16.1. Contact with complainants 

The early stages of dealing with a complaint set the scene. This is where we can gather and provide useful information, manage expectations and help build a constructive professional relationship with the complainant. 

Always check whether initial contact has been made by Assessment. This should be recorded in Notes & Analysis on ECHO. However, the Investigator should try to speak to the complainant themselves at an early stage. If this is unsuccessful, the Investigator must agree to a subsequent request from the complainant to talk by phone. 

If we do not have a phone number, the Investigator should send a message via the Online Complaints System (OCS) or write a letter to the complainant, asking them to make contact or to provide a phone number and convenient time for us to call them back. However, if a voicemail message is left or an OCS message or letter sent and no response is received relatively promptly, the Investigator may then move the case forward. Any or letter sent and no response is received relatively promptly, the Investigator may then move the case forward. Any contact details should be checked before first use, to ensure we are not misdirecting our communications. 

If no telephone contact is made at an early stage, the reasons for this must be recorded in Notes & Analysis. If we need information from a complainant, we should allow them to provide this to us by phone if that is their preference and if this is practicable given the nature and volume of the information sought.

In contact with the complainant the Investigator needs to:

• find out whether there are any language, disability or other barriers which might prevent the complainant from taking a meaningful part in the discussion or investigation as a whole and record whether any reasonable adjustments are required
• check address, email and phone number if these are not clear from existing correspondence the complainant has provided. Do not use details from a past complaint without checking they are still valid
• explain that where a complaint has been recorded via the OCS, that is the method we will use to communicate with them about their case from then on. Where a complaint has not been recorded via the OCS, we should agree a preferred method of contact with the complainant instead
• set out boundaries for future telephone contact, including not calling the Intake team rather than leave/send a message and wait for a response. In most cases further telephone contact will not be necessary and we should avoid creating an expectation of inward or outward calls. However, we must remain responsive to the need for telephone contact as a reasonable adjustment for someone with a disability
• explain our role
• test our understanding of the complaint and the alleged injustice
• explore any jurisdictional issues
• find out what the complainant wants to achieve
• explore possible approaches to dealing with the complaint, including any issues that may require joint working
• discuss any evidence the complainant may have and whether we need them to send it to us
• manage the complainant's expectations, and
• explain our investigation process and what will happen next.

An autotext called Contact list is available which Investigators can use as a reminder of this when writing Notes & Analysis. 

Investigators should record the substance of the call (and subsequent calls) in Notes & Analysis, including the time the call was made and the approximate duration. 

Exceptionally, and to avoid duplication of work, if there has already been substantive contact at Assessment and it is clear the complainant or investigation will not be disadvantaged, further telephone contact may not be necessary. There may be other rare circumstances where no initial contact by telephone is needed, or it is inappropriate. This will be left to the Investigator’s discretion, but some examples are where:

• there are a number of linked complaints and there is clearly one lead complainant to whom they have already spoken
• the complainant has specified they do not want to discuss the complaint by telephone
• the complainant has recently been abusive to our staff.

Where an Investigator decides not to telephone a complainant, a note should be made in Notes & Analysis explaining why.

Accepting contact by phone

• complainants should be able to contact us with queries, to raise complaints or to raise PDR requests by phone if they wish; we must not insist upon written communication. However, we can manage these calls to ensure we use our resources carefully, by setting boundaries on the length of a call for instance. 

• We do not expect staff to engage in calls that have no clear purpose eg where a complainant wants to discuss our approach or decision. But we can take a note of specific points of complaint or reasons for a PDR in a call, to later address in writing. 

• Please also see LGO Intranet | Managing challenging complainant behaviourWe recognise Investigation staff are not always available to answer calls and so we do not expect every call to be answered.

• We expect staff to address voicemail messages/call back requests within 5 days. Addressing the request may mean calling the complainant/BINJ back but it may also be acceptable to address the matter in writing and explain why a call back has not been made. This will depend on the circumstances of the case.

