Corporate complaints and compliments policy

Corporate Complaints Compliments Policy (PDF, 364 KB)(opens new window)

1.This policy sets out how we the council will deal with your complaints and compliments, in accordance with the relevant Ombudsman's Complaint Handling Codes. 

2.The council's Corporate Complaints and Compliments Policy follows the Complaint Handling Code issued by the Local Government and Social Care Ombudsman. 

3.Complaints relating to the Council's Housing Services are managed under the Council's Corporate Complaints and Compliments Policy, which follows the Complaint Handling Code issued by the Housing Ombudsman. Further details can be found in the Housing Services section of this policy.

4.To determine which Ombudsman to contact for independent advice on your enquiry, please visit the LGO website. (opens new window).

5.The council welcomes complaints and compliments from its customers. The council realises that things can occasionally go wrong, and people may not be happy with the service they have received.

6.Complaints are valuable to the council as they:

a. give customers the opportunity to provide feedback on its services.
b. gives the council the opportunity to put things right where mistakes have been made.
c. allows the council to improve its services and make sure mistakes are not repeated.

7.This policy sets out the council's approach when dealing with customer complaints. The aim of this policy is to provide guidance and expectations when investigating and resolving formal complaints or issues raised by the council's customers, or their representatives.

8.It is important that all complaints and compliments are made under these procedures so we can monitor performance across the council, identify topics and trends, and improve our services accordingly.

9.This policy does not cover complaints relating to an issue which is part of a statutory or legal process, or where other appropriate independent appeals processes or procedures are available (see section 5).

Compliments

10. The Council also welcomes compliments about its services and/or staff. A compliment can be made in the same way as a complaint (online, in-person, email, telephone, or in writing) or on social media. Once received, the compliment will be logged and acknowledged by staff. The Service and/or staff member will then receive the compliment. A compliment can be left anonymously.

11.The objectives of the Council's Corporate Complaints and Compliments Policy are based on the Local Government and Social Care Ombudsman's Complaint Handling Code and the Housing Ombudsman Complaint Handling Code. In particular:

a. we are committed to ensuring everyone knows how to complain and how a complaint will be handled by the council.

b. the council will make reasonable adjustments where necessary so that our customers can fairly access our complaints process.

c. we will ensure that complaints are addressed fairly and consistently across the council.

d. We will ensure that complaints are monitored, and we will learn from our mistakes to improve our services.

e. Improve customer satisfaction and confidence in the way the council handles complaints and provides its services.

f. Provide customers with the opportunity to provide feedback on its services.

g. Gives the council the opportunity to put things right where mistakes have been made.

12. The council will publish this policy online Complaints - Gateshead Council. Anyone can ask for a printed copy from a council-maintained centre. Information about the Local Government and Social Care Ombudsman's Complaint Handling Code, and the Housing Ombudsman's Complaint Handling Code is available within this policy and online. (see Appendix 2 and 3).

13. It is important to set out the difference between Service Requests and Complaints.

14. Gateshead Council defines a complaint as: 'An expression of dissatisfaction, however made, about the standard of service, actions or lack of action by the organisation, its own staff, or those acting on its behalf, affecting an individual or group of individuals.'

15. This may include, but is not limited to:

a. the council failed to provide a service.

b. the standards of the service were not acceptable.

c. the council provided the service in an unfair or discriminatory manner

d. Policy or procedure was not followed correctly.

e. Unreasonable behaviour or conduct by a council employee towards an individual.

16. A customer does not have to use the word 'complaint' for it to be treated as such. The customer will be given a choice to make a complaint if they express dissatisfaction. A complaint that is submitted via a third party or representative will still be handled in line with the organisation's complaints policy and relevant Ombudsman's complaint handling code.

17. A service request may be defined as: 'a request that the organisation provides or improves a service, fixes a problem or reconsiders a decision.'

18. For example, a service request is a request from a customer to the Council requiring action to be taken to put something right. Examples include reporting a faulty streetlight, a pothole, or a missed refuse collection. Service requests will be passed to the relevant service area for action.

