Complaints policy and procedure

Introduction

The Lichfield Diocesan Board of Finance (DBF) as the legal entity acting on behalf of the Diocese oversees the complaints process. The DBF aims to provide a fair and professional service in all it does. It is recognised that sometimes people will have problems or concerns they wish to raise. This policy and procedure have been developed as a fair, quick and consistent mechanism for dealing with such problems or concerns, and to enable the DBF to learn and improve the service it offers.

Our aims are:

To provide a fair complaints procedure which is clear and easy to use
To be open about how we will deal with complaints and to publicise the existence of this policy so that people know how to make a complaint
To ensure everyone within the DBF, including staff and committee members, know what to do if a complaint is received
To ensure that all complaints are investigated fairly and in a timely way
To resolve complaints and repair relationships wherever possible
To gather information to help us improve what we do and how we do it
To acknowledge mistakes we have made, sincerely apologise for them, and try to prevent them from happening again in the future

What counts as a complaint?

A complaint is a written or verbal expression of dissatisfaction about an action, or lack of action, by a person or committee acting on behalf of the diocese, or about the policies, practices or procedures of the diocese. A complaint may include an allegation that a person has behaved in an unacceptable way.

Complaints must be made by the person(s) directly affected by the issue, not a third party.

It is not diocesan policy to investigate anonymous complaints.

Complaints should be made within three months of the matter complained of unless the diocese considers it fair and proportionate to extend that period.

What complaints are not dealt with under this policy?

This policy is not intended to cover safeguarding concerns. If you are concerned that you or someone you know may be the subject of abuse, or you have a concern regarding any other safeguarding issue, you must contact the Diocesan Safeguarding Adviser:

Neil Spiring – Email: neil.spiring@lichfield.anglican.org Telephone: 01543 306147 Mobile: 07794 519188

If the complaint is not of a safeguarding nature but relates to a complaint against the safeguarding team, this policy should be followed.

This policy does not cover:

Complaints relating to Diocesan Church Schools or Diocesan Academies Trusts – the individual school’s or trust’s complaints process should be followed
Complaints relating to a member of member of clergy – the clergy complaints procedure should be followed
Complaints from DBF staff – the DBF’s grievance procedure should be followed

Where a specific statutory procedure applies to a complaint, the DBF will follow that procedure. This policy deals with all other complaints, including complaints by clergy with permission to officiate, clergy families, parish officers, committee members and other volunteers, and members of the public.

Who has overall responsibility?

Overall responsibility for this policy and its implementation lies with the Diocesan Secretary who accountable to Bishop’s Council in its capacity as directors of the DBF. Day to day oversight of the process is delegated to the Officer for Governance and HR under the supervision of the Diocesan Secretary.

Informal procedure for complaints: Problem-solving

When responding to complaints, the aim is always to enable them to be resolved informally, speedily and fairly by discussion, problem-solving, mediation and negotiation where this is appropriate. Problems should therefore be brought direct to the person(s) responsible for the area of dissatisfaction or disquiet, with the goal of resolving them in this way.

The person responsible should be willing to listen, to discuss the matter with the complainant, and to seek to satisfy the concerns were justified.

Formal records will not be kept of informal complaints which are resolved at this stage but employees are expected to note and implement learning points as part of their continuous improvement and to communicate them to their manager and to other employees who could benefit.

If the person with the complaint is not satisfied with the outcome at the problem-solving stage, they may then invoke the formal procedure set out below.

Formal procedure for complaints against Diocesan employees

Stage 1

A complaint should be submitted to the Officer for Governance and HR or in the case of a complaint against the Diocesan Secretary, to the Chair of the Diocesan Board of Finance, making clear that it is intended to be a formal complaint and including the complainant’s name and contact details.

Written complaints should be sent to the Officer for Governance and HR, St Mary’s House, The Close, Lichfield, WS13 7LD

Emailed complaints should be sent to jo.durber@lichfield.anglican.org

To Contact the Chair of the Board of Finance, all correspondence should be sent to St Mary’s House, The Close, Lichfield, WS13 7LD and clearly marked “Complaint – Confidential”

Any complaints which are plainly intended to be formal complaints received by any other diocesan personnel shall be forwarded to the Officer for Governance and HR who will arrange for it to be recorded in the complaints log.

