Examining the local authority's files

Files are usually inspected when you are unable to fill gaps in your knowledge from responses to written enquiries or informal contacts.  SL082 is one way of arranging to see files, but you can also make arrangements by email or telephone.  

At the Commission's office

Some authorities may be willing to lend us the relevant files and so avoid the need for a visit to their offices.  If the subject of the complaint is still current, then borrowing the files may prevent the authority from taking action, so this approach works best for complaints where the events are over and we are being asked to look back and see if there was maladministration.  Generally, you should approach the link officer with the request, and should agree that you will read the files and return them via an agreed route by a set date.

At the local authority

Normal practice would be to ask the link officer to arrange a mutually convenient date/time and venue.  If you are not also carrying out formal interviews it may also be helpful to ask the authority to make available an officer involved in events so you can ask informally any questions which arise from the examination of the files.

Many records are held in DIP systems, on microfiche or on computer systems: you should discuss with the link officer whether this is likely to be an issue and if it is, ask for an officer to be available to show you how to access these records and take copies of them as needed.

In both cases

Are they the right files and are they complete?

You should normally ask for the files of the link officer and the departments or functions involved in the events.  You should not ask for all files for the complainant, although it may be appropriate to ask for files for functions which might link with the one under investigation.  So for neighbour nuisance, files about housing management, environmental health and legal might all be relevant, but one on housing benefit would not.  You should insist on seeing the original files, rather than files of copy documents which some authorities try to be helpful by providing.  

You should be looking to see if the submitted file is complete: are there any obvious gaps in the papers, or do some documents refer to other documents or file references not provided by the authority.

What information should be copied or recorded?

When examining the file, you should mark for copying any documents which you do not already have, and which you may rely on in achieving an outcome.  You should make a list of the documents to be copied so that you can check subsequently that all you asked for has been provided.

It may also be helpful to take notes of the whole content of the file(s) in case there are later questions, such as 'was there any record of X on the file?'.  Or note significant gaps.  You may wish to take a lap top to make such notes on the spot.