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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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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
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
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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
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.
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