A Guide to Managing a Complaint about an Employee or Member of the Liberal Democrats
The Liberal Democrats Jeanne Tarrant
Version: Document control: Used in conjunction with the following policies/guides: Authorisation Committee: Date of Authorisation: Ratification Committee: Date of Ratification: Signature of Ratifying Committee/Group Chair: Lead job title of originator/author: Name of responsible committee / Individual: Date issued: Review date: Target audience: Key words: Key changes
V1 This document may not be up to date if printed Whistleblowing Policy, Complaints Form, A Guide to Making a Complaint.
Jeanne Tarrant, Pastoral Care Officer
February 2014 February 2016 Managers, anyone who receives complaints Investigating a complaint, managing a complaint, Date (insert date), amended to include: (insert details)
Main areas affected: Consultation: Equality Impact Assessments completed:
Insert who and dates Insert date
Number of Pages:
8
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.
A Guide to Managing a Complaint about an Employee or a Member of the Liberal Democrats
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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? Yes
No No
Report back to complainant
Can it be addressed informally?
Is it about the Party Processes/Rules?
Yes
No
Yes
Address the complaint, ensuring the complainant is kept up to date with progress. (See details in Guide)
Report back to complainant
Contact: David Allworthy, Head of Compliance (and Legal), for advice about using the Rules and Constitution. T: 020 7227 1339 david.allworthy@libdems.org.uk
No Has complaint been resolved?
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.
Report back to complainant
Yes
Matter closed
Has complaint been resolved?
No
If complaint has not been resolved or not completed within 30 working days contact Pastoral Care officer for advice and support
Report back to complainant Yes
Matter closed
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Introduction This guide is for managing a complaint. If a concern is being raised, use the whistleblowing policy instead. You should also contact, Jeanne Tarrant, Pastoral Care Officer (PCO). Our Complaints Procedure has the following goals:
To deal with complaints fairly, efficiently and effectively; To ensure that all complaints are handled in a consistent manner throughout; To resolve Complaints in a timely manner to prevent them festering; To use complaints constructively to improve the Party.
Before you address a complaint and to help you choose the most appropriate process, here are the definitions. Complaints: When someone complains, they are saying that they have personally been poorly treated. The complainant is seeking redress or justice for themselves. The person making the complaint therefore has a vested interest in the outcome of the complaint and, for this reason, is expected to be able to prove their case. Whistleblowing: When someone blows the whistle they are raising a concern about danger or illegality that affects others. The person blowing the whistle is usually not directly, personally, affected by the danger or illegality. The whistle-blower rarely has a personal interest in the outcome of any investigation into their concern – they are simply trying to alert others. He or she is a messenger raising a concern so that others can address it. Who Are the Liberal Democrats? The Liberal Democrats (The Party) exist to build and safeguard a fair, free and open society, in which we seek to balance the fundamental values of liberty, equality and community, and in which no-one shall be enslaved by poverty, ignorance or conformity. We champion the freedom, dignity and well-being of individuals, we acknowledge and respect their right to freedom of conscience and their right to develop their talents to the full. We aim to disperse power, to foster diversity and to nurture creativity. We believe that the role of the state is to enable all citizens to attain these ideals, to contribute fully to their communities and to take part in the decisions which affect their lives. (Taken from the federal Constitution) Who is this guide for? Any manager of an employee, Any investigator of a complaint What people should expect from a Liberal Democrat member or employee? People have the right to be treated fairly, equally and with respect and dignity. They should expect that their complaint will be treated in confidence and only shared with those that are directly complained about or with others on a need to know basis which may include the police or social services. Types of situations you can investigate Misconduct such as physical or verbal abuse of colleagues or the public. Conduct which has brought or is likely to bring the Party into disrepute such as an offence of dishonesty, violence, or inappropriate behaviour, (sexual or otherwise1). 1
This includes non-penetrative acts such as, touching, kissing, fondling, and masturbation. This also includes inappropriate and/or sexually inappropriate touching and/or comments.
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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 emma.peall@libdems.org.uk T 020 7227 1280 She will be able to give you advice and support on the best way to manage the complaint. Receiving a complaint You 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 won’t 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 7 working days. Give the complainant rough timescales as to when they can expect to have a final response 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 should know 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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Make an initial assessment of the allegation or complaint. Ask yourself the following questions: o Do you require more information? o Who do you need to speak to? o What type of information do you need? o Are you keeping an open mind? o Are you the most appropriate person to deal with it?
Managing a complaint to the Party The Party should manage any complaint as soon as possible. If the complainant has not specified a particular route, try to resolve the complaint through an informal process if possible. Important note: although this is an informal process it is still within a formal structure. In the first instance every effort should be made to resolve the complaint locally through the chair of the relevant party organisation e.g. the local party, the Council group etc.
Consider whether or not an investigation of the allegation or complaint is required. If not make a record of the decision taken and the reasons why. The previous questions should help you make a decision on the best way to proceed. If in doubt please contact Jeanne Tarrant, David Allworthy or Emma Peall for advice. o Write a factual report and record your decisions as to why it is not proceeding to an investigation. Remember to record whether or not the complaint is upheld or not. o Inform complainant about the outcome. o Keep report on file with the original complaint and give a copy to the complainant. If the allegation is serious consider instigating a formal investigation as soon as possible. Consider also instigating the disciplinary process. Speak to David Allworthy (david.allworthy@libdems.org.uk) for advice. Try to keep an open mind and not judge the complaint. o Keep your notes factual. o Do not include personal comments and opinions. Ask to meet with the person being complained about o This meeting should take place as soon as possible after receipt of the complaint. o Present the complaint to the person being complained about and ask them to respond to it. o Make notes of the meeting and get them to sign the notes at the end to signify that they agree with the information within. If you are unable to meet the person being complained about within reasonable timescales you may wish ask for a written response to the complaint. Once you have all the information available to you, decide on the outcome of the complaint. There are usually 2 outcomes: o complaint upheld o complaint not upheld Report back to the complainant the outcome of their complaint. If complaint is upheld consider whether or not a hearing or meeting may be needed to reach a decision and decide on actions about the person being complained about. If this, is
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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 complainant’s expectations and ensure that the 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 complainant’s expectations of the outcomes are managed during this process. If you are involved in the issue being complained about, ask someone else to investigate. 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 the complaint. o Present the complaint to the person being complained about and ask them to respond to it. o Make notes of the meeting and get them to sign the notes at the end to signify that they agree with the information within. o If you can’t meet the person complained about, they should respond in writing Remember to keep all notes and documents on file and keep detailed records of actions 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 the complainant may wish to contact her if they are not satisfied with the decision reached.
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