1.4.1 Representations and Complaints Procedure |
Contents
1. Introduction
This guidance replaces the 'Complaints, Comments and Compliments Procedures: Dudley Social Services: February 2003.
This procedure has been produced by the Directorate of Children Services in light of the implementation of the Children Act 1989 Representations Procedure (England) Regulations 2006'.
2. Representation
This is the Representations procedure for the Directorate of Children Services. A Representation is a complaint comment or compliment about the availability, nature, or delivery of social care services to children and young people.
The Quality and Complaints Team has the responsibility for the day to day operation of the Representations Procedure on behalf of the Directorate of Children Services.
The following structure chart shows the current structure of the Quality & Complaints Team.
Click here to view Quality and Complaints Team- Structure Chart
The Directorate of Children Services is committed to increasing the voice for all children/young people in all that we do. We see a fair and accessible complaint process as integral to this. The emphasis is to respond quickly and effectively to issues arising aiming to continually improve the services provided by the Directorate and to give recognition to good performance.
4. Legal Status
The Regulations referred to in this guidance may be cited as the Children Act 1989 Representations Procedure (England) Regulations 2006 and came into force on 1st September 2006. The regulatory guidance is issued as Section 7 guidance
5. The Procedures are Intended to
- Be accessible, clear and easy to use
- Ensure a prompt and considered response to complaints, comments and compliments.
- Ensure, as far as is possible, even handedness in the handling of complaints and comments.
- Ensure that any concerns about the protection of children are referred immediately to the appropriate Service Manager and or to the Police
- Ensure a fair process and adequate support for everyone involved in the complaint
- Ensure that the complainant receives a full response without delay
- Support staff involved in complaints
- Secure sensible and effective links with other procedures
- Safeguard the child or young person's rights of access to other means of redress, such as the Local Government Ombudsman
- Ensure that local authorities monitor their performance in handling complaints, learn from complaints and use this learning to improve services for everyone who uses them. It is a positive aid to inform and influence service improvements, not a negative process to apportion blame.
6. The Procedures are not Intended to
- Be used where other more appropriate procedures are in place or should take precedence such as Child Protection Procedures, or the court.
- Be used to investigate issues of policy. Such matters may be commented on and passed to the Director of Children Services for consideration.
- Disregard the rights of staff.
7. Comments and Compliments - What to do
7.1 Responding to Comments from Children and Young People
Children/young people should be able, and encouraged to put forward comments to the Directorate, for example ideas or proposals about the service they receive, or the establishment they live in, without having this framed as a complaint.
Comments can be made at any point of access to Council's services. The Manager receiving the comment should ensure that the child/young person raising the issue is responded to, and informed of what action, if any the Directorate will take. Should the Directorate fail to respond to the child/ young person's satisfaction, S/he would be entitled to make a complaint at Stage 1 of this complaint procedure.
Comments received by the Quality and Complaints Team from children / young people will be recorded, acknowledged and then forwarded to the relevant Service Manager for a response.
7.2 Dealing with Compliments
The Directorate of Children Services provides a wide range of help and advice to a large number of children and families in the Borough of Dudley and receives many compliments. The Quality & Complaints Team is responsible for registering and reporting on all Social Care Compliments for the Directorate of Children Services.
Compliments are welcomed in the form of a:
- Letter/Card
- Leaflet
- Telephone call
- In person e.g. during a review meeting
Compliments submitted by or on behalf of a service user directly to a District Team, Children's Home, or other establishment should be passed to the Quality & Complaints Team, at which point they will be registered, acknowledged and reported to Senior Managers on a quarterly basis.
As a minimum the Quality & Complaints Team will need the following information in order to log the compliment.
- Name of service user
- Name of establishment or individual worker being praised
- Name of person giving the praise
- Details of the work/service being praised.
Any compliment directly received by the Quality & Complaints Team will lead to:-
- An acknowledgement to the person making the praise.
- A copy of the compliment will be sent to the relevant assistant director, senior manager, manager of the service and the member of staff receiving the praise.
7.3 Compliments not made by the Service User
Due to the nature of the work carried out by Children Services, compliments may be received from sources such as Reviewing Officers, Courts, Guardian Ad Litem's, Advocates, members of core groups, and others. As long as the compliments can clearly evidence where a positive difference has been made for the child/young person then they are valid and should be noted and passed to the Quality & Complaints Team.
