1. Purpose of the Policy

The aim of this policy is to help customers and staff to understand how the Council manages unreasonably persistent and unreasonable behaviour by customers. It gives clear guidance as to the definition of unreasonable behaviour and explains what actions staff should take when presented with such behaviour or unreasonable requests. This Policy will apply to both Cornwall Council and its arm’s length companies where applicable and has been based on guidance issued by the Local Government Organisation (LGO) and the Information Commissioner’s Office (ICO).

2. Summary

Dealing with correspondence from customers, a complaint, Freedom of Information (FOI) request or CEO’s and Directors Mail correspondence is usually a straightforward process. However, in a minority of cases, people pursue correspondence in a way that can impede the investigation of their complaint or can have significant resource implications for the Council. This policy has been formulated to deal with the small number of customers who make it necessary for special arrangements to be made. It should be noted that there are differences between FOI and non FOI related cases and these are outlined later, although the general principles below apply to both instances.

When referencing FOI in this Policy, this also applies to Environmental Information Regulation (EIR) requests. Requests that relate to the environment, land or property fall under the EIR regime rather than FOI, but are dealt with in a similar manner.

We aim to deal with any correspondence or complaints in a way which is open, fair and transparent. We have developed this policy so that people who complain and the staff who manage those complaints understand what to do if people start to behave unreasonably.

3. Background

We do not normally limit the contact people have with us. Whether they are complaining, making a request for service, a FOI request or seeking help and guidance, we are committed to dealing with all requests fairly and impartially and to providing a high quality of service. We are keen to resolve any dispute and/or complaint as early as possible.

Occasionally, the behaviour of some customers can make it very difficult for us to deal with their concerns. In a small number of cases the actions of some customers becomes unacceptable because they involve abuse of staff or processes. When this happens we have a responsibility to our staff to take appropriate steps to limit the customers contact with the Council. On other occasions we have to consider whether a customer’s actions are having an impact on our ability to do our work and to provide a service to others. Such actions can occur either while the complaint is being investigated, or once we have completed the investigation.

We understand that people sometimes feel frustrated about matters but we will not tolerate behaviour which we deem to be unacceptable, threatening, abusive or unreasonably persistent towards staff or elected members.

4. Scope

We define unreasonably persistent and unreasonable customers (referred to as Vexatious or Manifestly Unreasonable under FOI/EIR), as those customers, who because of the frequency or nature of their contacts with us hinder our consideration of their or other people’s issues or complaints. These are generally covered under 2 key areas:

  • customers who feel that the Council has not dealt with their issue, complaint or FOI request properly and are not prepared to leave it there; and
  • customers may have a justified dispute, complaint, FOI request or grievance, but these are either being pursued in inappropriate ways, or customers may be intent on pursuing the issue which appears to have no substance or which may have already been investigated and determined. Their contacts with the Council may be amicable but still place very heavy demands on employee time, or they may be very emotionally charged and distressing for all involved.

Sometimes a situation between the Council and a customer can escalate and the behaviour moves from being unreasonable and unreasonably persistent to behaviour which is unacceptable, for example, abusive, offensive or threatening behaviour.

Any decision resulting from the implication of the policy normally applies to the nature of the dispute, complaint or subject matter and not to the customer themselves. However, it is very likely that the customer’s previous behaviour will have some bearing on how to proceed with unrelated future correspondence or contact with the Council, particularly where there has been an element of extreme behaviour or verbal abuse.

5. Examples of Unreasonable Behaviour and Actions

The following is a list of some actions and behaviours which can be deemed as unreasonable, unreasonably persistent, (or vexatious/manifestly unreasonable under FOI/EIR). This list is not exhaustive but is designed to give an indication of the type of behaviour that is considered to be unreasonably persistent:

  • Refusing to specify the grounds of a dispute and/or complaint, despite offers of assistance from Council employees
  • Refusing to co-operate with the complaints investigation process (Listening and Learning Policy) while still wishing their complaint to be resolved
  • Refusing to accept that certain issues are not within the scope of the Council’s complaints procedure despite being informed
  • Insisting on the dispute and/or complaint being dealt with in ways which are incompatible with the Council’s adopted complaints procedure or with good practice
  • Making unjustified complaints about employees who are trying to deal with the issues, and seeking to have them replaced or harbouring personal grudges
  • Changing the basis of the complaint as the investigation proceeds
  • Denying or changing statements made at an earlier stage
  • Introducing trivial or irrelevant new information at a later stage
  • Raising numerous, detailed and unimportant questions and insisting they are all fully answered
  • Covertly recording meetings and conversations without the prior knowledge and consent of other persons involved
  • Submitting falsified documents from themselves or others
  • Adopting a ‘scattergun’ approach: pursuing parallel disputes and/or complaint(s) on the same issue with multiple officers, departments or services
  • Making unnecessarily excessive demands on time and resources of employees, such as excessive telephone calls, emails, or lengthy complex letters
  • Submitting repeat complaints or FOI requests essentially about the same issue(s) with minor variations
  • Being abusive or using aggressive language
  • Rejecting attempts by the Council to assist and advise and showing no willingness to engage
  • Explicitly stating that it is their intention to cause disruption
  • Refusing to accept the decision; repeatedly arguing points with no new evidence
  • Using other family members to attempt to re-open a complaint already closed
  • Combinations of the above

6. What Actions Can Be Taken to Stop or Limit the Behaviour?

The actions taken will depend on the nature and extent of behaviours. Any action should be appropriate and proportionate to the frequency and severity of the behaviour. Initially, the customer may be sent an initial letter setting out that their conduct is becoming a concern. If ignored, two stages follow:

Stage 1 (Prior Warning)

If behaviour continues, the Head of Service or Corporate and Information Governance Manager issues a prior warning letter explaining the behaviour deemed unacceptable, offering a meeting if appropriate, assigning a named officer for correspondence, and stating intent to apply restrictions if behaviour persists. The letter will reference and include a copy of this policy. Customers may also be blocked from emailing or phoning if necessary. Names are added to the Council’s register as having been warned.

Stage 2 (Full Implementation)

Full implementation is carried out by the Monitoring Officer or nominee with the Standards Committee. They must be satisfied the customer’s behaviour is unreasonable, that the complaint has been dealt with properly, and that a prior warning letter was issued. A report is prepared for the Standards Committee, reviewed by the LGO Link Officer, and considered by the Committee. If approved, the customer is declared unreasonably persistent for 12 months (reviewed after 6). Customers are notified and added to the Council’s register.

7. What Happens if a Customer Continues to Contact the Council?

A named officer will handle all correspondence. If the issue is already addressed and no new evidence is provided, no further action will be taken. If new complaints or evidence arise, the Monitoring Officer or nominee will decide on the response. Abusive or threatening behaviour may be reported to the police. Attempts to circumvent the policy via family, advocates, MPs, or Councillors will be treated the same. Officers and Members may decline to respond further once restrictions are in place.

8. What Can a Customer Do to Challenge the Council’s Decision?

Customers may complain to the Local Government Ombudsman (LGO). The Council will cooperate fully with any LGO investigation and provide all necessary documentation.

9. How Does the Council Review the Decision?

Restrictions usually last 12 months but are reviewed after 6 months by the Monitoring Officer. At 12 months, the Standards Committee reviews the case and informs the customer of the outcome. Continued restrictions will be explained along with the timing of the next review.

10. Confidentiality, Legal Requirements and Non-Compliance

  • All personal data provided will be processed in accordance with the Data Protection Act 1988.
  • Any breach of the policy may result in referral to the Local Government Ombudsman.

11. What Actions Can Be Taken to Stop or Limit the Behaviour? (FOI/EIR Cases)

If a request becomes vexatious or manifestly unreasonable, the requester may be warned that further similar requests will be treated as such under FOI or EIR. Requests may be refused on this basis.

12. What Happens if a Customer Continues to Contact the Council? (FOI/EIR Cases)

If further requests are received on the same subject, the departmental/service FOI representative may declare the request vexatious or manifestly unreasonable. Each new request is considered independently. Advice may be sought from the FOI Team or Legal Services. Where cost or time is excessive, Section 12 FOIA or Regulation 12(4)(d) EIR may be applied. Customers added to the Council’s register of vexatious requesters.

13. What Can a Customer Do to Challenge the Council’s Decision? (FOI/EIR Cases)

Requesters can ask for an Internal Review by an independent senior officer. If still unhappy, they may appeal to the Information Commissioner’s Office (ICO), which may investigate based on the evidence.

14. How Does the Council Review the Decision? (FOI/EIR Cases)

No further requests on the same subject are considered within 12 months. New requests are reviewed to determine if they are genuinely new or related to previously declared vexatious matters.