19. Service requests are not complaints, but will be recorded, monitored, and reviewed regularly.

20. The council will give the customer the choice to raise a complaint when a customer expresses dissatisfaction with the response to their service request, even if the handling of the service request remains ongoing. The council will not stop any efforts to address the service request if a complaint arises from the Service Request.

21. An expression of dissatisfaction with services made through a survey is not defined as a complaint, though wherever possible, the person completing the survey should be made aware of how they can pursue a complaint if they wish to. Where the council ask for wider feedback about their services, they also must provide details of how customers can complain.

22. Any member of the public, including a child, who claims to have been negatively impacted as a result of the actions of the authority, may make a complaint. The same applies if they are raising issues which relate to matters of significant public interest.

23. A member of the public includes people acting on behalf of a business, or a voluntary or charitable organisation. Members of the public do not have to be resident in the authority's area to raise a complaint.

24. We will also accept complaints submitted by a third party for example: friends, family members or representatives, carer, Councillors, Member of Parliament, a solicitor or other advocate and advice agency. These complaints will be dealt with in the same way as a complaint made direct by the customer. However, individuals or agencies acting on behalf of someone must provide written and signed consent. If a customer cannot provide written and signed consent, we may need to speak to the third party and/or the customer to decide if the third party is a suitable representative. We may also ask for other evidence, such as power of attorney documents.

25. Complaints concerning a contractor acting on behalf of the council will be handled by the Council under its Corporate Complaints and Compliments Policy and in line with Local Government and Social Care Ombudsman's and Housing Ombudsman's Complaint Handling Codes.

26. The Council will not accept complaints made on behalf of another public body, for example the NHS or a central government department.

27. Customers are able to raise their complaints in any way and with any member of staff. All staff must be aware of the complaints process and be able to pass details of the complaint to the appropriate person/service area within the council. Complaints can be made in the following ways:

a. Via the online self-service portal at www.gateshead.gov.uk/complaints this is our preferred method and will guarantee the quickest response.

b. For Housing Complaints via the online self-service portal at gateshead.gov.uk

c. Gateshead Council Website: Make a general enquiry - Gateshead Council

d. By telephone on 0191 433 3000

e. By writing to: Gateshead civic centre Regent Street Gateshead NE8 1HH United Kingdom

f. In-person at the Civic Centre and any council-maintained centre.

g. Through your local Councillor or Member of Parliament

28. Please note the council's Communications team does not personally investigate complaints received via social media. Any complaints should be submitted using the routes outlined above.

29. A complaint can be made to any member of staff. Whoever receives a complaint should pass this to the appropriate people or service area within the council.

30. The council will not take a blanket approach to excluding complaints; they must consider the individual circumstances of each complaint.

31. Making a Housing Complaint:

• To make a Housing complaint please refer to the appropriate page on the Council's website

32. Complaint Handling Requirements:

• Following the introduction of the Housing Ombudsman's Complaint Handling Code in April 2024, the Council is required to manage all complaints in line with the Housing Ombudsman's Complaint Handling Code. This applies to:
  • Complaints relating to the Council's role as a social landlord; and
  • Complaints concerning the ownership and management of leasehold housing.

33. Escalating a Complaint:

• Customers may contact the Housing Ombudsman at any point during the complaint process. The assistance they can offer depends on whether the Council's Corporate Complaints and Compliments Policy has been completed and when.
• If a customer remains dissatisfied after completing the councils Corporate Complaints and Compliments Policy, they can escalate their complaint to the Housing Ombudsman.

34. Compliance and Self-Assessment:

The council will:

• Carry out an annual self-assessment against the Housing Ombudsman Complaint Handling Code to ensure compliance.
• Complete an additional self-assessment following any significant restructure, merger, or change in procedures.

Timing of complaints

35. A complaint will be acknowledged if it is made within 12 months of the issue arising, or 12 months after you became aware of the issue. The council has discretion to deal with complaints after this time, for example if there are good reasons why a complaint was not made within 12 months.

Anonymous complaints

36. It is helpful if you say who you are so that the council can contact you to clarify issues and give feedback on the outcome of their complaint. However, the council believes everyone has the right to complain and anonymous complaints will be thoroughly investigated if there is enough information in the complaint to enable us to make further enquiries.

