Complaints, Comments & Compliments Policy p3
6. The Complaint Handling process
6.1 What happens when you make a complaint?
Council’s complaints handling procedure consists of 2 stages:
- Stage 1: Frontline resolution
- Stage 2: Investigation
A quick guide to making a complaint is included at Appendix 1.
6.2 Stage 1: Frontline Resolution
In the first instance, the complaint will be managed as a stage 1 frontline response.
This gives the Council an opportunity to resolve or respond to complaints quickly and effectively.
Council will respond at this stage within 5 working days of the date of registration of the complaint.
The Council will register all complaints on the day received unless it is received after normal business hours or received on a weekend or bank holiday, in which case the date of receipt is considered to be the next working day.
On many occasions, it will be most appropriate to resolve complaint ‘on-the-spot’.
If your complaint requires a written response, this will include the outcome of the complaint, the reasons for the decision or agreed action taken to resolve the complaint and provide you with the appropriate information on how to escalate to stage 2 if you remain dissatisfied.
If longer than 5 days is required to resolve your complaint, you will be advised as soon as possible with an explanation and a revised date. In the event of an extension the Council will provide a reason for the extension and a revised date no longer than 10 working days in total from the date the complaint was registered.
If your complaint is extended and you have not received a response within 10 working days and the Council has not provided you with a revised date, you have the right to request the complaint is escalated to stage 2.
If the nature of your complaint relates to serious, high-risk, or high-profile issues, Mid and East Antrim Borough Council has the discretion to escalate the complaint to Stage 2: Investigation.
If you are dissatisfied with the outcome of your stage 1 response, you can request an escalation to Stage 2: Investigation, within 30 days of receiving the stage 1 response.
6.3 Stage 2: Investigation
If you are unhappy with the outcome of the Stage 1 frontline response, you may wish to take the matter further, escalating to a Stage 2 investigation.
You can contact Council in respect of your Stage 2 escalation using the details outlined at Section 5.8 above, or using the service specific contact details found within your stage 1 response.
This is the final stage of Council’s complaints procedure. Stage 2 aims to explore the complaint in more depth.
Therefore, when requesting a stage 2 complaint investigation, you will be required to detail in writing why you remain dissatisfied and your expectations from a further investigation.
Receipt of your complaint will be acknowledged within 3 working days of receipt.
If Council remains unclear as to your expectations, we will contact you to agree the issues of complaint and outcome sought before an investigation begins.
Council will ensure that the complaint is fully investigated by an appropriate Head of Service, Assistant Director or Director, who was not involved in the matter that is the subject of the complaint.
Council will provide a full response to your Stage 2 complaint as soon as possible but no later than 20 working days from the time the complaint was received for investigation.
If longer than 20 days is required to investigate your complaint, you will be advised as soon as possible with an explanation and a revised date.
If you are unhappy with the outcome of a Stage 2 investigation, Council will direct you to NIPSO for escalation of your complaint.
If NIPSO decide to investigate further, they will look at how the complaint was handled by Council.
6.4 Outcomes
Where a complaint is upheld, you will receive an apology and explanation.
Where possible, the mistake will be corrected, and a satisfactory service will be provided as a matter of urgency.
If the mistake cannot be corrected or you can demonstrate it has caused personal hardship or financial loss, the Council will consider some or all of the following:
- Apology
- Explanation
- Correction
- Undertaking service improvement
- Change in policy or procedure
- In-kind compensation (e.g. tickets to another event)
- Financial compensation, if appropriate, and in line with Council policy.
Where a complaint is not upheld, you will receive a letter of explanation setting out Council’s reasons for not upholding your complaint.
6.5 What if you remain dissatisfied?
If you are unhappy at any stage of the complaints handling process, you have the right to contact NIPSO who is the supervising authority to which Council is accountable in respect of complaints.
NIPSO is an independent organisation that investigates complaints and is free. NIPSO is not an advocacy or support service.
Whilst you may complain directly to NIPSO at any time, the Ombudsman will usually refer the complaint back to the Council to be handled under our complaints policy.
If, upon exhaustion of Council’s complaints process NIPSO decide to look into your complaint, they will look into how your complaint was handled by Council.
NIPSO expect complaints to be brought within 6 months from the receipt of Council’s Stage 2 response.
If NIPSO has decided to accept a complaint which has not exhausted Council’s internal complaints handling procedure, the time limit is usually 12 months from the day that you first became aware of the problem.
NIPSO can be contacted via:
- In writing to:
The Northern Ireland Public Services Ombudsman
33 Wellington Place
Belfast
BT1 6HN
- Freepost: FREEPOST NIPSO
- Freephone: 0800 34 34 24
- Email: nipso@nipso.org.uk
- Website: www.nipso.org.uk
6.6 Unacceptable behaviour
The Council recognises that individuals may act out of character in times of difficulty or distress, which may result in unreasonable demands being placed on the Council, or unacceptable behaviour towards Council Officers and/or Elected Members.
There may be exceptional circumstances where a complainant, either individually or collectively as part of a group or campaign, is considered to demonstrate unacceptable behaviour.
The Council will aim to identify proportionate ways of responding to these situations.
Unacceptable behaviours are categorised under the following:
- Aggressive and/or abusive behaviour.
- Unreasonable demands.
- Unreasonable persistence.
6.7 How Council will Manage unacceptable behaviour
Any threat or use of physical violence, verbal abuse, or harassment towards Council officers and/or Elected Members will result in the termination of all direct contact between Council and the complainant.
The complaint will also no longer be processed. Incidents of threat or use of physical violence will be reported to the police.
Where a complainant is demonstrating unacceptable behaviour, a decision may be taken to restrict contact with the complainant through one or more of the following:
- Written advice to modify behaviour and any continuance may adversely impact the processing of the complaint.
- Only taking telephone calls at set times on set days.
- Arrange for only one member of staff to deal with calls and correspondence.
- Establish an appointment process before visiting Council.
- Only accept contact in writing.
- Undertake other appropriate action – advising the complainant of the action to be taken and why.
If a complainant continues to correspond on issues not related to the original complaint or continue to add to the original complaint whilst the complaint is being looked into by Council, and this action is considered excessive, they will be advised to limit or focus their requests accordingly.
If, during the course of managing a complaint, an officer or elected member encounters an individual whose behaviour is unacceptable, they will restrict contact immediately and inform their Head of Service or Assistant Director.
The relevant Head of Service or Assistant Director will decide on the action to be taken in cases of unacceptable behaviour by complainants.
The agreed action must be recorded in the complaint file.
Complainants will be informed, in writing, why a decision has been made to restrict future contact, the restricted contact arrangements, and, if relevant, the length of time that these restrictions will be in place.
Complainant behaviour will continue to be monitored and agreed action(s) amended to reflect conduct and modified behaviour.
7. Communicating the policy
This policy will be clearly communicated and accessible to all of Council’s customers and stakeholders.
The policy will be published on our website.
Copies of the policy will be made available in alternative formats on request using the details at Section 5.9.
8. Monitoring, review, evaluation and reporting
Council will publish quarterly complaints data and an annual complaints performance report on its website.
The Assistant Director - Citizen Focus will be responsible for the monitoring and review of the Complaints, Comments & Compliments Policy.
The Assistant Director- Citizen Focus will also be responsible for all internal and external reporting and publishing requirements as set out by NIPSO.