The following information should be recorded:

Name and contact details of complainant
Date on which the complaint was made
The nature of the complaint
The complainant’s desired outcome

The complaint will be acknowledged within one working week (i.e. 5 working days) and a copy of this complaint procedure will be supplied. The acknowledgement will set out the time within which a substantive response will be made, which should not ordinarily be longer than a calendar month.

The Officer for Governance and HR will consult the Diocesan Secretary to decide who is the best person to respond. This should be done in consultation with the appropriate member of the senior leadership team. In the case of a complaint about an employee’s actions, the appropriate person to respond will ordinarily be that employee’s line manager. In the case of a complaint about a particular area of work, the appropriate person will ordinarily be the relevant head of department.

The person responding to the complaint will ensure that all appropriate enquiries are made to establish the substance of the complaint and any attempts already made to resolve the matter informally. Those enquiries may include further discussions or meetings with the complainant to fully understand the issue, seek clarity and be clear on what would constitute a resolution for them. The complainant may be accompanied at any meeting by a friend or other supporter if they wish. Similarly, any person who is the subject of a complaint may be accompanied by a work colleague at any meeting with the person responding to the complaint to discuss the facts of the complaint and their response to it.

The person responding to the complaint will arrange any appropriate mediation between the parties and any appropriate subsequent actions, which may include an apology and/or commencing disciplinary proceedings in accordance with the DBF’s disciplinary policy.

The person responding to the complaint will inform the complainant, the subject of the complaint (if any), relevant members of the senior leadership team, and the Officer for Governance and HR and Diocesan Secretary of the action taken to investigate the complaint, the conclusions from the investigation, any action taken as a result of the complaint, and, if the complaint is not upheld, the reasons why. This should be done in writing by the date stated in the initial acknowledgement. If that is not possible, the complainant should be advised of the reason for the delay and the revised date by which they can expect a response.

The response to the complaint may include one or more of the following:

An explanation of events
A recognition that the situation could have been handled differently or better
An explanation of the steps that have been taken to try to ensure that it will not happen again
An undertaking to review policies in light of the complaint
An explanation, with reasons, that there was insufficient evidence to reach a conclusion, with the result that the complaint has not been upheld
An explanation, with reasons, that the evidence did not substantiate the complaint, with the result that the complaint has not been upheld
An acknowledgement that the complaint was substantiated in part, with a brief description of the remedial and preventative action being taken and reasons why the remainder of the complaint was not substantiated
An acknowledgement that the complaint was substantiated in full, with a brief description of the remedial and preventative action being taken

It should not include any details of any disciplinary or other action, procedures or outcomes against a member of staff. If necessary, the response should state that following investigation, further confidential procedures are being followed.

The person responding to the complaint should ensure that full records of the investigation are kept together with the records of the initial complaint.

These should include:

A copy of the original complaint letter, email or written note
Details of how the complaint was investigated, identifying any documents or classes of documents read
Written records of any interviews undertaken
Results and conclusions of investigations
Any action taken

The records should be passed to the Officer for Governance and HR at the conclusion of the investigation, who will record the outcome and any response from the complainant in the complaints log and file the records securely.

Stage 2

It is hoped that an acceptable resolution can be found, and the complaint concluded to the complainant’s satisfaction at stage 1. If that is not the case, the complainant should inform the Officer for Governance and HR in writing within three working weeks (i.e. 15 working days) of the sending of the Stage 1 response that they wish to initiate stage 2. This will involve consideration at a higher level, the detail of which will vary according to the subject of the complaint.

The Diocesan Secretary will ordinarily acknowledge receipt of the stage 2 complaint within one working week (i.e. five working days). The complainant will be told who will deal with the complaint, and the time within which a substantive response will be made, which should not ordinarily be longer than one month.

