a complaint involves 2 or more directorates, the receiving directorate will deal with the complaint in conjunction with the other directorates. The individual will only receive one response from the council, which should be agreed by all directorates concerned. Any dispute between directorates will be resolved by the executive directors of the directorates concerned.
9. The complaints procedure
The corporate complaints procedure has 2 stages.
Stage 1 complaint
The complainant may have already raised the issue as a service request and remain dissatisfied with the outcome. There is no requirement for a service request before a stage one investigation.
Making the complaint
The complainant should give details of:
- the complaint
- what action has been taken so far to resolve the matter
- what they would like the council to do about it
The complainant may decline to make their reasons for the complaint clear. In these cases, we may proceed with the information we have or, if this is not possible, decline the complaint and signpost to the LGSCO.
Receiving and acknowledging the complaint
The complaint details are sent to the complaint coordinator of the relevant directorate or service. Within 5 working days of the council receiving the complaint, the complaint coordinator will carry out the following:
Validation
Confirm whether the complaint can be reviewed under the corporate complaints procedure (section 5). This decision may need input from the appropriate team manager or head of service.
If the corporate complaints procedure does not apply, the complaint coordinator will explain to the complainant and direct them to the appropriate route for their concern. If we decide not to accept a complaint, we will explain why and inform the complainant of their right to raise our decision with the LGSCO.
Allocation
The complaint coordinator will allocate the complaint to the appropriate head of service, or equivalent officer. The head of service, or equivalent, is the complaint owner for stage 1.
Some complaints may be escalated directly to stage 2, including:
- complaints about a senior officer where it would be difficult to identify an appropriate officer to handle any escalation
- complaints where the scope or severity of the issue requires senior involvement
Complexity
The complaint coordinator and complaint owner will consider whether the complaint is complex.
A complaint may be considered complex if:
- it involves more than one service
- there are multiple and varied points of complaint
- it requires input from a third party, for example, a school or healthcare provider
- it interacts with any other open complaint
- the relevant staff no longer work for the council
- a key member of staff is unavailable during the initial response period
- it has been more than 6 months since the event
This is a guide to support consistent decisions and realistic timescales. We will consider each complaint individually, noting any reasons why it is complex.
The complaint coordinator and complaint owner will also consider whether the complaint should be prioritised. For example, if the complainant is vulnerable or at risk.
Acknowledgement: the complaint coordinator will acknowledge the complaint within 5 working days of the council receiving it.
The acknowledgement will:
- confirm that the complaint will be investigated under stage 1 of the corporate complaints policy
- say who will be investigating
- state the response time
A full written stage 1 response from the head of service, or equivalent, will be provided within 10 working days of the complaint being acknowledged. This may be extended to 20 working days if the complaint is complex.
A stage 1 response should not take longer than 20 working days without good reason. If it will take longer than 20 working days, we will explain the reasons to the individual and provide them with contact details for the LGSCO.
If a complaint is identified as complex as the investigation progresses, we will update the complainant on the new timescales as soon as possible. Whenever timescales are extended, we will keep the complainant informed and advise when they can expect a response.
These are maximum response times. We should always aim to resolve a complaint as swiftly as possible.
Investigating the complaint
As complaint owner, the relevant head of service, or equivalent senior officer, is responsible for responding to the complainant. They may involve relevant officers and team managers in a review or investigation, but the stage 1 response must be provided by a head of service or equivalent officer.
We make complaint decisions on the balance of probabilities. This means we look at the available evidence and decide what was more likely to have happened.
The complaint owner should:
- clarify with the individual any aspects of the complaint that are unclear
- deal with each complaint on its merits, act independently and have an open mind
- give the individual a fair chance to set out their position
- take measures to address any actual or perceived conflict of interest
- consider all relevant information and evidence carefully
The service should have systems in place to make sure that a complaint can be remedied as early as possible. Individuals should not have to escalate a complaint to get an appropriate remedy.
The complaint response
A full response letter will include:
- the statement of complaint
- the steps taken to investigate the complaint
- details of the information that has been considered
- clear reasons for any decisions, with reference to the relevant policy, law or good practice
- the complaint outcome - upheld, partially upheld or not upheld
- an appropriate remedy if fault is found
- details of any actions to be taken – what, when and by whom?
- what happens next, for example, the council will provide more details once actions have been completed
If there are separate points of complaint with different outcomes, we will specify the outcome for each point. This makes the outcomes clearer and helps the complainant to understand how we have considered each point.
Any remedies should be offered in line with the LGSCO guidance on remedies. The corporate complaints team should be consulted if financial remedies are being considered, so that we make sure we are consistent.