37. However, we may not be able to fully investigate an anonymous complaint if it is not possible to establish the impact on you, or if it is not possible to identify whether there are any conflicts of interest or other ongoing actions such as appeals or court action.

Recording complaints

38. Once received, the council will record a Corporate Complaint along with any evidence on the GOSS system.

39. The council will record a Housing Complaint along with any evidence on the NEC system.

40. The council will provide the customer with a reference number to use when contacting the council about the complaint.

41. This will help to ensure a thorough investigation is carried out and will be used should the customer request an escalation of the complaint with the council or the relevant Ombudsman.

42. The council will always accept a complaint unless there is a valid reason for the council not to do so. This includes those:

a) Initial requests for a service, for example, the first time you contact us to report a faulty streetlight, missed bin collection or a repair etc.

b) Complaints regarding employment matters raised by members of staff are addressed under the relevant Human Resources policies.

c) Claims about damages or compensation should be dealt with as a potential insurance claim. While the outcome of any insurance claim will be dealt with separately under the insures processes, we will investigate and respond to any complaint relating to our actions, decisions, communication, or delays under this complaints policy.

d) Reports of anti-social behaviour are treated as service requests and will not be accepted as complaints. However, where a resident expresses dissatisfaction with the council's handling of an anti-social behaviour case, this will be accepted and managed in line with the Corporate Complaints and Compliments Procedure.

e) Complaints where the complaint has already been fully investigated through the Council's Corporate Complaints and Compliments Policy or have already been investigated by the Local Government and Social Care Ombudsman or Housing Ombudsman.

f) Where there are existing appeals procedures or legal resolution in place for decisions for example, decisions on planning applications, school admissions, parking charge notices, applications for housing benefits and homelessness applications etc.

g) The specific matter complained of has been subject to an appeal or is currently subject of an appeal.

h) Legal action has already commenced. This is defined as details of the claim, such as the Claim Form and Particulars of Claim, having been filed at court.

i) If the complaint relates to personnel matters, including recruitment, pay, grievances, removals, discipline and pensions.

j)Complaints regarding data protection matters will be dealt with under the Data Protection Complaints Procedure. Where a customer is dissatisfied with the outcome of a Freedom of Information request or a Subject Access request, there is a process of internal review and escalation to the Information Commissioner's Office.

k) A Complaint made more than twelve months after the issue arose, or more than 12 months after you became aware of the issue. The council has discretion to deal with complaints after this time, for example if there are good reasons why a complaint was not made within 12 months.

43. If the council does not accept a complaint, you will be provided with reasoning and evidence of this, including an explanation why it is not suitable for the complaints process. You will also be informed of your right to refer the matter to the Local Government and Social Care Ombudsman or the Housing Ombudsman.

Adult and Children's Social Care

44. Statutory complaints regarding Adult and Children's Social Care Services have separate legal requirements and have separate policies and procedures in place to deal with these complaints, and do not fall under the Council's Corporate Complaints and Compliments Policy.

45. To make a Complaint about these services please refer to the complaints page on the Council's website or use any of the contact details in paragraph 28. Tell us your views - Gateshead Council

46. If you have Safeguarding concerns in relation to a vulnerable child or adult you should contact the appropriate service using the appropriate links on our website or telephone the service. Care and health - Gateshead Council

Public Health

47. Complaints about the council's Public Health functions are governed by a separate policy. A copy of the policy can be found here: Public Health complaints policy - Gateshead Council or you can ask at any Council maintained centre for a copy.

Complaints about Councillors

48. Complaints regarding Councillor Conduct are dealt with by the Council's Chief Legal Officer.

49. To make a Complaint please refer to the following page on the Council's website: Councillors' Code of Conduct - Gateshead Council

50. The council's Corporate Complaints and Compliments Policy is aligned with the Local Government and Social Care Ombudsman's Complaint Handling Code and the Housing Ombudsman Complaint Handling Code.

51. A complaint can be remedied at any stage of the complaints process and appropriate remedies can be provided at any stage of the complaints process without the need for escalation.