The Diocesan Secretary will decide whether to deal with the complaint personally, delegate it to a suitably senior member or employee, or convene a panel of three senior persons. No person dealing with the complaint at this Stage will have had any previous involvement in the case beyond being consulted on who should respond to the complaint at Stage 1.

The investigating person or panel will review all documentation from the previous investigation at Stage 1 and the actions taken so far. The person or panel may meet with the complainant and their supporter, to discuss the situation from their perspective and why resolution could not be reached. The person or panel may also meet with the subject of the complaint (if any) and their work colleague, the person who responded to the complaint at Stage 1, and any other relevant person. All conversations will be recorded where possible and, in any event, a written record will be shared with those present for accuracy and transparency.

The investigating person or panel may discuss the matter with any or all of the Diocesan Secretary, Diocesan Registrar and relevant Head of Department in order to consider what, within the framework of diocesan policies and the law, could be a way forward to resolve the issue at hand and to formulate a response to the complainant and any necessary action, which may include an apology and/or commencing disciplinary proceedings in accordance with the DBF’s disciplinary policy.

On conclusion of the investigation, the investigating person or panel will inform the complainant, the subject of the complaint (if any), and the Diocesan Secretary, of the action taken to investigate the complaint, the conclusions from the investigation, and any action taken as a result of the complaint. This should be done in writing by the date stated in the initial acknowledgement. If that is not possible, the complainant should be advised of the reason for the delay and the revised date by which they can expect a response.

The response to the complaint may include one or more of the following:

An explanation of events
A recognition that the situation could have been handled differently or better
An explanation of the steps that have been taken to try to ensure that it will not happen again
An undertaking to review policies in light of the complaint
An explanation, with reasons, that there was insufficient evidence to reach a conclusion, with the result that the complaint has not been upheld
An explanation, with reasons, that the evidence did not substantiate the complaint, with the result that the complaint has not been upheld
An acknowledgement that the complaint was substantiated in part, with a brief description of the remedial and preventative action being taken and reasons why the remainder of the complaint was not substantiated
An acknowledgement that the complaint was substantiated in full, with a brief description of the remedial and preventative action being taken

The investigating person or panel should ensure that full records of the investigation are kept together with the records of the initial complaint.

These should include:

A copy of the original complaint letter, email or written note
Details of how the complaint was investigated, identifying any documents or classes of documents read
Written records of any interviews undertaken
Results and conclusions of investigations
Any action taken

The records should be passed to the Officer for Governance and HR at the conclusion of the investigation.

The Officer for Governance and HR will record the outcome in the complaints log, file the records securely, and the Diocesan Secretary will consider what learning points should be addressed .

The Stage 2 decision will be final.

Delayed and unreasonable complaints

If the complaint relates to an incident or event which occurred more than three months before the complaint is made (or, where the complaint relates to a series of incidents or events, if more than three months have elapsed from the date of the latest incident or complaint), the person receiving the complaint may notify the complainant that it will not be investigated for that reason. The notification should be given within 10 working days of the complaint being received. The person who received the complaint will arrange for this to be recorded in the complaints log.

If the person receiving the complaint or the person investigating the complaint considers that the complaint is vexatious, frivolous, a repeat of a previous complaint or otherwise unreasonable, they may notify the complainant and, if relevant, the person who received the complaint, that the complaint will not be investigated or the investigation will be terminated for that reason. Further details of complaints that will be considered unreasonable are at Appendix 2 1. The notification should be given within 10 working days of the last instance of unreasonable behaviour, and wherever possible will be discussed informally with the complainant first. The person who received the complaint will arrange for this to be recorded in the complaints log.

If the complainant is dissatisfied with the decision not to investigate the complaint, they may write to or email the Diocesan Secretary asking for the decision to be reviewed. If the decision was made by the Diocesan Secretary, the complainant should write to or email the Diocesan Bishop. The Diocesan Secretary/Bishop will be provided with all documentation relating to the complaint, including the letter notifying the decision not to investigate, and will review the decision made. They should write to the complainant, the decision-maker and the Officer for Governance and HR within 10 working days of receipt of the request for a review. If they conclude that the complaint should be investigated, they will nominate a person to respond to the complaint, who should not be the person who decided not to investigate it. The Officer for Governance and HR will record the conclusion in the complaints log.

