How to File a Complaint With the Ombudsman in the UK

The Localism Act 2011 governs the process of filing a complaint with the Ombudsman in the UK. Homeowners and tenants can file complaints under this statute, which affects local authorities and housing providers.

The complaint must be filed within 12 months of the incident.

Local Government Ombudsman Law

The Local Government and Social Care Ombudsman is governed by the Local Government Act 1974, section 26. The Ombudsman uses the “maladministration” legal standard to assess complaints, which includes a $500 threshold for financial losses. In plain terms, this means that the Ombudsman will only investigate complaints that involve significant financial losses or systemic issues.

The Localism Act 2011, section 38, also gives the Ombudsman the power to investigate complaints about local authorities and housing providers. This is where the law gets teeth, as the Ombudsman can make recommendations and order compensation of up to $10,000. The court has upheld this power in several cases, including the 2015 case of R (on the application of UK Retirement Trustees Ltd) v The Pensions Ombudsman, which established the 6-month time limit for filing complaints.

Eligibility and Requirements

To be eligible to file a complaint with the Ombudsman, individuals must have been affected by a decision or action of a local authority or housing provider within the last 12 months. The complaint must also meet the “reasonable person” test, as outlined in the Local Government Act 1974, section 26(3). In practice, this means that the complainant must have taken reasonable steps to resolve the issue before filing a complaint, including waiting at least 8 weeks for a response.

The Ombudsman also has a residency requirement, which states that the complainant must have been a resident of the UK for at least 6 months. Additionally, there is an income threshold of $25,000 per year, above which the complainant may not be eligible for assistance. The Local Government and Social Care Ombudsman’s 2020 report highlighted the importance of meeting these requirements, which are outlined in the Local Government Act 1974, section 27.

Required Documents

To file a complaint with the Ombudsman, individuals will need to provide certain documents, including proof of residency, such as a utility bill or council tax statement, and evidence of the complaint, such as correspondence with the local authority or housing provider. The Ombudsman may also request additional documents, such as financial statements or medical records, to support the complaint. These documents can be obtained from the local authority or housing provider, and must be submitted within 28 days of the complaint being filed.

Some examples of required documents include:
* A copy of the complaint letter or email sent to the local authority or housing provider, which must be dated within the last 12 months
* A copy of any response received from the local authority or housing provider, which must be dated within the last 6 months
* Proof of residency, such as a utility bill or council tax statement, which must be dated within the last 3 months. The Ombudsman’s website provides a checklist of required documents, which can be found under the “Complaints” section.

The Filing Process

Step 1: Submitting the Complaint Form

The first step in filing a complaint with the Ombudsman is to submit a complaint form, which can be downloaded from the Ombudsman’s website or obtained by calling the Ombudsman’s office. The form must be completed in full and signed, and must include a clear statement of the complaint and the desired outcome. The form must be submitted within 12 months of the incident, and must be accompanied by a $50 filing fee.

The complaint form can be submitted online, by email, or by post, and must be addressed to the Local Government and Social Care Ombudsman, which is located in Coventry. The Ombudsman’s office will acknowledge receipt of the complaint within 5 working days, and will provide a reference number, which must be quoted in all future correspondence. The Local Government Act 1974, section 28, governs the filing process, which includes a 28-day waiting period before the complaint can be investigated.

Step 2: Initial Assessment

Once the complaint form has been submitted, the Ombudsman will conduct an initial assessment to determine whether the complaint is eligible for investigation. This assessment will include a review of the complaint form and any supporting documents, and may involve contact with the local authority or housing provider. The assessment must be completed within 28 days of receipt of the complaint, and the Ombudsman must notify the complainant of the outcome in writing.

If the complaint is eligible for investigation, the Ombudsman will assign an investigator to the case, who will gather evidence and conduct interviews. The investigator may also request additional documents or information from the complainant or the local authority or housing provider. The Local Government and Social Care Ombudsman’s 2019 report highlighted the importance of this step, which is governed by the Local Government Act 1974, section 29.

Costs and Timeline

The cost of filing a complaint with the Ombudsman is $50, which must be paid at the time of submission. Additionally, the complainant may incur costs for obtaining documents or seeking legal advice, which can range from $500 to $5,000. The Ombudsman’s investigation process can take several months to complete, typically between 3-6 months, although complex cases may take up to 12 months.

The timeline for the investigation process is as follows: the initial assessment must be completed within 28 days, the investigation must be completed within 3-6 months, and the Ombudsman’s report must be issued within 2 weeks of the completion of the investigation. The Local Government Act 1974, section 30, governs the timeline, which includes a 6-month time limit for the complainant to appeal the Ombudsman’s decision.

State-by-State Differences

While the process for filing a complaint with the Ombudsman is generally the same across the UK, there are some state-by-state differences. For example, in England, the Ombudsman has the power to investigate complaints about local authorities, while in Scotland, the Ombudsman can only investigate complaints about the Scottish Government. In Wales, the Ombudsman has the power to investigate complaints about local authorities and the Welsh Government, with a $10,000 threshold for financial losses.

In Northern Ireland, the Ombudsman can investigate complaints about local authorities and government departments, with a 6-month time limit for filing complaints. The Ombudsman’s office in Northern Ireland also has a $20 filing fee, compared to $50 in England. The Local Government Act 1974, section 31, governs the state-by-state differences, which include a 28-day waiting period before the complaint can be investigated in Scotland.

What Can Go Wrong

There are several things that can go wrong when filing a complaint with the Ombudsman, including missed deadlines, incomplete complaint forms, and lack of evidence. If the complainant misses the 12-month deadline for filing a complaint, the Ombudsman may not be able to investigate the complaint, unless there are exceptional circumstances, such as a serious illness or disability, which must be documented and supported by a $100 fee.

In addition, if the complainant does not provide sufficient evidence to support the complaint, the Ombudsman may not be able to find in their favor. The Local Government Act 1974, section 32, governs the enforcement options, which include a $1,000 fine for non-compliance. The Ombudsman’s 2020 report highlighted the importance of meeting the requirements and deadlines, which can be found on the Ombudsman’s website.

The Ombudsman’s office is currently reviewing its procedures to ensure that complaints are handled efficiently and effectively, with a focus on reducing the 6-12 month timeline for investigations. The review, which is expected to be completed within the next 12 months, will include a $50,000 budget for consulting with stakeholders and implementing changes, and will be governed by the Local Government Act 1974, section 33.