52. There are two stages to the complaint's procedure, and a complaint can be resolved at any time during these two stages.

53. The council will establish processes to consider complaints that can be responded to as early as possible, and which require further investigation. Factors such as the complexity of the complaint and whether the resident is vulnerable or at risk will be considered. Most Stage One complaints can be resolved promptly, and an explanation, apology or resolution provided to the resident.

54. Throughout the life of a complaint, you will have a suitable representative of the council deal with the complaint on your behalf.

55. On completion of the Stage One and Stage Two investigation, you will receive a response in clear plain language detailing the following:

a) The complaint stage.

b) The complaint definition.

c) The details of any outstanding actions.

d) The decision on the complaint.

e) The reasons for any decisions made.

f) The details of any remedy offered to put things right.

g) Contact details for the Local Government and Social Care Ombudsman or the Housing Ombudsman.

56. Any person responding to a complaint should take the following steps:

a. clarify any aspects of the complaint they are unclear about.

b. deal with complaints on their merits, act independently, and have an open mind.

c. give you a fair chance to set out your position.

d. take measures to address any actual or perceived conflict of interest; and e. consider all relevant information and evidence carefully.

57. Should you require any reasonable adjustments under the Equality Act 2010, the council will facilitate this. The council will keep a record of any agreed reasonable adjustments and will keep this under review. We will listen to our customers, be flexible and respond appropriately with reasonable adjustments to always meet the needs of all our customers.

58. Unless there are valid reasons not to do so, a complaint can be escalated through all stages. The council will inform you of these reasons.

59. A full record of the complaint will be kept, along with the outcomes of each stage. All documents relating to the complaint will be kept in line with the council's data retention policies. The following will be kept:

a) The original complaint

b) The date it was received

c) All correspondence with you

d) All correspondence with any other parties to the complaint

e) Any relevant supporting documentation.

Stage 1 - Investigation of the complaint

60. When a complaint is made, we will acknowledge and log the complaint at Stage One of the complaints procedure within five working days of the complaint being received.

61. When a complaint is acknowledged, we will set our understanding of the complaint, the outcomes you are seeking and which aspects of the complaint we are, and are not, responsible for and clarify any areas where this is not clear.

62. A full response will be provided to the complaint within 10 working days of the complaint being acknowledged.

63. If an extension of time is required, for example due to the complexity of the complaint, a clear explanation of the reasons containing a clear timeframe for when the response will be received which will not exceed a further 10 working days without good reason.

64. When we inform you about an extension to these timescales, we will provide you with the contact details of the Local Government and Social Care Ombudsman or Housing Ombudsman.

65. At the completion of Stage One, the below will be confirmed in writing:

a. the complaint stage.

b. the council's understanding of the complaint.

c. the decision on the complaint.

d. the reasons for any decisions made.

e. the details of any remedy offered to put things right.

f. details of any outstanding actions; and

g. details of how to escalate the matter to the Ombudsman if the individual remains dissatisfied.

66. Where a response to a complaint falls outside the timescales set out in this policy, the council must agree with the individual suitable intervals for keeping them informed about their complaint.

67. A complaint response will be sent to you when the answer to the complaint is known, not when the outstanding actions required to address the issue, are completed. However, any outstanding actions will be tracked and actioned promptly, with necessary updates being provided to you.

68. A response will address all points raised in the complaint and provide clear reasons for any decisions. The response should reference any relevant policies, law, and good practice. The response will also clarify which aspects of the complaint the Local Authority is and is not responsible for. Clarity will be sought where this is unclear.

69. Any new issues raised that are related to the complaint will be incorporated into the Stage 1 response if it has not been issued. Any new issues raised will be registered as a new complaint if the Stage 1 response has already been issued, the issues are unrelated to the issues already being investigated or if including them will unreasonably delay the response.

70. If you remain dissatisfied after Stage One of the complaints procedure, you can request your complaint is escalated to Stage Two for a final review by the Chief Executive.

71. This must be done within 10 working days of receiving your Stage One response. It is important that customers escalate their complaints as soon as possible if they remain unhappy with the Council's Stage One response. However, the council understands that this is not always possible to do this and it will carefully consider all Stage Two requests submitted after this point.