8. Definition of a Complaint
A complaint is any written or oral expression of dissatisfaction or disquiet in relation to the Directorate's exercise of its Social Care functions.
A complaint can said to be:-
"Adverse comments about Children Social Care Services directly provided; or provided on behalf of the Directorate of Children Social Care Services. It is an expression of dissatisfaction, however made, about the standards of service, action or lack of action, decisions taken, or the way in which Children Social Care Services or its employees do their job."
A complaint may arise as a result of an unwelcome or disputed decision, concern about the quality or appropriateness of services, delay in decision-making, or about the delivery or non-delivery of services for children/young people and their carers. Service provision includes the administration, financial and personnel functions of the Directorate of Children Social Care Services.
8.1 The Three Stages of the Complaints Procedure
- Stage 1 - Local Resolution;
- Stage 2 - The Formal Complaint Investigation Stage;
- Stage 3 - The Review Panel Stage.
A complaint is made on the date on which it was first received, by the Directorate. Every effort must be made to respond to the complaint within 10 working days.
Once a complaint has entered Stage 1, the complainant has the right to proceed to Stage 2 and 3 of this procedure. Exceptions to this will be where the Complaints Manager determines that the complaint matters should be dealt with under other procedures or where 3.6.5 or 3.6.6 in these
procedures apply. The Complaints Manager will liaise with the complainant and relevant managers regarding the decision taken.
8.2 Timescales for Complaints
In working days, for the complaints procedure Stage 1 to Stage 3 are:-
- 10 days at Stage 1 (or with agreement a further 10 days is allowed for complex complaints or where time is needed to appoint an advocate);
- 25 days at Stage 2 (with a maximum extension to 65 days);
- 20 days for the complainant to request a Review Panel;
- 30 days to convene and hold the Review Panel at Stage 3;
- 5 days for the panel to issue its findings; and 15 days for the Director to respond to the complainant.
8.3 Time Limit for Making a Complaint
The Directorate need not consider complaints made more than one year after the date of the event which gave rise to the complaint or the date the complainant became aware of it. However, where the Complaints Manager believes that the complainant may not have been able to raise the complaint within the time allowed he will liaise with the Senior Manager for the service the complaint relates to. The Senior Manager has the discretion to determine whether it is still possible to consider the complaint effectively and efficiently or whether there are other options available to address the issues being raised.
8.4 Who may Complain
Any child or young person (or a parent of his or someone who has parental responsibility for him) who is being Looked After by the local authority or is not looked after by them but is a child in need as described in the Children Act 1989;
- Any foster carer (including those caring for children placed through independent fostering agencies);
- Children/young people leaving care;
- A child or young person (or parent of his) to whom a special guardian order is in force;
- Any person who has applied for an assessment under section 14F(3) or (4);
- Any child or young person whose care plan shows they may be adopted, their parents and guardians;
- Persons wishing to adopt a child;
- Any other person whom arrangements for the provision of adoption services extend;
- Adopted persons, their parents, natural parents and former guardians;
and - Such other person as the Local Authority consider has sufficient interest in the child or young person's welfare to warrant his representations being considered by them, e.g. foster carers, relatives, guardian ad litem's.
8.5 What may be Complained about
A complaint may arise as a result of many things such as:
- An unwelcome or disputed decision;
- Concern about the quality or appropriateness of a service;
- Delay in decision making or provision of services;
- Delivery or non-delivery of services;
- Quantity, frequency, change or cost of a service;
- Attitude or behaviour of staff;
- Application of eligibility and assessment criteria;
- The impact on a child or young person of the application of a local authority policy; and
- Assessment, care management and review.
In addition, the Regulations provide that the following new functions may be the subject of a complaint:
- Decision to initiate Care and Supervision Orders
- The effect of the Care Order and the Local Authority's actions and decisions where a Care Order is made
- Issues of parental contact with children in care
- How supervisors perform their duties where a supervision order is in force
- Matters that do not relate to the Court and which are specifically actions of the Local Authority can be considered, regarding applications for and duties in relation to Child Assessment Orders.
- Matters relating to applications for Emergency Protection Orders and decisions relating to the return of children who have been removed.
8.6 Adoption Services
The following are examples of adoption related functions which can be the subject of a complaint:
- Provision of adoption support services, assessments and related decisions for adoption support services.