If an apology is required, the LGSCO has guidance on making an effective apology.
The stage 1 response provides details of how to escalate to stage 2 if the individual is not satisfied with the response.
Taking action
We will acknowledge when something has gone wrong and set out the actions we have already taken, or intend to take, to put things right.
These can include:
- apologising
- acknowledging where things have gone wrong
- providing an explanation, assistance or reasons
- taking action if there has been delay
- reconsidering or changing a decision
- amending a record or adding a correction or addition
- providing a financial remedy - in consultation with the corporate complaints team
- changing policies, procedures or practices
Personal actions, such as an apology, explanation, financial remedy or changed decision, should be completed within 10 working days of the response. Swift action on these issues demonstrates the council’s commitment to putting things right. Reminders to officers about policies or good practice should also be completed within 10 working days.
Service actions, such as a review of policy, review of service structure or provision of training, should be completed within 3 months of the complaint response.
The complaint owner is responsible for making sure that any complaint actions are carried out in the agreed timescales. This is usually head of service for stage 1 and assistant director for stage 2. They are also responsible for making sure actions and learning points are logged centrally.
Learning points and actions must be highlighted to the complaint coordinator who will log them for reporting purposes. The complaint coordinator is not responsible for monitoring the completion of actions.
Stage 2 complaint
Escalating the complaint
If complainants want to escalate a complaint, it must be done within 20 working days of the stage 1 response. We will exercise discretion where there are good reasons why a complaint could not be escalated in this time. For example, waiting for longer term actions to be completed.
We will accept escalations about the same or similar issues if they reoccur within 6 months of the original complaint. If the same or similar issues have occurred, we may escalate a complaint to stage 2 even if the complainant has raised it as a stage 1 complaint. This avoids repeatedly dealing with the same matters.
If we do not accept a complaint at stage 2 because of the time passed since the stage 1 response, we may either open a new stage 1 complaint or signpost to the LGSCO.
The complainant should provide their reasons for escalation and the outcome they are seeking at stage 2, which supports a thorough review. We should contact the complainant to understand their reasons for escalation and any evidence they would like us to consider.
Individuals are not required to explain their reasons for requesting a stage 2 review and we will consider any valid complaint that is escalated. If no additional detail is provided, we may consider the stage 1 response to be appropriate and simply signpost to the LGSCO at stage 2.
Receiving and investigating the complaint
The escalation details will be sent to the complaint coordinator of the relevant directorate or service.
Within 5 working days of the council receiving the complaint escalation, the complaint coordinator must validate, allocate and review the complexity of the complaint. Validation and complexity are the same steps as outlined for stage 1.
Stage 2 complaints should be allocated to the assistant director of the relevant service. If the service does not have an assistant director, an equivalent officer will investigate. The assistant director or equivalent officer is referred to as the complaint owner for this stage.
The complaint coordinator will acknowledge the stage 2 complaint within 5 working days of the council receiving it.
The acknowledgement will:
- confirm that the complaint will be investigated under stage 2 of the corporate complaints policy
- say who will be investigating
- state the response time
A full written stage 2 response from the executive director must be provided within 20 working days of the complaint being acknowledged. This may be extended to 40 working days if the complaint is complex.
A stage 2 response should not take longer than 40 working days without good reason. If it will take longer than 40 working days, we will clearly explain the reasons to the individual and provide them with contact details for the LGSCO.
If a complaint is identified as complex as the investigation progresses, we will update the complainant on the new timescales as soon as possible. Whenever timescales are extended, we will keep the complainant informed and advise them when they can expect a response.
These are maximum times. We should always aim to resolve a complaint as swiftly as possible.
Investigating the complaint
The complaint owner will consider the stage 1 investigation and the reasons for escalation to determine whether further action is required. If no further action is required, they will provide their reasoning to the executive director.
If further action is required, the complaint owner will coordinate any further reviews or investigations. They will provide details of their assessment and make recommendations to the executive director.
The executive director will consider the recommendations and the complaint process and will provide the stage 2 response to the complainant. The executive director should be satisfied that all relevant staff members and evidence have been included in the review.
Stage 2 is the council’s final response. It must include details of how to escalate the matter to the LGSCO if the individual remains dissatisfied.
The stage 1 guidance on investigating the complaint, the complaint response and taking action also applies at stage 2.
Substitutions
If it is not appropriate for the usual complaint owner in a service to investigate a particular complaint, the assistant director (at stage 1) or executive director (at stage 2) will identify a suitable alternative.
10. Type of complaint
Some complaints may require different or additional steps to be taken.