72. Stage Two complaints are investigated on behalf of the Chief Executive by a nominated officer independent of the service area being complained about.

Stage 2 - Review of the complaint

73. If you remain unhappy with the outcome of your Stage One complaint, we will formally investigate your complaint at Stage Two of the Corporate Complaints and Compliments Policy. Stage Two is the Council's final stage of the policy.

74. Requests for Stage Two will be acknowledged and logged at Stage Two of the council's Complaints and Compliments Policy within five working days of the escalation request being received. We must be clear which aspects of the complaint we are, and are not, responsible for and clarify any areas where this is not clear. Our acknowledgement will set out an understanding of any outstanding issues and the outcomes you are seeking.

75. Stage Two is the council's final response and must involve all suitable staff members needed to issue such a response.

76. You will not be required to explain your reasons for requesting a Stage Two review of your complaint; however, we may contact you to understand the issues and your desired outcome as part of its Stage Two response.

77. The officer who dealt with the complaint at Stage One will not consider the matter at Stage Two. The Stage Two investigating officer may need to have discussions with the Stage One investigating officer(s) and other officers to fully investigate the complaint.

78. A response will be provided to the complaint within 20 working days of the complaint being acknowledged or, if this is not possible, an explanation containing a clear timeframe for when the response will be received which will not exceed a further 20 working days without good reason.

79. When we inform you about an extension to these timescales, we will provide you with the contact details of the Local Government and Social Care Ombudsman or Housing Ombudsman.

80. At the completion of Stage Two, the below will be confirmed in writing:

a. the complaint stage.

b. the council's understanding of the complaint.

c. the decision on the complaint.

d. the reasons for any decisions made.

e. the details of any remedy offered to put things right.

f. details of any outstanding actions; and

g. details of how to escalate the matter to the Ombudsman if the individual remains dissatisfied.

81. Where a response to a complaint falls outside the timescales set out in this policy, the council must agree with the individual suitable intervals for keeping them informed about their complaint.

82. A complaint response will be sent to you when the answer to the complaint is known, not when the outstanding actions required to address the issue, are completed. However, any outstanding actions will be tracked and actioned promptly, with necessary updates being provided to you.

83. When the council has finished considering a complaint it will tell you how to pursue the complaint with the Local Government and Social Care Ombudsman or Housing Ombudsman.

84. The Local Government and Social Care Ombudsman Service or Housing Ombudsman can assist throughout the life of a complaint. This affords you the opportunity to engage with the Local Government and Social Care Ombudsman or Housing Ombudsman dispute support advisors.

85. You will be provided with advice, at the point a complaint is acknowledged, regarding your right to access the Local Government and Social Care Ombudsman or Housing Ombudsman Service and not just at the point the council's Corporate Complaints or Housing process has been exhausted.

86. This is an independent service set up by the Government to investigate complaints about councils. You can refer your complaint at any time during the course of an investigation by the council. However, it is usually expected the council's complaints procedures will be exhausted before involving the Ombudsman.

87. The council will fully co-operate with the Local Government and Social Care Ombudsman or Housing Ombudsman investigation and consider any remedies proposed. The Ombudsman will decide whether or not the Council has acted unfairly or if you have suffered an injustice as a result of maladministration. A report on the Ombudsman's findings will be sent to the Council.

88. Under the terms of the Council's Data Protection Statement:

a) The council will keep personal data safe and secure.

b) The council will not share it with other organisations without consent unless it is required by law to do so.

c) The council may also use it for the prevention and detection of fraud.

89. Where a person persists in pursuing a complaint, which has no reasonable basis, or when the council has already taken reasonable action in response to the complaint the council will exercise its discretion as to when to restrict a person's contact with the council, in accordance with its Protocol on the Management of Unreasonable Complaint Behaviour (See Appendix 1), but the residents complaint will still be handled under the Corporate Complaints and Compliments Policy.

90. Redress, remedy and compensation will be decided by the Service responding to the complaint and will reflect the extent of any and all service failures and the level of detriment caused as a result.

