Report Summary
The Authority has a set of procedures that details how it will handle a relevant complaint to ensure transparency, equality of treatment, common understanding and public accountability.
As this document constitutes actual working procedures, it covers a significant amount of detail. However, it is hoped that by sharing the ‘how’ and the ‘what’ of its complaint handling, this will allow the Authority to focus its efforts on dealing effectively with all complaints. It also highlights what the Authority will do if there are complaints which do not fall within our remit, or if we consider a complainer’s actions to be unacceptable.
Stage 3 - Allocation and Enquiry
The SPA Complaints Team carry out investigations into relevant complaints. It is important to note that an investigation into a complaint is not a misconduct investigation. Rather, it is an investigation into the circumstances that led to the dissatisfaction being expressed by the complainer.
The Complaints Team and the complainer will formally agree a list of complaints to be progressed (i.e. Heads of Complaint). The agreed list will be a definitive record of those complaints which the complainer wishes to pursue. Individual allegations, or expressions of dissatisfaction, that can be upheld or not upheld on their own, will not be grouped together as one complaint, but recorded separately.
If the complainer makes additional allegations during the complaint enquiry after Heads of Complaint have been agreed, it will be for the Complaints Team to decide whether the new allegations will be added to the ongoing enquiry, or be recorded separately.
Gathering supporting evidence and information relating to a complaint is crucial to establishing the facts upon which a decision will be based. Evidence is the information on which to base proof or to establish a truth or falsehood. Evidence gathering relates to the identification, capture and recording of data relevant to the complaint being investigated.
Should further information or documentation be required, contact will be made with the complainer to request additional information. In most cases, a request for further information will provide a deadline of 5 working days for receipt.
Consideration will be given in all cases to the most effective method of gathering information including through written requests, telephone interviews or face to face interviews and any preference or requirements indicated by the complainer will be taken into account. In deciding the most effective method, consideration will be given to the type of evidence sought and the requirement to meet any specific accessibility needs of the complainer.
Where a complainer has not responded by the required date, the SPA Complaints Team will make contact with the complainer to advise of an extension of 5 working days in which to respond and advise that if a response has not been received by that date, a decision may be taken to progress the complaint for determination and potential closure based on the evidence available.
Extensions on the period of time provided for response will be considered on a case-by-case basis.
The SPA will undertake relevant internal checks to see if they hold any relevant information regarding the complaint, as well as request further information from third parties, including Police Scotland, to ascertain if any pertinent information is available regarding the complaint allegation(s).
Managing complainers’ expectations
The SPA complaints process seeks to ensure that if the service provided or not provided, or the conduct of a person subject of a complaint falls below the standard that a reasonable person would expect, then the service, act or omission complained about will be addressed appropriately.
We cannot accept complaints by individuals to express dissatisfaction with situations for which there is an existing route for dealing with concerns, for example, a response to a Freedom of Information request or how Police Scotland handles complaints.
The SPA has set its own good practice timescales based on those set out in the statutory guidance. We aim to acknowledge complaints within 3 working days of receipt and conclude within 40 working days. This may take longer, however, depending on the complexity of the complaint. If a complaint takes longer than 40 working days to conclude, the complainer will be advised and thereafter updated on a monthly basis, or such other period as may be agreed with the complainer, until the complaint is determined.
Communication with the person subject of the complaint
Where a relevant complaint is made about a senior officer or member of SPA staff, they will be made aware at the earliest practicable point, provided that such early disclosure would not prejudice any investigation of a complaint. In addition, the individual will be asked to address or respond to the complaint allegation or provide evidence.
The person subject of the complaint is not obliged to provide any response. However they will be made aware that, if they do not, the complaint may be upheld based on the information available, particularly where there is no other evidence to the contrary and the complainer has provided an apparently credible and reliable account.
Throughout the handling of the complaint, it is necessary to communicate regularly with the person subject of the complaint in order that they are aware that matters are still ongoing and when they may expect to be notified of the findings.
Unacceptable, persistent or unreasonable actions
There are relatively few complainers whose actions the SPA consider unacceptable. How we aim to manage these actions depends on their nature and extent. If they adversely affect the ability of the SPA to do its work and provide a service to others, we may need to restrict complainer contact in order to manage the unacceptable action.
Find out more about our Unacceptable, Persistent or Unreasonable Actions by Complainers Policy.
