Complaints policy

1. Introduction

1.1. Warwick District Council is committed to providing the highest standards of services to its customers. We welcome feedback from our customers if sometimes things go wrong. This enables us to quickly put things right, learn from our mistakes and continuously improve our services.

2. Principles and purpose

2.1. The Council’s intent is to use the information gained from complaints as a learning opportunity to help improve:

the quality of the services we provide; and
our relations with our residents and other key stakeholders.

3. What is a complaint?

3.1. A complaint is:

“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.”

3.2. The word ‘complaint’ does not need to be included for it to be treated as such. Where a resident expresses dissatisfaction, we will provide the option of making a complaint.

3.3. A request for a service is not considered a complaint and is excluded from this policy. This includes:

The first request for a service; or
Where the Council has not been given sufficient time to deliver that service according to our service standards.

3.4. A service request can be defined as: “a request that the organisation provides or improves a service, fixes a problem or reconsiders a decision.”

3.5. Service requests are not complaints but may contain expressions of dissatisfaction. The Council must be given the opportunity to deal with a service request before a complaint is made. Examples of service requests include:

reporting a missed bin collection
requesting a housing repair
reporting anti-social behaviour
reporting a broken website link

3.6. Where a service request is not dealt with in accordance with the Council’s policies and procedures, it may become the subject of a complaint.

3.7. If a resident expresses dissatisfaction with a service request, a complaint will be raised.

4. Matters not addressed by this policy

4.1. Certain types of complaint will not be dealt with by the Council’s complaints procedure because there are other processes more suitable for dealing with them, or because they are outside the Council’s control.

4.2. If the Council decides not to accept a complaint, an explanation will be provided to the customer, setting out the reasons why the matter is not suitable for the complaints process and the right to take that decision to the relevant Ombudsman.

4.3. The following are excluded from this policy:

Complaints that are over 12 months old:

Complaints will normally be investigated where they are brought to the Council’s attention within 12 months of the issue occurring or the customer becoming aware of it. Where a complaint is made outside of this timeframe, the Council will consider whether there are exceptional circumstances which would justify it being investigated.

Complaints that have already been investigated:

This includes complaints investigated through the Council’s complaints procedure or by the relevant Ombudsman.

Where there is a separate appeals process:

These can include appeals against:

a decision on a planning application or planning enforcement matter
issuing of penalty charges, for example parking tickets and the recovery process
a housing decision taken under Part 6 or Part 7 of the Housing Act 1996 have the statutory right to an internal review. You may submit a complaint after the outcome of the review decision unless legal proceedings have commenced by either party.
an eviction decision
an offer of council accommodation
council tax liability
a decision about council tax support
entitlement to housing benefit or universal credit
a ban from or restriction on entering council premises
homelessness
decisions made within the Anti-Social Behaviour (ASB) Case Review process

When legal action has started:
- This includes where either the customer or the Council has started legal proceedings or taken Court action. Legal proceedings are considered to be started once particulars of claim have been filed with the court.

Where insurance claims have been made for compensation:

Where there is an existing claim for compensation, the matter will be investigated under the insurance process, and it will not be considered under the Complaint Policy. If the complaint is about the handling of an insurance claim this will be handled in accordance with this policy.

Complaints against members of staff:

If an issue about a member of staff is raised, this includes people who volunteer with the Council, the Council will investigate and take appropriate action in accordance with this policy. If during the investigation we find that staff have acted in a way that requires disciplinary action, then internal policies will apply. It will not be possible to share the outcome of any management actions.

Complaints about employment issues:

Complaints made by employees concerning their employment will be referred to Human Resources to be considered in line with internal HR procedures. Complaints made by job applicants who wish to complain about the recruitment and selection process will be dealt with by the relevant recruitment manager.

Complaints against Councillors:

Any complaint about a Warwick District Council Councillor or Parish/Town Councillor within Warwick district must be submitted to the Head of Governance & Monitoring Officer. Details can be found on the Council’s website.

Complaints about the Council’s policies:

Customers should contact their local Ward Councillor or the Cabinet Member responsible for the policy they are unhappy about.

Freedom of Information and Subject Access Requests:

Freedom of Information and Subject Access Requests are separate to the complaints process and sit outside the remit of this policy.

Building Safety complaints

Complaints relating to Building Safety are dealt with under the Council’s Building Safety Risk Complaints Policy to ensure compliance with the Building Safety Act 2022.