If unreasonable behaviour continues the Diocesan Secretary may write to the complainant to explain that their behaviour is unreasonable and ask them to change it. For complainants who excessively contact the diocese, causing significant levels of disruption, we may specify methods of communication and limit the number of contacts in a communication plan. This will usually be reviewed after 6 months.

In response to any serious incident of aggression or violence, the concerns and actions taken will be put in writing immediately and the police informed.

External complaint mechanism

The complainant can complain to the Charity Commission at any stage. The Commission’s involvement in looking at complaints is limited to issues that pose a serious risk of significant harm to a charity’s beneficiaries, assets, services or reputation.

Further information about the kind of complaints the Commission can involve itself in can be found on their website:

https://www.gov.uk/government/publications/complaints-about-charities/complaints- about-charities

Confidentiality

All complaint information will be handled sensitively and shared only with those who need to know. Maintaining confidentiality is essential and security of data relating to individuals will be protected in accordance with data protection legislation and the diocesan data protection policies. No confidential information relating to complaints will be disclosed to any third party unless the DBF has the individual’s consent or some other lawful authority.

The records will be held securely by the Officer for Governance and HR and requests to inspect should be addressed to them. They will seek the advice of the Diocesan Secretary where necessary.

Review and Monitoring

This policy and procedure will be reviewed in every three years from implementation.

The number, nature, and outcome of any complaints will be reported to the Diocesan Synod at least once a year to identify any trends which indicate a need to take further action. The number, nature, and outcome of any complaints relating to specific areas of work such as education or safeguarding will also be reported to the relevant committee or panel monitoring that area of work at least once a year to inform practice and potential improvements to policies and procedures.

Appendix 1: Unreasonable complaints

The DBF is committed to dealing with all complaints fairly and impartially, and to providing a high-quality service to those who complain. We will not normally limit the contact complainants have with the diocese. We do not expect our staff to tolerate unacceptable behaviour and will take action to protect our staff from that behaviour, including that which is abusive, offensive or threatening. The DBF defines unreasonable complainants as ‘those who, because of the frequency or nature of their contacts with the diocese, significantly hinder our consideration of their or other people’s complaints or performance of duties’.

A complaint may be regarded as unreasonable when the person making the complaint:

Refuses to articulate their complaint or specify the grounds of a complaint or the outcomes sought by raising the complaint, despite offers of assistance
Refuses to co-operate with the complaints investigation process while still wishing their complaint to be resolved
Refuses to accept that certain issues are not within the scope of the complaint procedure
Insists on the complaint being dealt with in ways which are incompatible with the complaint procedure or with good practice
Introduces trivial or irrelevant information which the complainant expects to be considered and commented on, or raises large numbers of detailed but unimportant questions, and insists they are fully answered, immediately or to their own timescales
Makes unjustified complaints about staff who are trying to deal with the issues, and seeks to have them replaced
Changes the basis of the complaint as the investigation proceeds
Repeatedly makes the same complaint (despite one or more previous investigations or responses concluding that the complaint is groundless or has been addressed)
Refuses to accept the finding of the investigation into their complaint where the DBF’s
complaint procedure has been fully and properly implemented and completed
Seeks an unrealistic outcome
Makes excessive demands on diocesan time by frequent, lengthy, complicated and stressful contact with staff regarding the complaint in person, in writing, by email or by telephone while the complaint is being dealt with

A complaint may also be considered unreasonable if the person making the complaint does so either face to face, by telephone or in writing or electronically:

Maliciously or aggressively
Using threats, intimidation or violence
Using abusive, offensive or discriminatory language
Knowing it to be false or using falsified information
By publishing unacceptable information in a variety of media such as in social media websites and newspapers

Complainants should limit the number of communications with the DBF while a complaint is being processed. It is not helpful if repeated correspondence is sent (either by letter, telephone, email or text) as it could delay the outcome being reached.