91. The below is a non-exhaustive list of potential remedies to a complaint:

a. Apology.

b. Acknowledging where things went wrong.

c. Explanation, assistance, reasons.

d. Taking action if there has been a delay.

e. Reconsidering or changing a decision.

f. Amending a record and/or adding a correction or addendum to a record.

g. Financial remedies.

h. Changing policies, procedures, or practices.

92. When responding to a complaint, the council will clearly set out what will happen and by when, in agreement with the customer where appropriate. Any remedy proposed must be followed through to completion.

93. The council will take account of the guidance issued by the Local Government and Social Care Ombudsman or Housing Ombudsman when deciding on appropriate remedies.

94. In awarding compensation, the council will consider whether any statutory payments are due, if any quantifiable losses have been incurred as well as the time and trouble you have been put to and any distress and inconvenience caused.

95. If the proposed remedy cannot be delivered, for whatever reason, you will be informed of the reasons for this and provided with details of an alternative remedy and of their right to refer the matter to the Local Government and Social Care Ombudsman or Housing Ombudsman.

96. Reporting arrangements will be in accordance with the Local Government and Social Care Ombudsman's Complaint Handling Code or the Housing Ombudsman's Complaint Handling Code.

97. The council will report back on wider learning and improvements from complaints to residents, managers, and employees. Feedback shall be regularly provided to relevant scrutiny panels, committees, and boards.

98. Learning and improvement from complaints will be included in the Resident's Annual Report.

99. The council will carry out an annual self-assessment against both the Local Government and Social Care Ombudsman Complaint Handling Code, and the Housing Ombudsman Complaint Handling Code to ensure its complaint handling policy and procedure remains in line with its requirements. The council will also carry out a self-assessment following a significant restructure, merger and/or change in procedures.

100. This policy will be reviewed every two years.

101. A positive complaint handling culture is integral to the effectiveness with which the council resolves disputes, the quality of the service it provides, the ability to learn and improve and its relationship with residents.

102. Accountability and transparency will be embedded in a positive complaint handling culture, with the council providing feedback to residents on failures in complaint handling and the actions taken to learn and improve from this.

103. Creating and embedding a culture that values complaints and gives them the appropriate level of priority requires strong leadership and management. The council recognises the importance of resident involvement, through the formation of resident panels, consulting with residents on the formulation of the complaints policy and procedure and through including them in panel hearings as part of the dispute resolution process, where appropriate.

104. The council will look beyond the circumstances of the individual complaint and consider whether anything needs to be 'put right' in terms of process or systems to the benefit of all residents.

105. An effective complaints process enables the council to learn from the issues that arise for residents and to take steps to improve the services it provides and its internal processes.

106. Senior management will assess any themes or trends to identify any systemic issues, serious risks, or areas for improvement for appropriate action.

107. The council will proactively use learning from complaints to revise policies and procedures, to train employees and contractors and to improve communication and record-keeping.

108. The council recognises the impact that being complained about can have on future service delivery and will ensure that employees are supported and engaged in the complaints process including the learning that can be gained.

109. Additionally, an officer will be appointed to oversee the complaint handling performance. The council will also assign responsibility for complaints in governance arrangements (the Member Responsible for Complaints). The Member will receive regular information about complaints which provides insight on the Council's complaint handling performance.

110. The council recognises and values all the people in Gateshead and is fully committed to supporting the European Convention on Human Rights. To this end:

a) complaints will be dealt with impartially, objectively, and professionally.

b) the council guarantees that no-one will receive adverse or discriminatory treatment as a result of making a complaint.

c) the council will maintain confidentiality wherever possible. Normally, the identity of complainants will be known only to those who need to consider the complaint and will not be revealed to any other person or made public by the council. When this is not possible because of allegations involving third parties or relevant legislation, the council will let the complainant know. Should the subject of a complaint come to be litigated before a court, it may not be possible to maintain confidentiality.

111. The information gained from customer complaints will be used to help highlight and eliminate any discriminatory practices and promote equality of opportunity for everyone who lives in the Borough.