Whistleblowing:

Where an employee of the Warwick District Council raises a concern within the workplace, this will be investigated under the Council’s separate Whistleblowing Policy and Procedure.

5. Who can make a complaint?

5.1. A complaint can be made by anyone living in, working in or visiting Warwick district, or using the Council’s services.

6. How can a complaint be made?

6.1. Complaints can be made using our online complaints form on the Council’s website.

www.warwickdc.gov.uk/complaints

6.2. Alternatively by:

Telephone: 01926 456116
Post: Warwick District Council, Town Hall, Parade, Royal Leamington Spa CV32 4AT
Email: complaints@warwickdc.gov.uk
In person: For example, at one of our contact centres.
Social media: Complaints made by social media will be dealt with via direct message or email to ensure privacy.

6.3. Some of our customers may need help to make a complaint. In these circumstances, we accept complaints made on their behalf through a representative or advocate, provided that the person affected has given their consent. Complaints could be made in this manner by, for example, a relative or carer, friend, solicitor, Citizen’s Advice Bureau representative, a local Councillor or a Member of Parliament.

6.4. A complaint that is submitted by a third party or representative will still be handled in line with the Council’s Complaints Policy. However, it should be noted that we are unable to respond to a representative without the complainant completing a consent form.

6.5. When the Council receives a complaint via an elected representative, it will direct the response directly back to the customer but will ask the customer if they wish the Council to provide a copy to the elected representative who originally passed it on.

7. Our responsibility to you

7.1. The Council will deal with all complaints objectively and professionally. We will:

consider each complaint on its own merits
treat complainants with respect
consider all information and evidence carefully
maintain confidentiality as far as possible, with information only disclosed to select officers as necessary to properly investigate the matter
investigate all complaints with due regard to relevant policy, procedure and legislation
keep complainants updated throughout the complaints process
apply common sense and act in a fair and reasonable way

7.2. Where a complaint is raised about the Council’s handling of a service request, this will not hinder or delay the resolution of the service request.

7.3. Our written correspondence will use Plain English and avoid jargon. The tone of our communication will be open and responsive.

7.4. The Council is committed to equal and fair treatment of all residents.

7.5. Accordingly, no person will be discriminated against during the implementation of this policy on the grounds of age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex or sexual orientation.

7.6. An Equality Impact Assessment (EqIA) was undertaken as part of the approval process for this policy.

8. The two-stage complaint process

The Council will treat any expression of dissatisfaction, however made, as a complaint and handle it in line with this two-stage complaints process, unless it falls within a clearly defined exclusion set out in this policy. A complainant does not need to use the word ‘complaint’ for the matter to be recorded and progressed as such. Where a concern is raised, the Council will not require the complainant to pursue informal resolution before accepting it as a formal complaint. If a matter is determined to be a service request or falls outside the scope of this policy, the Council will provide a clear explanation and ensure it is directed to the appropriate process without delay.

Stage 1 - Formal Complaint

Acknowledgment

8.1. The Council will acknowledge a Stage 1 complaint in writing within five working days of receiving it. The acknowledgement will set out the Council’s understanding of the complaint and the outcomes the complainant is seeking. Clarification will be sought if any aspect of the complaint is unclear.

8.2. Where possible, the name and contact details of the Investigating Officer will be provided in the complaint acknowledgment, along with a date by which the Stage 1 response can be expected.

8.3. Stage 1 complaints will be dealt with by the relevant service area within the Council. Where a complaint includes issues for more than one part of the Council, the investigation will be led by the person who has responsibility for the major part of the complaint. We will aim to provide a single response wherever possible.

Response

8.4. We aim to respond to Stage 1 complaints within 10 working days of acknowledgment.

8.5. Where an extension of a further 10 working days is required in order for the Council to be able to fully respond to a complaint, the complainant will be notified and reasons provided. The Council will also provide the relevant Ombudsman’s contact details to the complainant, i.e. the Local Government & Social Care Ombudsman or the Housing Ombudsman.

8.6. Where a Stage 1 complaint response will fall outside the timescales outlined above, the Council will provide weekly updates to keep the complainant informed about the progress of their complaint.

8.7. Where complainants raise additional issues during the Stage 1 investigation that are related to the initial complaint, these will be incorporated into the Stage 1 response, unless the Stage 1 response has been issued.

