Our Complaints Policy

The purpose of this policy is to set out how the Compliance Officer assesses and responds to complaints.

Anyone affected by something the Compliance Officer has done or failed to do can make a complaint under this policy.

Conduct complaints in relation to the Office of Compliance Officer

The Compliance Officer for IPSA has statutory functions as set out in the Parliamentary Standards Act (PSA) 2009 and discharges their public office duties in accordance with the Procedures for Investigations for the Compliance Officer for IPSA.

This procedure sets out how complaints about the conduct of the Compliance Officer or member of their team will be handled. Conduct complaints are not a substitute for an appeals process where one exists. Some decisions by the Compliance Officer are final, and for others there is an appeal right as explained below.

Rights of appeal

In relation to decisions made by the Compliance Officer the following rights of appeal exist under the PSA 2009. Appeals under these must be raised with the First-tier Tribunal:

  • Section 6A (5-12) – Compliance Officer has reviewed an IPSA determination on behalf of an MP.

  • Section 9 and Schedule 4, Part 1 (recovery) – Compliance Officer has issued a repayment direction.

  • Section 9 and Schedule 4, Part 2 (Penalties) – Compliance Officer has issued a penalty notice.

Only this legal process can change a decision made by the Compliance Officer. As the Compliance Officer is an Independent Public Office Holder, the Board of IPSA cannot overturn a decision made by the Compliance Officer nor review a decision made by the Compliance Officer.

Other decisions are final

Other decisions made by the Compliance Officer are final and no right to appeal exists. This includes decisions made by the Compliance Officer where the person or body who raised the matter with the Compliance Officer is not happy with the decisions made.

Working together

Notwithstanding the fact that some decisions are final, when a query about a decision is raised, the Compliance Officer aims to work with the person questioning the decision to understand the point in question. If the person raising the concern can evidence a clear error of fact in the outcome letter or information which was not available at the time of the original consideration, it is up to the Compliance Officer, at their sole discretion, whether to reopen a case.

Complaints about the conduct of the Compliance Officer or member of Compliance staff

The Compliance Officer and their team are committed to providing a high-quality service. If you feel that the Compliance Officer or a member of their team has failed to meet the high standards expected of them, you are able to raise a complaint and can expect your concerns to be responded to.

The Compliance Officer and their team, in line with all IPSA staff, are committed to upholding the UK Parliament Behaviour Code. Read our statement on our commitment to the code.

Complaints raised about the conduct of any member of the Compliance team will be handled in accordance with the IPSA Disciplinary Policy and Procedure or Performance Management Policy.

If your complaint is about the conduct of the Compliance Officer, this will be handled by the IPSA Chair.

If your complaint is about a member of Compliance Officer Staff, then this will be handled by the Compliance Officer.

How your complaint will be handled

On receipt of the complaint, the complaint handler will acknowledge receipt of it and, where needed, may contact you for further information.

The complaint handler will assess the most appropriate way to handle it. This may be that they consider a formal investigation is needed, it might be identified to be one for individual learning, or it may not require any action.

The complaint handler will keep you informed as to how they are handling the case. If they deem it to be appropriate, an apology may be given.

As an outcome, you will be informed if your complaint has been upheld or not. Where the complaint has not been upheld, you will be informed as to why.

There is no right of appeal for the outcome of a complaint.