Appendix 2: Roles and responsibilities

The Complainant

The complainant or person who makes the complaint will receive a more effective response to the complaint if he/she:

Co-operates with the diocese in seeking a solution to the complaint
Expresses the complaint in full as early as possible and no later than 3 months after the issue
Responds promptly to requests for information or meetings or in agreeing the details of the complaint
Asks for assistance as needed
Treats all those involved in the complaint with respect

The Officer for Governance and HR

The Officer for Governance and HR should:

Ensure that the complainant is fully updated at each stage of the procedure
Ensure that all people involved in the complaint procedure are aware of the legislation around complaints including the Equality Act 2010, Data Protection Act 2018 and Freedom of Information Act 2000
Liaise with staff members, clergy and committee members to ensure the smooth running of the complaint procedure
Keep records
Be aware of issues regarding:
- Sharing third-party information
- Additional support which may be needed by complainants when making a complaint, such as interpretation support.

The Officer for Governance and HR will also act as the contact point for the complainant for any meeting or hearing which takes place and is expected to:

Set the date, time and venue, ensuring as far as practicable that the dates are convenient to all parties and that the venue and proceedings are accessible
Collate any written material and send it to the parties in advance
Record the proceedings
Circulate minutes of the meeting or hearing
Notify all parties of the panel’s decision

The Investigator

The Investigator is the person responding to the complaint at Stage 1 or the person dealing with the complaint at Stage 2 of the procedure. The Investigator’s role can include:

Providing a comprehensive, open, transparent and fair consideration of the complaint through:
- Sensitive and thorough interviewing of the complainant to establish what has happened and who has been involved
- Consideration of records and other relevant information
- Interviewing staff and other people relevant to the complaint
- Effectively liaising with the complainant and the Officer for Governance and HR as appropriate to clarify what the complainant feels would put things right
- Identifying solutions and recommending courses of action to resolve problems
- Being mindful of the timescales to respond
- Responding to the complainant in plain and clear language

The person investigating the complaint should make sure that they:

Conduct interviews with an open mind and be prepared to persist in the questioning
Keep notes of interviews, record them following notification to the complainant, or arrange for an independent note taker to record minutes of the meeting

The Panel Chair

The Panel Chair, supported by the Officer for Governance and HR, has a key role in ensuring that:

The meeting is minuted
The remit of the panel is explained to the complainant
The issues are addressed
Key findings of fact are made
Those who are not used to speaking at such a hearing are put at ease
The proceedings are as welcoming as possible, bearing in mind that many complainants will feel nervous and inhibited
The hearing is conducted in an informal manner, with respect and courtesy
The layout of the room sets an appropriate tone, taking care to ensure the setting is informal and not adversarial
The panel is open-minded and acts independently
No member of the panel has an external interest in the outcome of the proceedings or any involvement in an earlier stage of the procedure
Both the complainant and the relevant DBF member of staff are given the opportunity to state their case without undue interruption and seek clarity
Written material is seen by everyone in attendance
Everyone is given an appropriate opportunity to consider and comment on any new issues arising or material produced, including where appropriate adjourning the hearing for a short time, or refusing to allow new issues or material to be considered

Panel Member

Panel members will need to be aware that:

It is important that the panel is independent and impartial, and that it is seen to be so
Nobody may sit on the panel if they have had a prior involvement in the complaint
The aim of the hearing will always be to resolve the complaint and achieve reconciliation between the diocese and its representatives and the complainant. It must be recognised that the complainant might not be satisfied with the outcome if the hearing and It may only be possible to establish the facts and make recommendations which will satisfy the complainant that his or her complaint has been taken seriously.

HR, the Diocesan Registrar and the Diocesan Secretary

HR, the Diocesan Registrar and the Diocesan Secretary will all be available to give advice and assistance to both staff and external investigators and panel members on request.

Appendix 3: Complaints procedure flowchart

Page last updated: Wednesday 10th August 2022 3:58 PM