Financial irregularity
For financial irregularity complaints, follow this policy and inform the executive director: resources.
Discrimination, victimisation or harassment
These complaints will be investigated by an assistant director to make sure there is senior oversight. The executive director will be informed. They will send a second assistant director to carry out a review of the process and the stage 1 response before it is sent. If the complaint is escalated to stage 2, it will be investigated by an executive director.
It is possible that the investigation may be carried out under the disciplinary procedure and any response provided by the council must take account of staff confidentiality and employment rights.
11. Departing from the process
Occasionally, there may be good reasons not to follow the process in section 9 on a temporary basis.
Here are 2 examples.
- Industrial action disrupts core services such as waste collection. In a case like this, we may decide to only consider complaints from people who are vulnerable or who may be significantly adversely affected by the action. We may send a standard response to other complainants signposting them to the LGSCO.
- Significant and unusual resource pressure in a specific service area causes a backlog of complaints or other service requests. In a case like this, we may decide to extend timescales for responding to complaints or adopt a 1 stage complaints process on a temporary basis.
If we depart from the standard process this must be on a temporary basis, with a plan to address the underlying reasons and a timescale to return to the full corporate complaints process. We will provide details of the temporary approach on our webpages and inform the LGSCO of the temporary arrangements.
12. Use of other procedures
Personnel procedures
Some complaints, or elements of a complaint, may need to be considered under other council procedures. For example, the grievance procedure, equality and dignity at work policy or disciplinary procedure. The internal procedure should begin as soon as it becomes necessary. This includes the informal stages of internal procedures which will be followed as applicable.
We will let the complainant know that the complaint will be considered under our internal procedures. To keep confidentiality we cannot say which policies we are using, only that we will investigate the matter.
As these processes are confidential, we will tell the complainant that we will not be able to provide more details of the process but thank them for raising the issue with us. We will reassure the complainant that we take the issue seriously and we will let them know when the process has concluded.
Once any formal internal process has concluded, the responsible officer (or director at stage 2 of a disciplinary) will decide whether any details can be shared with the complainant, having due regard for the confidentiality of the internal process. We can only inform the complainant that our internal procedures have concluded, not any outcomes of that process.
Any elements of a complaint that do not relate to an internal procedure will continue in line with the corporate complaints process. Our response on these matters should not be delayed by the internal procedure.
Statutory procedures
Some complaints may contain elements that come under the statutory adult or children’s social care procedures. We will use the statutory procedures to respond to any issues which fall under them.
We may choose to include all issues within the statutory complaint response, so they are considered under a single investigation. We may equally choose to address the corporate complaint elements separately under this procedure. We will consider which option would produce the best result for the complainant and, particularly for children’s social care complaints, for the child or young person.
With either approach, we will:
- make sure the complainant understands how the elements of their complaint will be considered
- make sure one investigation is not unduly delayed by another
- aim to provide a single, complete response where possible
Unreasonable complainant actions
In some cases, a complaint may be raised that may be considered an unreasonable action. Read our unreasonable complaints policy.
Whistleblowing
The council has a separate procedure for council staff or contractors to raise serious concerns about aspects of the council’s work.
The whistleblowing policy allows council staff and staff of firms, companies or other organisations providing goods and services to the council, to raise any serious concerns that something is:
- unlawful
- below standard
- inappropriate
- unsafe
- causing environmental damage
Code of conduct for councillors and other protocols
The council has a code of conduct governing the behaviour of its councillors. The council has other protocols relating to councillors, including a council planning protocol.
Complaints that a councillor has acted in breach of the code of conduct or a protocol are dealt with under a separate procedure. Read more information on our councillor complaints page.
13. Confidentiality
We want people to feel comfortable making a complaint about council services. The identity of the person making a complaint will be made known only to those involved in the complaint. It will usually include those handling and investigating the complaint and may extend to organisations who provide services on behalf of the council, if relevant to the complaint.
Complainants have the right to know how we use personal information. Personal information will only be shared between staff or contractors for the purpose of resolving the complaint, in line with the principles of confidentiality and the Data Protection Act 2018.
If an individual believes that the council has not handled their personal information in an acceptable way, they should email iso@bracknell-forest.gov.uk.
14. Recording and monitoring complaints
Each department is responsible for recording and monitoring complaints using the central recording method. Recording complaints allows us to:
- monitor complaint themes or repeat complaints
- identify learning
- capture improvements made as a result of complaints
The complaint coordinator for the relevant service will open a record of the complaint. They and the complaint owner will make sure that all action in respect of the case is recorded on file.