8.8. Where the Stage 1 response has been issued, the new issues raised are unrelated to the initial complaint, or investigation would unreasonably delay the response, the new issues will be logged as a new Stage 1 complaint.

8.9. The Stage 1 complaint response will be provided to the complainant when the answer is known, not when all outstanding actions are completed. Where a Stage 1 response is provided with outstanding actions to be completed, these should be monitored to completion and the resident provided with regular updates.

Stage 2 – Review

8.10. If the customer remains dissatisfied following the response provided at stage 1, they can request a review by the Council’s Policy, Performance & Complaints Team. The stage 2 investigator will not have been involved with the investigation at stage 1. The complainant does not need to explain why they are dissatisfied with the response at Stage 1. However, it is helpful if they can explain why they are dissatisfied with the Stage 1 response received and what they would like from the Stage 2 review.

8.11. This should be done within a reasonable timescale, normally within a calendar month of a Stage 1 response, however, this can be longer in exceptional circumstances.

8.12. In the review at Stage 2, the Council will consider whether the Stage 1 investigation and response were reasonable and in line with relevant policy and procedures. This includes looking at the evidence considered, how the complaint was handled, and whether the conclusions reached were fair. The review will also consider any new and relevant information not previously available. Where necessary, further investigation may be carried out before a Stage 2 response is provided.

Acknowledgment

8.13. The Council will acknowledge a Stage 2 complaint in writing within five working days of receiving it. The acknowledgement will set out the Council’s understanding of the complaint and the outcomes the complainant is seeking. Clarification will be sought if any aspect of the complaint is unclear.

8.14. Where possible, the name and contact details of the Investigating Officer will be provided in the complaint acknowledgment, along with a date by which the Stage 2 response can be expected.

8.15. Stage 2 complaints will be dealt with by the Policy, Performance and Complaints Team.

Response

8.16. We aim to respond to Stage 2 complaints within 20 working days of acknowledgment.

8.17. Where an extension of a further 20 working days is required in order for the Council to be able to fully respond, the complainant will be notified and reasons provided. The Council will also provide the relevant Ombudsman’s contact details to the complainant, i.e. the Local Government & Social Care Ombudsman or the Housing Ombudsman.

8.18. Where a response to a Stage 2 complaint will fall outside the timescales outlined above, the Council will provide weekly updates to keep the complainant informed about the progress of their complaint.

8.19. Where complainants raise additional issues during the Stage 2 investigation that are related to the initial complaint, these will be incorporated into the Stage 2 response, unless the Stage 2 response has been issued.

8.20. Where the Stage 2 response has been issued, the new issues raised are unrelated to the initial complaint, or investigation would unreasonably delay the response, the new issues will be logged as a new Stage 1 complaint.

8.21. The Stage 2 complaint response will be provided to the complainant when the answer is known, not when all outstanding actions are completed. Where a stage 2 response is provided with outstanding actions to be completed, these should be monitored to completion and the resident provided with regular updates.

9. Anonymous complaints

9.1. Anonymous complaints will be investigated as far as possible and a record of the complaint kept.

10. Third party complaints

10.1. The Council will retain overall responsibility for complaints within the scope of this policy, including where services are delivered on its behalf by a third party. Where a third party is involved, the Council will ensure that the complaint is handled in line with this policy and relevant Ombudsman guidance.

10.2. Where a complaint relates to a service provided by a contractor, partner organisation or commissioned provider, it will remain subject to the Council’s Complaints Policy. The complaint will be recorded, monitored and progressed through the Council’s two-stage complaints process.

10.3. Where a third party is asked to support a complaint investigation, their role will be clearly defined. This may include providing information, specialist input or fact-finding to assist the Council’s investigation.

10.4. Third parties will not have sole responsibility for responding to a complaint unless this has been explicitly agreed by the Council. The Council will retain responsibility for reviewing the findings and issuing the final response.

10.5. Where a third party contributes to a complaint investigation at Stage 1 or Stage 2, this will form part of the Council’s single two-stage complaints process. Complainants will not be required to pursue separate or parallel complaints procedures.

10.6. Where external expertise is required, for example in complex or high-risk cases, the Council may commission independent advice or investigation. In these circumstances, the external party will act in an advisory or investigatory capacity only. The Council will retain oversight of the complaint and will issue the final response.

