The Council's Customer Services Procedure

1.      Introduction
2.      Definition of a Complaint
3.      Outcomes
4.      Elements of the Procedure
5.      The Three Stages of a Complaint
6.      The Ombudsman
7.      Management Information
8.      Relationships with Other Council Policies
9.      Complaints Falling Outside of the Procedure
10.    Responsibility

1.      Introduction

The Council is committed to providing the best possible services it can.  In December 2002, The Government and Audit Commission completed the most rigorous review ever undertaken of local authorities, this was called the Comprehensive Performance Assessment. Sunderland was confirmed as one of only 22 councils in the country categorised as “Excellent”, the highest rating possible.

Councils rated as “Excellent” have proven high standards of service provision and the ability to maintain and improve performance. We aim to fulfil customer expectations by ensuring our services are delivered in a high quality manner. This rating does not mean that the Council can be complacent and we are always open to hear from users of our service about how we might do even better.  There may be occasions when customers feel that the service they have received was not of the high standard expected and we will deal with their complaints positively, as a means of promoting customer satisfaction and improving our services. We will also welcome and learn from constructive feedback from our customers, be that a comment, suggestion or compliment.

2.      Definition of a Complaint

For the purpose of this procedure the Council accepts the Local Government Ombudsman’s definition.

“An expression of dissatisfaction by one or more members of the public about the  Council’s action or lack of action or about the standard of a service, whether the action was taken or the service provided by the Council itself or a person or body acting on behalf of the Council.” 

3.      Outcomes

The procedure aims to achieve the following outcomes:

• To provide a customer focussed service
• To provide a fair, effective, transparent and structured mechanism to investigate complaints or concerns about service delivery promptly and, where appropriate offer redress.
• To ensure that complaints are dealt with consistently throughout the Council.
• To encourage all forms of constructive feedback.
• To use feedback and complaint monitoring corporately to continually improve the services offered and the overall performance culture of the Council.
• To encourage best practice by staff.
• To increase customer satisfaction and confidence in:
  • Council Services
  • Complaint Handling
• To achieve sustained excellent performance.

4.     Elements of the Procedure

The procedure

• Is accessible and straightforward, enabling customers to make complaints, offer comments and suggestions or give compliments by any format they choose. Customers can contact us in a variety of ways including:
• In person

• By telephone

• By letter

• By completing a complaint form

• Via email

• Is based on a hierarchy of complaint investigation with everyone made aware of the process and their rights/role.

• Is helpful and receptive, not adversarial.

• Requires complaint investigations to be thorough, rigorous and unbiased.

• Requires complaints to be resolved in set timescales.

• Makes provision for difficult to reach groups, with translation services made available to ensure accessibility.

• Requires information received from complaints and feedback to be regularly analysed to identify patterns, disseminate good practice and improve service delivery.

• Respects confidentiality as far as possible.

• Offers remedies where appropriate having regard to the Ombudsman's guidance.  (See Appendix).

5.     The Three Stages of a Complaint

The complaints process has three stages:

• First Stage – on the spot problem solving

• Second Stage – full investigation  

• Third Stage - review  

First Stage

We aim to settle all areas of dissatisfaction quickly and smoothly, recognising that it is preferable to resolve complaints where they arise. The customer is asked initially to make their complaint to the person dealing with the query or their supervisor. Many issues can be resolved on the spot with an explanation, action or apology. All matters will be logged to ensure performance can be reviewed. However if the complaint cannot be resolved at this stage, or the customer feels that more important issues are involved, it will progress to the second stage.

Second Stage

The complaint is handled by the relevant Directorate’s* complaint co-ordinator who ensures it is fully investigated and a written response is provided. We aim to acknowledge formal stage two complaints in writing within three working days and investigate and respond in full within 15 working days. Should the customer remain dissatisfied after this investigation, their complaint will progress to the third stage.

Third Stage

This involves removing the complaint from the particular Directorate where it is reviewed by the Customer Services Manager on behalf of the Chief Executive. The customer will receive a letter explaining the outcome, which should take no longer than 15 working days. Should the customer still remain dissatisfied, they can ask the Ombudsman to look into their complaint. We advise the customer how to make their complaint to the Ombudsman, and send them the Ombudsman’s leaflet  ‘Complaint about the Council?’  

In the event of a complaint involving more than one Directorate, the Customer Services Manager will appoint a Lead Officer to ensure that all elements of the complaint are addressed.