- Placing children for adoption, including parental responsibility and contact issues.
- Removal of children who are or may be placed by adoption agencies
- Removal of children in non-agency cases.
- Duties on receipt of a notice of intention to adopt.
- A proposed placement of a child with prospective adopter(s).
- placement and reviews and records, contact and parental responsibility prior to adoption abroad.
8.7 Special Guardianship Support Services
Special Guardianship Regulations 2005 came into force on 30 December 2005, under those Regulations the following functions may be the subject of a comment or complaint:
- Financial support for Special Guardians;
- Support groups for children and young people to enable them to discuss matters relating to Special Guardianship;
- Assistance in relation to contact;
- Therapeutic services for children and young people; and
- Assistance to ensure the continuation of the relationship between the child or young person and their Special Guardian or prospective Special Guardian.
8.8 Complaints will not be Considered where
- The person wishing to complain does not meet the requirements of who may complain and is not acting on behalf of such an individual;
- The complaint is not in regard of the actions or decisions of the Local Authority complained to, or of any body acting on its behalf; or
- The complaint has already been dealt with at all Stages of this procedure.
IN ADDITION the Directorate of Children Service will not consider, or further consider complaints in relation to which -
- The complainant has made representation to the Local Authority that S/he is taking, or intends to take, proceedings in any court or tribunal;
- The Local Authority are taking disciplinary proceedings against any person;
- The Local Authority have been notified that another person or agency is conducting an investigation in contemplation of criminal proceedings; or
- The Local Authority have been notified that criminal proceedings are pending,
- The Local Authority decides that consideration, or further consideration, of the complaint would prejudice the conduct of any proceedings or investigation.
Where it is decided not to consider, or further consider a specific complaint then the Complaints Manager shall as soon as possible give notice in writing to the complainant explaining the reasons for the decision.
8.9 Discretion available to the Directorate in Dealing with a Complaint
Local Authorities have discretion and should be careful not to do anything that may compromise or prejudice a complaint which is subject to investigations or proceedings elsewhere'. For example the complaint matters may already be involved in or about to be involved in the following:-
- Court proceedings;
- Tribunals;
- Criminal proceedings.
If the Directorate decides not to consider or further consider complaints subject to these concurrent investigations, the Complaints Manager must write to the complainant explaining the reason for the decision. The complainant may resubmit their complaint to the Directorate as long as it is within one year of the conclusion of the concurrent investigation.
8.10 Discretion: Complaints made on behalf of a Child or Young Person
The Children Act 1989 gives local authorities discretion to decide in cases where eligibility is not automatic whether or not an individual has 'sufficient interest' in the child's welfare to justify the consideration of a complaint. In reaching a decision, the Directorate must take into account the views of the child if they consider it appropriate to do so. If the Complaints Manager in consultation with senior management concludes that the person does have sufficient interest then the complaint will be accepted, normally at Stage 1 of the complaints procedure.
Where it is determined that the person does not have sufficient interest then the Complaints Manager must notify them of the decision and tell them that no further action will be taken in respect of the complaints. The Complaints Manager must make arrangements to tell the child concerned of the decision wherever it is considered reasonable and appropriate to do so.
9. Relationship with other Procedures
There are other procedures which take precedence over this procedure, for example:
- Child protection
- Grievance procedures
- Disciplinary procedures
- Where a Court is involved or about to be involved in the matters raised
10. Child Protection
The safety and protection of children must take precedence over this complaint procedure. In accordance with existing Child Protection Procedures any concerns about the protection of children must be referred immediately to the relevant Team Manager and or to the Police. The handling of any associated complaint can be suspended if need be.
Complaints about the child protection actions/activities of individual agencies, their performance and the provision or non-provision of services should be handled in line with the particular agency's complaints process.
11. Grievance Procedure
Complaints procedures should be kept clearly separate from 'grievance procedures' which concern staff issues, i.e. conditions of service, management and support.
12. Disciplinary Procedure
Disciplinary procedures apply to the actions of staff in relation to failures to comply with codes of conduct, job descriptions, practice instructions or other relevant professional or administrative guidance.