• Where staff miss calls from an unknown caller and no message is left we do not expect staff to return the call. However, if staff repeatedly miss calls from the same number they may wish to consider calling back to find out the reason for the calls. Staff may wish to search the number on ECHO to try to identify the caller first.

Following a recommendation from our external reviewer and based on the Highway Code which makes clear it is not acceptable, we should ensure telephone discussions with complainants do not take place while they are driving vehicles. Even using hands-free equipment is likely to distract attention and it is far safer not to use any type of telephone when driving or riding. Most telephone conversations we are likely to have (both casework and non-casework) require concentration by both parties. We should therefore end calls where we believe the person is driving or riding, and politely ask the caller to call back when convenient and safe to do so. Where a caller persists, we should feel confident to bring the call to an end as this is our decision to make.

Contact with/ from BinJs

Staff may find it more efficient to contact BinJs by phone if they have a quick query or if they are chasing a response to a written query. Substantive queries must still be made in writing.

We will shortly publish separate guidance on making investigative calls to BinJs.

We should also be open to taking calls from BinJs if requested. They may wish to check their understanding, raise queries or provide comments. If the BINJ is providing comments on a draft decision, staff must ask for a written copy in addition.

Examples of the benefits of considering such calls can include the following:

• Councils sometimes want to talk about the case early on, to give their side. This can be a relatively short call that allows the council to be heard.

• A quick call to the link officer to chase enquiry responses often gets a prompt response. The council may have overlooked earlier emails or forgotten to send the information.

• Booking in an investigative call to a council officer can, sometimes, get to the heart of the problem more quickly and effectively than just using written enquiries. Think about whether to use this option, depending on the circumstances.

• Councils sometimes want to provide comments on a draft decision by phone/conference call. While it’s important to ask for a written copy, giving the chance to call allows the council to be heard. This might allow the investigator to ask further clarifying questions during the call which saves time, avoiding the need for back and forth in writing.

• Councils sometimes call to explain that the nature of enquiries will mean providing significant amounts of information. It may then be possible to discuss what information is needed. The organisation can then focus on providing a more concise response.

Records of calls

Where staff have a phone call or receive a voicemail that contains substantive information they must make a note of this in N&A including the date, time, person who called, phone number and key content. Please see  9.3 LGO Intranet | Investigation Manual

Staff must keep their voicemails up to date. For further details see LGO Intranet | Phones

16.2. Referring complaints upwards

See the sections on Complaints about us and Dealing with requests to speak to a line manager.

16.3. Contact from MPs

Information about how we consider consent issues where an MP submits a complaint on behalf of someone can be found in the Casework Policy Forum guidance note on consent. 

When an MP makes substantive contact, a task should be set as soon as possible for an Assistant Ombudsman. In this context ‘substantive contact’ does not include situations where an MP’s office is simply passing on information to us or acting as a go-between. However, any direct requests to us, whether they require us to deviate from our ordinary processes or not, or any contact from the MP personally rather than a caseworker in their office, should be brought to an Assistant Ombudsman’s attention. The Assistant Ombudsman will decide whether the matter should be escalated and from whom a response should be sent.

If an MP has referred the complaint or otherwise makes contact and it is unclear that they wish to be actively involved, they should be sent an acknowledgement, invited to let us know if they want to be kept informed of progress and told they will be sent a copy of the final decision. It is important that we do as we say. The MP’s details should be added to ECHO and the banner will show MP involvement.

16.4. Keeping in touch

Investigators must keep the complainant and BinJ informed of progress. Unless the Investigator has explained good reasons to adopt a different date or frequency (such as action is awaiting a decision by a BinJ which will occur on a specific date), this must be at least every 20 working days measured from the last substantive contact. Investigators must send a KIT letter to the complainant on receipt of the enquiry response from the BinJ. A second KIT should be sent 20 working days later if required. Beyond this, further KITs without substantive action, such as making further enquiries or issuing a draft decision, are unlikely to be acceptable unless there are exceptional reasons (for example the extended ill-health of the Investigator).