Protocol on the management of unreasonable complainant behaviour

1.Introduction

1.1 The council operates the Corporate Complaints and Compliments Policy to make it easier for members of the public to submit compliments and raise issues of concern, ensure that complaints are responded to quickly and in a consistent manner and to enable the council to learn from the issues raised and amend procedures and practices as necessary.

1.2 The council recognises that there may be times when a member of the public may not be satisfied with the outcomes reached. Should any individual not be satisfied with the council's conduct in relation to a complaint, an option open to them is to refer a case to either the Local Government and Social Care Ombudsman, or the Housing Ombudsman Service depending upon nature of the complaint.

1.3 Most complaints dealt with by the council are subject to the straightforward two step complaints procedure, but in a small number of cases complainants may pursue their complaints in a way that disrupts the way the complaint is reviewed or disproportionately takes council officers away from their other duties. Similarly, complainants who have had their complaints resolved by the council may continue to pursue their complaint, or request outcomes to their case that the council is unwilling to grant.

1.4 The aim of this protocol is to inform complainants about what the council considers to be unreasonable complainant behaviour, the options available to the council and the possible consequences to the individual.

1.5 The council's Monitoring Officer will only invoke this protocol after very careful consideration, the circumstances for which must be exceptional. Individuals may have justified complaints but may be pursuing them in an inappropriate way, or they may be intent on pursuing complaints which appear to have no substance, or which have already been investigated and determined. Such complaints may rarely occur, but if a complainant's behaviour adversely affects the council's ability to do its work, or the work of any of its supporting officers, the Monitoring Officer may decide to restrict the contact that person has with the council.

1.6 If the council decides to invoke this guidance, the Monitoring Officer will write to the individual concerned to tell them why it is considered that their behaviour falls into that category, what action will be taken and the duration of that action.

2. Definition of unreasonable complainant behaviour

2.1 The council has adopted an equivalent definition to that used by the Local Government and Social Care Ombudsman. The council considers that unreasonable complainant behaviour occurs where:

2.1.1 There is repeated and obsessive pursuit of a complaint which appears to have no substance, or which has been investigated and determined.

2.1.2 The contact may be amicable but still place very heavy demands on officer or Councillor time or may be very emotionally charged and distressing for all involved.

2.1.3 There is an escalation of behaviour which is unacceptable, for example abusive, offensive, or threatening behaviour.

2.2 Examples include the way or frequency that complainants raise their complaint with the council, or how complainants respond when they are told of a decision of their complaint.

3. Considerations to be made before taking action to restrict access

3.1  All complainants have the right to have their complaint considered within the council's complaints procedure. The council will ensure that the complaints procedure is exhausted or ended at a point that is appropriate to each case and the complainant notified as such.

3.2 The council will consider and ensure it has an awareness of an individual's circumstances, how and why they feel as they do and what it is that would resolve the matter for them. The council will ensure that complainants have had a reasonable opportunity to express their views and opinions, that these have been listened to and that appropriate consideration and effort to resolving and explaining the position and the actions of the council have taken place.

3.3 Before deciding whether the protocol should be applied, the Monitoring Officer will consider be satisfied that:

3.3.1 The complaint is being or has been adequately reviewed and any decision reached has been found to be appropriate based on the information presented to the council at the time.

3.3.2 Communications with the complainant have been adequate and within the council's policies.

3.3.3 Any decision reached has been reviewed and is found to be appropriate.

3.3.4 The complainant is not providing any significant new information that might affect the council's view on the complaint.

3.3.5 There is not another, more specific path for the complainant to follow

3.4 Some individuals that may be considered to be unreasonable complainants may be behaving this way because of a specific circumstance or difficulty. Where this is indicated the council will take this into account in determining the reasonableness of the complaint made.

3.5 Any restrictive actions that may be taken will be tailored based on the circumstances and behaviour of the individual and their complaint.

4. Possible actions

4.1 Actions that could be taken to restrict access and contact:

4.1.1 Limiting the complainant to one medium of contact (telephone, letter, email etc.) and/or requiring the complainant to communicate only with one named member of staff (within the relevant service area). If this is by email, it will be automatically forwarded to the named single point of contact.