Whilst every effort is made to deal with the matter within the stated timescales, this may not be possible in all cases. If more time is needed at any of the above stages, the customer will be kept informed of any delay.

6.      The Ombudsman

The Local Government Ombudsman has a statutory responsibility for investigating complaints of maladministration about local Councils.  The Ombudsman will usually only consider a complaint after it has been through the Council’s complaints procedure and the customer remains unhappy.

7.      Management Information

It is important to us to use the information that we receive from complaints and feedback to improve service delivery. Complaints and feedback are therefore monitored, the information is reported as below and best practice is disseminated throughout the Council by the following practices: 

• Every complaint and feedback contact is logged.
• Progress is monitored.
• Quarterly progress reports are considered at senior management meetings of each directorate.
• An annual report is submitted to Cabinet.
• An annual report is included in BVPP (Best Value Performance Plan).
• Dissemination reports are issued to all Directorates with key corporate messages highlighted.

When we ask for information about people making a complaint such as gender, age, and disability this is to ensure that the complaints system is accessible to all groups of customers. 

8.      Relationships with other Council Policies

There are areas of commonality between the Customer Services Procedure and many other policies and procedures of the Council, including: 

• AntiFraud and Corruption Policy
• Capability and Disciplinary Procedure
• Code of Conduct for Employees
• Equal Opportunities Policy
• Harassment at Work Policy
• Race Equality Scheme
• Whistleblowing Policy

The Customer Services Manager will identify any instances where these policies also need to be considered in connection with a complaint.

9.      Complaints Falling Outside of the Procedure

Not all matters can be handled under this procedure. In these cases the customer will be signposted accordingly and any queries should be referred to the Customer Services Manager.  Below are a few of the main examples.

Complaints about:

• Councillors

Sunderland City Council has a Code of Conduct that Councillors must observe. The Standards Board for England is the appropriate body to which complaints that the code has been breached should be referred. A leaflet and complaint form may be obtained from the Customer Services Manager.

• Criminal Actions

Complaints about allegedly criminal actions will be forwarded to the Police.

• Employment Issues

Any complaints relating to employment matters cannot be dealt with under this procedure.

• Financial Impropriety 

Complaints about improper use of the Council's finances will be referred in the first instance to the Director of Corporate Services who will arrange for the matter to be investigated by the Council's Internal Audit Section.  If necessary he will liaise with the Audit Commission. 

• Misconduct of Council Staff

Complaints about the misconduct of Council staff will be dealt with under the staff disciplinary procedure. The complaint will be investigated, but for confidentiality reasons, the details of disciplinary proceedings will not be shared with the complainant.

• Partner Organisations

We will seek to ensure that our partners have mechanisms in place to deal with complaints. 

• Policy

Complaints about Council policy are centrally monitored and brought to the attention of senior management and Councillors by the Customer Services Manager. 

• Social Services and school complaints 

Certain complaints about Social Services and Schools must be handled differently. Details about Adult Services matters from Customer & Quality Services, Fawcett Street Sunderland,  tel 0191 566 1629 or email cqs@ssd.sunderland.gov.uk.  Details about school complaints from Customer Information Officer, Children's Services, Civic Centre, Sunderland, tel 0191 561 1423 or email childrens.services.info@sunderland.gov.uk

• Sunderland Housing Group

The Housing Group has its own complaints procedure. Copies are available from each area office. 

• Unpopular Decisions 

Decisions that customers dislike but are made correctly will be explained but not investigated. 

Other exceptions:

• Anonymous Complaints 

Complaints received anonymously will be recorded and considered, but action may be limited if further information is required to ensure a full and fair investigation.

• Delays

It becomes increasingly difficult to ensure a fair investigation after a period of time has lapsed since the original incident occurred.  Complaints reported after 12 months of the matter arising will only be investigated if there are special circumstances surrounding the delay.

• Existing Rights of Appeal or Legal Action

Complaints involving legal proceedings or cases where customers have a separate right of appeal may also fall outside of this procedure. Further information is available from the Customer Services Manager.

10.    Responsibility 

The Customer Services Manager is responsible for managing the customer services procedure and system.

*There are six Directorates of the Council, each responsible for dealing with  particular areas of policy or administration as described in part seven of the Council’s Constitution.

• Chief Executive
• Community and Cultural Services
• Corporate Services

• Development and Regeneration
• Children's Services
• Adult Services