Quarterly council plan overview reports are reviewed by the corporate management team and directorates to develop insights, including:
- the number of complaints received at each stage
- the outcome of investigations and any action taken as a result
- information about the nature of the complaints
- complaint performance regarding response times
Records of complaints are retained in line with the corporate guidance on the retention of documents.
An annual report on complaints investigated by the LGSCO is provided to the overview and scrutiny commission and the council cabinet.
15. Equality monitoring
The council recognises and values all the people in Bracknell Forest and wants to make sure everyone can access appropriate council services. Anonymised information on who makes complaints, and about what, is recorded to make sure that the council is not discriminating against any part of the community. Optional equality monitoring information is collected with complaints.
The online complaint form gives the option to provide equalities monitoring information. If provided, the equalities monitoring information is received by the complaint coordinator and separated from the details of the complaint. The equalities monitoring information is only used to compile statistics regarding use of the complaints procedure.
16. Reasonable adjustments
Individuals may have a disability which requires reasonable adjustments for them to use the complaint process. The council has a legal duty to provide reasonable adjustments for people with disabilities. To support this, complaints can be made online, by letter or phone and face to face.
Individuals can tell us about reasonable adjustments through the online complaint form. If the form is not used, officers will highlight in their first contact that individuals can request reasonable adjustments.
In some cases, the person may feel more confident if they are supported by a friend or representative. This will be accommodated unless there is good reason not to.
17. Involvement of elected councillors
A resident may ask their ward councillor to take up a complaint on their behalf. This should be an exception as councillors should generally support residents to use the complaints process directly.
If a resident has asked the councillor to complain on their behalf, we must make sure the appropriate consent is in place before sharing any details with the councillor.
In these circumstances, the complaint will still follow the corporate procedure. Individuals will receive the same standard of service whether they raise an issue directly with the council or through their ward councillor.
MP and councillor enquiries are dealt with in the usual way for enquiries. If the enquiry expresses dissatisfaction, it is good practice to signpost to the complaints procedure.
Councillors have an important role in scrutinising the delivery of services and may use monitoring information from complaints to support this. Regular monitoring information is provided through the council plan overview reports.
The LGSCO and Local Government Association have resources for councillors to enhance their role in complaints management. This includes:
18. The LGSCO
The LGSCO makes decisions on complaints about councils or adult care providers. It is an independent organisation that specialises in helping to improve councils, adult social care providers and some other organisations who provide local public services.
The LGSCO investigates claims of maladministration by a public body that has caused personal injustice to the complainant. The definition of "maladministration" is very wide and refers to cases where a public body has not made a decision in the correct way, perhaps due to delays, poor record-keeping, not following procedures or other reasons. The LGSCO can only investigate the procedure behind the decision-making and will not investigate cases where the complainant simply disagrees with a decision the council has made.
Individuals can complain to the LGSCO at any point. The Ombudsman usually expects that a council has had a chance to thoroughly review a complaint before it will investigate. The individual should be advised to complete the corporate complaints procedure before contacting the LGSCO.
For more information, visit the LGCSO website.
Appendix A – definitions
Service request
A service request is a request that the council:
- provides or improves a service
- fixes a problem
- reconsiders a decision
Complaint
A complaint is an expression of dissatisfaction, however made, about the standard of service, actions or lack of action by the council, its employees or those acting on its behalf affecting an individual or a group.
Complaint coordinator
A complaint coordinator is responsible for logging and acknowledging complaints. This is the complaint manager for complaints in the people directorate and the executive director’s PA for complaints in other directorates. Some teams have additional complaint coordinators.
Complaint owner
A complaint owner is responsible for investigating the complaint and providing the response (stage 1) or making recommendations to the executive director (stage 2). This is usually a head of service for stage 1 and an assistant director for stage 2, although equivalent officers may be used where the service structure or the complaint requires it.
Appendix B – handling service requests
A service request may be raised directly with a member of the team, through an online request, the online complaint form or by any other means. If the details fit the definition of a service request in section 7 it should be handled as such. Often, the first time an individual contacts the council about an issue can be considered a service request.
We want to resolve dissatisfaction at the earliest opportunity. When someone first raises an issue, it should be dealt with by a member of staff, or a manager, in the service area concerned. Often an apology, and putting right whatever is wrong, will resolve the situation.
If the individual is unhappy with the response from a staff member, they may wish to speak with the appropriate manager, who will make every effort to resolve the matter at this stage. All staff should be alert to whether the concerns now meet the definition of a complaint, and should be treated under stage 1 of this policy.
Service requests should be recorded, monitored and reviewed in line with the local processes within each directorate.