1. Introduction
1.1 We are committed to responding to service requests fairly and comprehensively. For us, unreasonable and unreasonably persistent complainants are those complainants who, because of the nature or frequency of their contacts with an organisation, hinder the organisation’s consideration of their, or other people’s, complaints.
1.2 Dealing with a local issue is usually a straightforward process. However, in a small number of cases, people pursue their cases in ways that create excessive demands on staff and resources. This can happen while the matter is being investigated or after the authority has concluded its investigations.
1.3 If a person behaves in a way that may be defined as unreasonable or unreasonably persistent, this policy applies.
1.4 If the presenting behaviour is threatening, abusive or violent, staff should refer to the Violence at Work Policy. We do not expect staff to tolerate unacceptable behaviour.
1.5 For the purposes of this policy, references to a complaint is not a reference as to how an officer has or has not behaved as this is subject to a separate corporate policy.
2. Unreasonably persistent complainants and unreasonable complainant behaviour
2.1 Many complainants will say that in order to have their complaint addressed they have to be persistent. They may well have justified complaints and they may challenge the actions or decisions of the authority on more than one occasion. This does not necessarily mean that they should be classified as being “unreasonably persistent”.
2.2 Local Government and Social Care Ombudsman has provided a list of the actions and behaviours of those who are likely to fall within the definition of unreasonable or unreasonably persistent.
It is not an exhaustive list, but it includes:
- refusing to specify the grounds of a complaint despite offers of help with doing so
- refusing to co-operate with the complaints investigation process while still wishing to have the complaint resolved
- refusing to accept that some issues are not within the remit of the complaints procedure even when this has been explained
- making groundless complaints about the staff dealing with the complaint and seeking to have them replaced
- changing the basis of the complaint as the investigation proceeds or denying statements made at an earlier stage
- introducing trivial or irrelevant new information which they expect to be taken into account or commented on, or raising large numbers of detailed but unimportant questions and insisting that they are all fully answered
- electronically recording meetings and conversations without the prior knowledge and consent of the other persons involved
- adopting a “scattergun” approach - pursuing a complaint or complaints with the authority and, at the same time, with an MP, councillor, solicitor, the police and so on
- making unnecessarily excessive demands on the time and resources of staff while the complaint is being investigated, such as by excessive telephoning, sending emails, writing lengthy, complex letters every few days and expecting immediate responses to their communications
- submitting repeat complaints after the normal processes have been completed that are essentially the same but with additions or variations which the complainant insists make them “new” complaints that should be put through the full complaints procedures
- refusing to accept the decision – repeatedly arguing the point and complaining about the decision (though it should be noted that this does not always mean that the complaint should not be dealt with)
- persons complaining under false names or using more than one identity
- malicious or threatening behaviour (see point 1.4 above)
- combinations of some or all of the above
3. Considerations before taking action under the policy
3.1 It is reasonable for complainants to raise legitimate concerns or criticisms of the complaints procedures as they progress. For example, they may be dissatisfied with a lack of communication or failure to meet timescales and this should not result in them being regarded as unreasonably persistent.
3.2 The complainant may have special needs that have not been met and it could be that more time and effort should be spent to make sure that they are able to understand the processes and outcomes of their complaint.
The following should be considered before taking action under the policy:
- the complaint is being or has been investigated properly
- any decision reached has been the right decision
- communications with the complainant have been adequate
- the complainant is not providing any significant new information that might affect the decision making
- we have considered offering a face to face meeting with an appropriately senior manager
4. Options for action
4.1 Any restrictions imposed on a complainant’s contact with the authority must be appropriate and proportionate.
4.2 The decision to apply this policy will only be taken in exceptional circumstances, with the agreement of relevant assistant director and having taken advice from the council's legal services.
4.3 If more than one directorate is involved, any assistant director may set up a strategy meeting and nominate a key person to co-ordinate the department’s response. This would normally be the Assistant Director: Digital, Customer Focus and ICT.
4.4 The complainant should be informed of their right to appeal to the appropriate director against a decision to restrict contact.
4.5 Should an officer consider that any complainant may be unreasonably persistent, or they are subjected to unreasonable behaviour, it should be brought to the attention of the head of service or assistant director.
4.6 The head of service should advise the complainant in writing why it is considered their behaviour or persistence is unacceptable and that if it does not change action may be taken. This initial notification should be put in writing to the complainant together with a copy of this policy and the actions the authority proposes to take if the behaviour does not alter.
4.7 Should the head of service consider that there has been no change after a reasonable period, the case should be referred to the assistant director for the case to be reviewed and action taken in line with this policy.
The options that the assistant director may take include:
- limiting the complainant to one medium of contact (such as, telephone, letter or email)
- requiring contact to take place with one named member of staff only
- offering a restricted time slot for necessary calls
- requiring any personal contacts to take place in the presence of a witness and in a suitable location
- telling the complainant that the council will not reply or acknowledge any further contact with them on the specific topic of a particular complaint (a designated member of staff will read future correspondence to assess if there is new information or a new complaint)
- restricting access to council premises (taking care not to interfere with statutory rights such as attending council meetings)
- restricting email access
4.8 The local authority at this stage can also consider making an early referral to the Local Government and Social Care Ombudsman.
4.9 These actions are not exhaustive and other factors may be relevant to the service or the complainant. For example, considerations of the complainant’s age, disability, gender, race, religion may in some circumstances have a bearing, particularly any mental health issues.
5. After a decision to restrict has been made
5.1 When a decision has been made to implement the policy and introduce restrictions, the assistant director will write to the complainant to explain:
- the council’s decision
- the restrictions being made
- how long the restrictions will last
- what they can do to appeal (for example, contacting the Local Government and Social Care Ombudsman)
5.2 Where the complainant has special needs, including learning difficulties, it may be necessary to convey the decision in a face to face meeting.
5.3 It should be clear that any course of action taken under this policy will only relate to contact with the council regarding a specific complaint. It should not impact on any other dealings that the complainant may have with the council as a constituent or service user.
5.4 Appropriate managers and staff must also be notified of any restrictions. This will be the responsibility of the assistant director who will agree the list of officers to be notified with the relevant head of service.
5.5 Careful records must be maintained in respect of the contacts made under this policy. In particular, if there is a single point of contact, they will need to consider if new issues are being raised. New issues should be treated on merit and may not be subject to the restrictions.
6. Reviewing the restrictions
6.1 Any restrictions will be reviewed by the relevant assistant director in line with the restrictions notified in the letter at 5.1 and at least once every 3 months. In cases which have been running for over one year, assistant directors may apply their discretion on whether to lengthen the period between reviews. If they disagree on whether to lift, maintain or increase the restrictions, they should refer to the Assistant Director: Digital, Customer Focus and ICT or their director for a final decision.
6.2 The complainant and relevant managers will receive written notification of the outcome of the review.