investigation conducted by an investigating officer and an independent person. Stage 2
commences either when the complainant requests it or where the complainant and the
local authority have agreed that Stage 1 is not appropriate (regulation 17(1)).
3.6.2 If the complaint has been submitted orally, the Complaints Manager must ensure
that the details of the complaint and the complainant’s desired outcome are recorded in
writing and agreed with the complainant. This may be achieved either by
correspondence or by meeting the complainant to discuss, followed by a written record of
what was agreed. He may wish to do this in conjunction with the Investigating Officer
and Independent Person appointed to conduct Stage 2 (see below). Should the
complainant amend the written record of his complaint, the Stage 2 timescale will start
from the date that the complaint is finalised.
3.6.3 The Complaints Manager should arrange for a full and considered investigation of
the complaint to take place without delay. He may also request (in writing) any person or
body to produce information or documents to facilitate investigation, and consideration
should be given to matters of disclosure and confidentiality. Consideration of the
complaint at Stage 2 should be fair, thorough and transparent with clear and logical
outcomes.
3.6.4 The Complaints Manager should ensure that the authority appoints an
Investigating Officer (IO) to lead the investigation of the complaint and prepare a written
report for adjudication by a senior manager. The IO may be employed by the local
authority or be brought in from outside the authority, appointed specifically for this piece
of work. The IO should not, however, be in direct line management of the service or
person about whom the complaint is being made.
3.6.5 An Independent Person (IP) must be appointed to the investigation (regulation
17(2)) (see Annex 1 on Definition of Roles). This person should be in addition to the IO
and must be involved in all aspects of consideration of the complaint including any
discussions in the authority about the action to be taken in relation to the child.
3.6.6 A copy of the complaint should be sent to any person who is involved in the
complaint, unless doing so would prejudice the consideration of the complaint. Where
this may be the case, the Complaints Manager should advise senior management, who
should inform staff of the details of the complaint through normal line management.
3.6.7 The IO should have access to all relevant records and staff. These should be
released within the bounds of normal confidentiality and with regard to relevant
legislation in the Freedom of Information Act, 2000 and the Data Protection Act, 1998.
3.6.8 The investigation should be completed and the response sent to the child or
young person within 25 working days (regulation 17(3)). However, this may be
impractical in some cases, e.g. where the complaint involves several agencies, all or
some of the matters are the subject of a concurrent investigation (such as a disciplinary
process), if the complaint is particularly complicated or if a key witness is unavailable for
part of the time.
3.6.9 Where it is not possible to complete the investigation within 25 working days,
Stage 2 may be extended to a maximum of 65 working days (regulation 17(6)). All
extensions should be agreed by the Complaints Manager. The important thing is to
maintain dialogue with the complainant and where possible reach a mutual agreement as
to what is reasonable where a response in 25 working days is not feasible.
Getting the Best from Complaints 13