4.1.2 Placing restrictions on the amount of time the council and their officers will spend reviewing their complaints.

4.1.3 Letting the complainant know that the council will not reply to or acknowledge any further contact from them on the specific topic of that complaint.

4.1.4 Refusing to register and process further complaints about the same matter.

4.1.5 In some circumstances, the council may decide that it is appropriate to severely reduce or completely stop responding to a particular complainant.

5. Process for the application of the Guidance Note on the management of unreasonable complainant behaviour

5.1 Where possible, the council should have made a reasonable attempt to reach a voluntary (informal) arrangement with a complainant before taking formal action to allow the individual time to consider and adjust their behaviour.

First Stage - Notification/warning

5.2 The Monitoring Officer will review why the complainant's behaviour is causing a concern, giving clearly documented evidence to support this, and outlining how the behaviour needs to change.

5.3 The Monitoring Officer will write to the complainant explaining to them the actions that may be taken if their behaviour does not change, along with a copy of this guidance.

Second Stage - Application

5.4 Should the complainant continue to demonstrate unreasonable behaviour, following receipt of the notification, the Monitoring Officer will determine whether to apply the unreasonable complainant protocol and what actions will be taken.

5.5 If the Monitoring Officer determines to apply the protocol on the management of unreasonable complainant behaviour, they will write to the complainant explaining to them the actions to be taken. All letters should include:

5.5.1 Why this decision has been reached.

5.5.2 What specific action is being taken.

5.5.3 The duration of that action.

5.5.4 The date the decision will be reviewed.

5.5.5 The circumstances that the decision could be reviewed in advance of that date (for example new relevant information).

5.5.6 The right of the complainant to contact the Local Government and Social Care Ombudsman about the fact that they have been treated as an unreasonable complainant.

5.6 A log of the decision made and records of contacts with the complainant will be kept. This information will be treated as confidential and only shared with those who may be affected by the decision in order for them to carry out their role.

5.7 Key information to be recorded includes:

5.7.1 When a decision is taken not to apply the guidance, or

5.7.2 When a decision is taken to make an exception to the guidance once it has been applied, or

5.7.3 When a decision is taken not to put a further complaint from the complainant through the complaint's procedure for any reason, and

5.7.4 When a decision is taken not to respond to further correspondence, make sure any further letters, faxes or emails from the complainant are checked to pick up any significant new information.

5.8 Any further contact from the complainant, for example on a new issue, will be treated on its merits.

6. Who will be informed about restrictions

6.1  All officers and Councillors who have experienced unreasonable complainant behaviour relating to the specific complaint will be informed of the decision to impose contact restrictions.

7. Reviewing the decision to restrict access

7.1 When imposing a restriction on access, a specified review date should be given. Once that date has been reached any restrictions should be lifted and relationships returned to normal unless there are continuing grounds to extend the restriction.

7.2 The Monitoring Officer will review the restriction at the agreed time. If the decision is made to lift the restriction, the complainant will be informed of that decision. If restriction is to continue, the reasons for the continuation of the restriction will be given to the complainant along with the next review date.

8. Referring complainants to the Local Government and Social Care Ombudsman and Housing Ombudsman

8.1 A complainant who is not satisfied with the determinations of the council may make a complaint to the Ombudsman, who will consider the case. Should they determine that the referral of a complaint warrants further consideration, they will review the process followed by the Monitoring Officer in reaching any such conclusion.

8.2 A complainant who has been designated as unreasonable may make a complaint to the Ombudsman about the way in which they have been treated. The Ombudsman is unlikely to be critical where the council has acted proportionately and in accordance with its adopted protocols.

9. Harassment and bullying

9.1 Unreasonable complainant behaviour may amount to bullying or harassment. All Councillors and officers have the right to be treated with respect and dignity in the workplace. Behaviour by third parties that bullies, harasses, or intimidates individuals is unacceptable and will not be tolerated. The council will take all reasonable steps to prevent such behaviour.

Local Government and Social care Ombudsman Complaint Handling Code (opens new window)

View the Complaint Handling Code 2024 on the Housing Ombudsman website. (opens new window)