It is not the aim of the complaints procedure to blame individual members of staff but to answer complaints from the perspective of the Directorate of Children Services duties and responsibilities as a whole. It may be that, even where there is poor practice, this reflects insufficient training, supervision or lack of appropriate guidance on the part of the Directorate. It is also recognised that there will be occasions on which a complainant will name a specific member of staff in a complaint. Very often, this will be because that member of staff is the only person in touch with the complainant and the decision or action being complained about is really aimed at the organisation in general. However, there may be instances where the matters being raised need to be dealt with under the disciplinary process, rather than the complaint procedure.
Where concerns of a disciplinary nature emerge at Stage 1 or Stage 2 of any complaint enquiries, the Complaints Manager must immediately be made aware of this, at which point the complaint investigation will be suspended until the Complaints Manager can discuss the potential disciplinary issues with the relevant Senior Managers and Human Resources Manager.
The Complaints Manager in discussion with Senior Managers and Human Resources Manager have the discretion to either not commence or re-commence the complaints investigation where to do so would compromise the disciplinary procedure.
If there are still substantive issues around the deficiency in service to be resolved, then the complaints process can continue to address those specific issues unless to do so would compromise or prejudice the enquiries/investigation into the disciplinary matters.
If a complaint is suspended due to the need to follow the disciplinary procedure, then the Complaints Manager should, where possible, ensure the complainant still receives a response to their complaint.
The complainant would have the right to go to a Review Panel if dissatisfied with the outcome of the complaint. However, such a review could not re-open matters decided under the Employee Development and Disciplinary Procedure.
13. Court Orders
The procedure outlined in this guidance is not an appeals procedure.
People wishing to appeal against a Court order should approach the Court. However, dissatisfaction about a Local Authority's management or handling of a child/young person's case, even where related to a Court Order, may be appropriately considered by the complaints procedure. It is for the Complaints Manager in consultation with Senior Managers to identify whether these circumstances might be considered under this procedure.
14. Responding to:
- Anonymous Complaints
- Complaints about a Policy
- Corporate Complaints
15. Anonymous Complaints
Should always be recorded and referred to the Quality & Complaints Team in the same way as other complaints. However, anonymous complaints fall outside of the scope of the statutory procedure and it is therefore for Senior Managers to decide what action to take on a case by case basis. The fact that the complaint is from an anonymous source is not enough in itself to justify a decision not to pursue the matter. Nor should it rule out referral to other procedures as relevant.
16. Confidential Complaints
A common theme arising out of major investigations into complex child abuse cases concludes that children must have safe and easy access to a robust complaint process and in doing so must be allowed to make 'confidential' complaints. This procedure therefore allows for children to have the right to meet in confidence with the Complaints Manager or Complaints Officer (together with their advocate if requested) prior to a complaint being registered. The child/young person will be advised that the matters raised will if requested remain confidential except in circumstances where there could be risks to the child/young person or others by not disclosing the details.
17. Complaints about a Policy of the Directorate of Children Services
Such complaints must be registered at Stage 1 of the complaint procedure by the Quality & Complaints Team, and referred to the Manager or Senior Manager of the service concerned for a response. If the complainant remains dissatisfied then the complaint will not enter Stage 2 but will instead be passed to the Director of Children Services who will consider the matter and decide what action, if any, can or should be taken. If the complainant remains dissatisfied with the outcome he/she has the right to forward the matter to the Chief Executives office for final consideration.
18. Corporate Complaints Procedure
Councils are required to have in place a process to deal with complaints about local services provided by the Council or provided on behalf of the Council. Such complaints are 'Corporate complaints' they do not therefore fall under this procedure, they are currently managed by the service areas subject of the complaint.
19. Withdrawing a Complaint
The complaint may be withdrawn orally, or in writing at any time by the child/young person or by an advocate, carer or relative on their behalf. However, the Complaints Manager or Complaints Officer must meet with, or write to, the complainant, and advocate, to confirm the withdrawal of the complaint. In these circumstances it would also be good practice for the Directorate to decide whether or not it wishes to continue considering the issues that gave rise to the complaint through an internal management review.
20. Deferring (Freezing) Decisions
If the complaint is about a proposed change to a care plan, a placement or a service, the decision may need to be deferred (frozen) until the complaint is considered. The decision to defer will normally be made through detailed discussion and risk assessment between the Divisional Manager, the Manager responsible for the service and the Complaints Manager, within the context of the work being undertaken with the child or young person. Decisions need to be made on a case-by-case basis, but there should generally be a presumption in favour of freezing, unless there is a good reason against it. For example, if leaving a child or young person where they are places them at risk. Where agreement cannot be found as to whether to defer or not then the final decision belongs to the Director of Children's Services.
