Managing a Complaint

8/13/2019 Managing a Complaint

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A Guide to Managing aComplaint about an Employee

or Member of the Liberal

Democrats

The Liberal Democrats

Jeanne Tarrant


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A Guide to Managing a Complaint about an Employee or a Member of the Liberal Democrats Page 1

This policy will be reviewed every 2 years. Next review date: Feb 2016

Disclaimer: This is a living document and changes may be made to it prior to the review date to

keep it up to date.

Version: V1

Document control: This document may not be up to date if printed

Used in conjunction with the following

policies/guides:

Whistleblowing Policy, Complaints Form, A

Guide to Making a Complaint.

Authorisation Committee:

Date of Authorisation:Ratification Committee:

Date of Ratification:

Signature of Ratifying Committee/Group

Chair:

Lead job title of originator/author: Jeanne Tarrant, Pastoral Care Officer

Name of responsible committee /

Individual:

Date issued: February 2014

Review date: February 2016

Target audience: Managers, anyone who receives complaintsKey words: Investigating a complaint, managing a

complaint,

Key changes Date (insert date), amended to include: (insert

details)

Main areas affected:

Consultation: Insert who and dates

Equality Impact Assessments completed: Insert date

Number of Pages: 8


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Flowchart for Managing Complaints

Is the complaint about a

member of the LibDems?Is the complaint about an

employee of the LibDems?

No

No

Is it about the

Party

Processes/Rules?

Yes

Contact: David Allworthy, Head

of Compliance (and Legal), for

dvice about using the Rules and

Constitution.

T: 020 7227 1339

[email protected]

Can it be addressed

informally?

No

Has complaint

been resolved?

Yes

Address the complaint, ensuring the

complainant is kept up to date with

progress. (See details in Guide)

Matter closed

Ask complainant to put it in writing,

to use the complaints form or fill

the form on their behalf. Consider

escalating this to Regional/State

Party if not done so already. Take

advice from David Allworthy. If

behaviour is illegal (e.g. suspected

child abuse) contact police also.

If complaint has not been resolved or

not completed within 30 working days

contact Pastoral Care officer for advice

and support

Has complaint been

resolved?

Yes

Matter closed

No

Yes

Yes

No

Report back to

complainant

Report back to

complainant

Report back to

complainant

Report back to

complainant
mailto:[email protected]:[email protected]


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Breach of the electoral law. Workplace relationship breakdown (grievance).

This is not an exhaustive list. You cannot investigate if the complaint concerns someone

who is not a member or an employee.

If the complaint is about an employee please contact:

Emma Peall,HR Administrator

Liberal Democrats

8-10 Great George Street,

London SW1P 3AE

[email protected]

T 020 7227 1280

She will be able to give you advice and support on the best way to manage the complaint.

Receiving a complaintYou may receive a complaint in the following formats

Electronically as an email or as an attachment As a letter As a completed complaints form Verbally

If you receive a verbal complaint

Make a note of the discussion, ask the complainant what resolution they are after, Identify what action, if any, has already been taken to try and resolve the complaint. Be clear what a realistic resolution would look like. Make two copies asking the complainant to sign and date both before keeping a

copy for themselves.

If the conversation has taken place over the phone ask for an email address or postal

address. Be clear that you wont be taking it further until you receive the signed notes of

the discussion. (See flowchart on page 8)

When you receive a complaint

You should:

On receiving the complaint acknowledge the complaint as soon as possible within 7working days.

Give the complainant rough timescales as to when they can expect to have a finalresponse to their complaint. Use the opportunity to explore with them their

expectations. You may need to help the complainant reach realistic expectations.

Treat each complaint on its own merit. Maintain confidentially.

o Only the person complaining and the person being complained about shouldknow the details. You may need to take advice from Emma Peall HR, David

Allworthy Head of Compliance, and/or Jeanne Tarrant. If so, remind the

complainant about the need to maintain confidentiality and to be discreet.


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the case and the person is a member please speak to David Allworthy, if it is an employee,

please speak to Emma Peall.

While it is informal, records of actions taken and the reasons why, should be documented

and kept.

If the complaint cannot be resolved or the complainant makes a formal complaint, use the

disciplinary investigation process.

Best practice for investigating a complaint

Try to proceed with an investigation within 10 working days of receipt of the complaint. The

person complained about must respond in writing and notes and documents should be kept

on file.

Use this opportunity to clarify what the complainants expectations and ensure thatthe expectations are realistic. You may need to have a discussion about what is

achievable.

Be clear about what you are investigating and resolution requested.o What is the specific complaint? It may be helpful to list the complaints as you

understand them so that you can address each complaint.

o Make a note of the resolution required.o Is the resolution realistic? If not say so at the beginning so that the

complainants expectations of the outcomes are managed during this

process.

If you are involved in the issue being complained about, ask someone else toinvestigate. This provides an impartial investigation and should prevent allegations

of prejudice.

Upon deciding to investigate a complaint,o Seek any additional evidence from the complainant and the person being

complained about and any appropriate third party in order to reach a

decision.

o Remind all for the need to be discreet and maintain confidentiality Ask to meet with the person being complained about

o This meeting should take place as soon as possible after receipt of thecomplaint.

o Present the complaint to the person being complained about and ask them torespond to it.

o Make notes of the meeting and get them to sign the notes at the end tosignify that they agree with the information within.

o If you cant meet the person complained about, they should respond inwriting

Remember to keep all notes and documents on file and keep detailed records ofactions taken and why.


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Considerations to be taken into account

It is not usual to investigate complaints which relate to incidents which are more than a year

old, except in exceptional circumstance. Seek advice if this is the case.

If you feel the complaint is vexatious you do not have to investigate, however it is best

practice to acknowledge the complaint and give your reasons why you are not proceeding

with the investigation.

If the complaint is to do with workplace relationship breakdown (grievance) consider if

mediation will resolve the complaint.

If you are not able to complete a response to the complaint within 28 working days, keep

the complainant updated as to the progress of their complaint.

A summary of the complaint and the decision reached should be logged and filed

electronically/or in hard copy.

Send Jeanne Tarrant a copy of summary of the complaint and the decision reached as thecomplainant may wish to contact her if they are not satisfied with the decision reached.

Managing a Complaint

Documents

Transcript of Managing a Complaint