10.7. Where complaints are received directly by a third party, including contractors, they must be shared with the Council promptly so they can be logged and handled in accordance with this policy. The Council will keep a record of the complaint, including any reports or findings provided by the third party.

10.8. Where a service is delivered through an external partnership arrangement, the Council will explain whether the complaint falls within the Council’s complaints process or that of the partner organisation. Where the Council is not responsible for the service, the complainant will be directed to the appropriate process without delay.

10.9. An example of this is complaints relating to the Housing Adaptations Team, (HEART), which has a separate complaints process that is not covered by this policy. HEART is a partnership service between Warwickshire councils that provides advice and assistance for disabled adaptations and home improvements. To make a complaint about the service, contact Nuneaton & Bedworth Borough Council who are the lead authority:

Website: https://www.nuneatonandbedworth.gov.uk/complaint

Email: customer.services@nuneatonandbedworth.gov.uk

Telephone: 024 7637 6376

If you remain unhappy with the response received to your Stage 1 complaint relating to HEART, you may request an independent review at Stage 2 of Warwick District Council’s complaints process.

Website: https://www.warwickdc.gov.uk/complaints

Email: complaints@warwickdc.gov.uk

Telephone: 01926 958845

11. The decision

11.1. Responses will be provided in writing by email or letter, unless there has been a request for reasonable adjustments.

11.2. Complainants will be advised if their complaint is:

Upheld: This means the investigation found that the area complained about was responsible for a failure in service. This could mean that the service had not followed its policies or procedures.
Partially upheld: This means the investigation found that the area complained about was responsible for a partial failure in service.
Not upheld: This means the investigation found that there were no failures in service delivery and the correct policies and procedures were followed.

12. Next steps

12.1. There is no further right of appeal to the Council following completion of a review at Stage 2 of this policy.

12.2. Within the final response, the Council will inform the customer of their right to take their complaint further if they remain dissatisfied. There are two ombudsman’s offices: The Local Government and Social Care Ombudsman and the Housing Ombudsman. The response will contain the contact details for the appropriate ombudsman’s office.

12.3. The Local Government and Social Care Ombudsman (LGSCO) considers individual complaints about councils, all adult social care providers including care homes and home care agencies and some other organisations providing public services. The LGSCO’s contact details are:

The Local Government and Social Care Ombudsman

PO Box 4771
Coventry
CV4 0EH

Telephone: 0300 061 0614
Website: www.lgo.org.uk

12.4. The Housing Ombudsman Service considers complaints about housing organisations and looks to resolve disputes involving the tenants and leaseholders of social landlords. Residents and landlords can contact the Ombudsman at any time for support in helping to resolve a dispute. The Housing Ombudsman’s contact details are:

Housing Ombudsman Service

PO Box 1484
Unit D
Preston
PR2 0ET
Telephone: 0300 111 3000

Website: www.housing-ombudsman.org.uk

Email: info@housing-ombudsman.org.uk

13. Unreasonable customer behaviour

13.1. There are a small number of customers whose behaviour in pursuing the resolution of their complaint may be considered unreasonable. In such instances, we may have to take action in accordance with our Managing Unreasonable Customer Behaviour Policy.

14. Accessibility and reasonable adjustments

14.1. Where possible, this policy will be made available in different formats to suit different needs.

14.2. The Council is committed to understanding the impact of a complaint on a customer, taking their individual circumstances into account. To assist in this, where reasonable adjustments are required concerning how complaints are made, considered, or responded to, it will accommodate requests where possible. In the first instance, complainants should discuss any reasonable adjustments with the Investigating Officer.

15. Publication

15.1. This policy and information about the relevant Ombudsman and their codes of practice will be publicised on the Council’s website.

15.2. Warwick District Council’s annual self-assessment will also be published on the Council’s website in order to demonstrate compliance with the Ombudsman codes of practice.

16. Related policies

16.1. Warwick District Council Remedies and Compensation Policy

16.2. Warwick District Council Managing Unreasonable Customer Behaviour Policy

16.3. Warwick District Council Building Safety Risk Complaints Policy

16.4. Warwick District Council Whistleblowing Policy and Procedure

17. Data protection and retention of information

17.1. All information will be handled in accordance with the requirements of General Data Protection Regulations and the Data Protection Act 2018. The handling and storage of personal data will be managed and stored in accordance with the Council’s Data Protection Policy and our Record Retention Disposal Schedule.