21. Special Needs
The manager of the service being complained of, or the Quality & Complaints Team should where possible determine whether the complainant has any special needs, which should be taken account of during the response to the complaint.
22. Complaints Manager Role
Local Authorities are required to appoint an officer known as the Complaints Manager. The Complaints Manager and the complaints function should be independent of operational line management and of direct service providers
23. Advocate Role
It is a requirement that advocacy will be 'offered' to a child or young person at the time of making a complaint. Advocacy provided must remain in place for the child/young person throughout the time the complaint is being dealt with. Advocacy support should be independent and confidential. The Directorate of Children Services has a contract with an independent advocacy agency to provide advocacy to any looked after child or child in need wishing to pursue a complaint.
24. Independent Reviewing Officer Role
Regulations and guidance on Independent Reviewing Officers (IROs) came into force in September 2004. There should be close working relationship between the IRO, Complaints Manager and the advocate. The process for complaints resolution must run alongside the IRO's actions in resolving an issue and it will be expected that the IRO, Complaints Manager and advocate will agree channels of communication about their respective roles in trying to resolve a complaint.
25. Adjudicating Officer Role
The Regulations require that the Directorate of Children Services identify an Adjudicating Officer for a complaint once it reaches Stage 2 of the complaint process. The Adjudicating Officer is normally an Assistant Director or delegated Senior Manager within the Directorate.
26. Ombudsman Role
The Office of the Local Government Ombudsman exists to receive and investigate complaints about mal-administration by local Councils. The Local Government Ombudsman operates separately from Local Authority complaints Procedures and any citizen can complain directly to them. However, it is usual for the Ombudsman to refer complainants back to the local Council's procedure where the complainant has not raised his concern with the Council or provided an opportunity for the Council to respond and resolve matters locally.
The Local Government Ombudsman can be contacted at:
Local Government Ombudsman
The Oaks No 2 Westwood Way
Westwood Business Park
Coventry CV4 8JB
27. Receiving a Complaint
Effective and prompt handling of complaints is an important aspect of the Directorate for Children Services success in resolving complaints speedily, effectively and to the appropriate satisfaction of the complainant and the service.
It should be remembered that the statutory timescale for responding to the complaint begins on the day the complaint is received by the authority.
Complaints can be made at any point of access to Council's services or directly to the service or individual involved or to the Quality & Complaints Team.
Complaints can be received via:
- Letter
- Phone
- Fax
- In person
- By using a free post 'complaint leaflet'
- Text messages to the Quality and Complaints Team
All complaints, must be sent to and registered by the Quality & Complaints Team.
Any member of staff receiving a complaint should that day or latest the next working day:-
- Note the details on the Stage 1 Monitoring form. This form is available to be completed electronically, or in hard copy.
- Inform their line manager of the details of the complaint on the same day, or latest next working day, in line with best practice.
Managers who receive a complaint directly from a child/young person or someone acting on their behalf, should begin to deal with the complaint matters whilst ensuring they also complete the Stage 1 Monitoring form and notify the Quality & Complaints Team of the complaint.
All complaints including those received verbally, must receive a written response, unless this is against the wishes of the child/young person or where a letter is unsuitable, or insufficient to meet the specific needs of the child/young person, for example where there are communication difficulties for the child/young person.
28. Complaints Received by Senior Managers
Within two days of receipt of the complaint the Senior Manager should forward the full details of the complaint to the Quality & Complaints Team who will register it, acknowledge it, forward it to the appropriate Service Manager and monitor its progress until it is concluded.
The Quality & Complaints Team will update the Senior Manager on the progress and outcome of the complaint.
29. Complaints Received by the Quality and Complaints Team
The Quality & Complaints Team will on the day the complaint is received or latest next working day register the complaint. This would in most instances be at Stage 1.
The Quality & Complaints Team will on the day the complaint is received or latest next working day contact the Service/Team Manager or Senior Manager to advise them of the complaint; before forwarding the complaint information to the Service/Team manager for a response.
The Quality and Complaints Team will place a basic confidential record of the complaint details onto SWIFT.
