Summary: The Ombudsman previously recommended the Council respond to Mrs X’s stage two statutory children’s complaint within 65 working days. The Council was at fault for failing to comply with that recommendation. This caused Mrs X frustration for which the Council will pay her £150 and complete the stage two response. The Council will also prepare a database of officers who can carry out stage two investigations to prevent the fault happening again.

The complaint

1. The Ombudsman previously recommended the Council respond to Mrs X’s complaint at stage two of the statutory children’s complaint within 65 working days. Mrs X complained the Council did not comply with that recommendation. She said this had a negative impact on her.

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The Ombudsman’s role and powers

2. We investigate complaints about ‘maladministration’ and ‘service failure’. In this statement, I have used the word fault to refer to these. If we are satisfied with an organisation’s actions or proposed actions, we can complete our investigation and issue a decision statement. (Local Government Act 1974, section 30(1B) and 34H(i), as amended)
3. Under our information sharing agreement, we will share this decision with the Office for Standards in Education, Children’s Services and Skills (Ofsted).

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How I considered this complaint

4. I have considered:
• all the information Mrs X provided and discussed the complaint with her;
• the Council’s comments about the complaint and the supporting documents it provided; and
• the relevant law and guidance and the Ombudsman's guidance on remedies.
5. Mrs X and the Council had an opportunity to comment on my draft decision. I considered any comments received before making a final decision.

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What I found

Relevant law and guidance

6. The law sets out a three-stage procedure for councils to follow when looking at complaints about children’s social care services. The accompanying statutory guidance, ‘Getting the Best from Complaints’, explains councils’ responsibilities in more detail.
7. The first stage of the procedure is local resolution.
8. If a complainant is not happy with a council’s stage one response, they can ask that it is considered at stage two. At this stage of the procedure, councils appoint an investigating officer (IO) to look into the complaint and an independent person (IP) who is responsible for overseeing the investigation and ensuring its independence. The whole stage two process should be completed within 25 working days, but guidance allows an extension for up to 65 working days where required.
9. If a complainant is unhappy with the outcome of the stage two investigation, they can ask for a stage three review by an independent panel.
10. The statutory guidance says councils do not need to prepare an agreed statement of complaint where a complainant makes their stage two request in writing. The Ombudsman has published practitioner guidance on the procedures, which notes that it would be good practice where the written complaint lacks clarity.
11. The guidance says if the complainant will not agree a statement of complaint and the council is confident it understands what the complaint is, it should tell the complainant it intends to continue with the investigation. It should offer them a final chance to agree the details of the complaint to be investigated.
12. The Ombudsman’s guidance also notes there may be times a complainant adds new issues to their complaint at stage two. Councils should decide whether it is better to include those issues in the stage two investigation or consider them as a new complaint under the statutory procedure or through another process like the corporate complaints procedure.

What happened

Previous investigation

13. As part of a previous investigation (23 018 689), we found Mrs X had made a complaint to the Council which came under the children’s statutory complaints procedure. The Council responded at stage one in January 2023 and Mrs X asked for a stage two response in writing in February.
14. We found that as of the date of our final decision in early October 2023, the Council had not started a stage two investigation. The Council agreed to complete a stage two investigation within 65 working days of our final decision. This would have been by early January 2024.

Events since our decision

15. The Council appointed the stage two IO and IP at the end of December 2023. The Council told us it found identifying suitable people to act as IO and IP difficult. It has contacted complaints managers at other councils for recommendations and plans to build a database of suitable IO’s and IP’s for future complaints.
16. Since Mrs X requested a stage two response in February 2023, she has raised numerous other issues. The meaning of some of her new complaints is at times unclear. To clarify what Mrs X wanted to complain about at stage two, the IO wrote to Mrs X in late January 2024 and asked if she would agree to a meeting to agree a statement of complaint. Mrs X declined and said she wanted to communicate in writing only.
17. The Council and the IO have explained to Mrs X that the IO and IP are independent of the Council and would benefit from speaking with her, but Mrs X has not agreed to a meeting.

Findings

18. When a council agrees to our recommendations, it should do so within the agreed timescale. The Council has not completed the stage two investigation. This was fault and caused Mrs X avoidable frustration.
19. Much of the delay was due to difficulties identifying a suitable IO and IP. The Council has said it will create a database of potential IO’s and IP’s to prevent such delays in future. I welcome this action and have made a recommendation to ensure the Council carries it out without delay.
20. The IO feels they cannot begin their stage two investigation until they have agreed a statement of complaint with Mrs X. I consider Mrs X’s stage two request to be clear about what she disagrees with and complains about. However, some of the new issues Mrs X raised with the Council after she made her stage two request in February lack clarity. It is good practice in such a case to agree a statement of complaint.
21. The IO wants to agree a statement of complaint by holding a meeting with Mrs X, who has expressed she only wants to communicate in writing. Mrs X is entitled to ask for this. The Council should write to Mrs X and explore a statement of complaint with her, based on her stage two request and the complaints issues she subsequently raised. The Council can then consider if it will include any of Mrs X’s new issues in the stage two investigation, or whether it will respond to them in a different way.
22. If the Council is unable to agree a statement of complaint with Mrs X, it should, in accordance with our practitioner’s guidance, offer her a final opportunity to come to an agreement and then proceed with the investigation based on its understanding of her complaint. The Council should act without delay in exploring Mrs X’s statement of complaint so that it completes the stage two investigation within 65 working days, as set out in my recommendations.

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Agreed action

23. Within one month of the date of my final decision, the Council will pay Mrs X £150 in recognition of the frustration she felt due to the further delay in responding to her complaint at stage two of the children’s statutory complaints procedure.
24. The Council will begin and complete a stage two investigation within 65 working days of my final decision.
25. Within three months of the date of my final decision, the Council will compile a database of Investigating Officers and Independent Persons it can ask to carry out stage two investigations under the children’s statutory complaints procedure.
26. The Council should provide us with evidence it has complied with the above actions.

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Final decision

27. I have completed my investigation. I have found fault leading to personal injustice. I have recommended action to remedy that injustice and prevent reoccurrence of this fault.

Investigator’s decision on behalf of the Ombudsman

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Investigator's decision on behalf of the Ombudsman