The Quality & Complaints Team will on the day the complaint is received, or, latest the next working day, send a letter of acknowledgement to the complainant and provide brief details of how the complaint will be looked into.
30. The Three Stages of the Complaints Procedure in Detail
30.1 Stage 1: Local Resolution - Problem Solving
Stage 1 is the starting point for most complaints and overwhelmingly the Stage at which the majority of all complaints are resolved, usually by dealing with them promptly, politely and positively. The complaint must be made known to the Quality & Complaints Team who are responsible for registering it and monitoring the progress of a response.
There is a 10 working days time limit for the Stage 1 complaint to be responded to and concluded. However, where there is a need to appoint an advocate or where it is not possible to provide a complete response a further 10 days' extension is allowed with the agreement of the complainant. The maximum amount of time that Stage 1 should take is 20 working days. After this deadline the complainant can request consideration at Stage 2 of the complaint process.
If the Manager considers that a resolution can be achieved to the complaint, then S/he should ensure that this is pursued with the complainant. Experience of complaint handling suggests that the most effective way of resolving a complaint is by direct contact by the relevant service manager with the complainant within ten days of the complaint being made.
The Manager of the service subject of the complaint can delegate the task of responding to it, to a senior member of their team, e.g. Assistant Team Manager, or Senior Practitioner. However, that person must have attended the internal Stage 1 complaint handling training course. They must also be adequately supervised and supported in this task by their line manager.
Members of staff should be informed by their line manager about the complaint, or that part of the complaint relating to them, together with access to the Stage 1 response letter, or that part of the letter relating to them.
At any Stage in the process, the complainant may agree to deal with their complaint through a process of mediation. The Quality & Complaints Team can assist in this process. A decision to try mediation must be agreed by all relevant parties. It will have the effect of "stopping the clock" in terms of statutory time-scales. If mediation does not result in a resolution of the complaint then the complainant retains the right to return to the complaints procedure.
The Manager or delegated person responding to the complaint at Stage 1 must ensure that complainant receives a written response. (Unless the complainant requests otherwise or there are clear significant communication problems for the complainant) It is suggested that the following paragraph should be included in all Stage 1 response letters sent to complaints:-
"I very much hope that this response has satisfactorily dealt with your complaint. However, if you remain unhappy with how the complaint has been looked into you have the right to request that it is investigated at Stage 2 of the complaint procedure. Should you wish to discuss this then please contact the Quality & Complaints team within 20 days of receiving this letter".
30.2 Stage 2: Formal
Where the complaint has not been resolved at Stage 1 and the service user, or a person who is accepted as acting on their behalf, has decided that he wants an investigation, the Directorate must provide a Stage 2 - formal complaint investigation unless the Complaints Manager determines that the matters raised should be dealt with under other procedures or where 3.6.5 or 3.6.6 in these procedures apply.
The request by the complainant to move their complaint to Stage 2 -can be made in writing or orally. See Section 30.3, Investigation
The Quality & Complaints Team will within two days of receiving this request
- Notify the Divisional Manager and relevant managers.
- Acknowledge receipt of this request to the complainant.
At this point, the Regulations require that an Adjudicating Officer is identified. The Adjudicating Officer is normally the Assistant Director of the service subject of the complaint. The Adjudicating Officer in discussion with the Complaints Manager will wish to consider whether a complaint investigation appears the appropriate route to take, or whether matters could be approached by use of mediation, or whether it needs to be directed to a different process. The Adjudicating Officer may wish to invite the complainant to meet with them or with a delegated Divisional Manager in order to seek a resolution.
30.3 Investigation
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.
The Stage 2 complaint investigation should be completed within 25 working days from the date the request was received. However, should the complainant amend the number or the details of their complaints 'after' their meeting with the Investigating Officer then the Stage 2 timescale will start from the date that the complaint details are finalised.
Where it is not possible to complete the investigation in the 25 working day period, it must be done no later than 65 working days from the date on which the written complaint was agreed.
31. Appointment of Investigating Officer (for a Stage 2 Complaint)
The Complaints Manager must appoint an Investigating Officer within 5 working days of registering the complaint at Stage 2.
A Senior Manager or a Service / Team Manager, or Complaints Officer from the Quality & Complaints Team may be appointed as the Investigating Officer to the Stage 2 complaint as long as the following conditions are met:-
- S(he) must not have line management responsibility for the members of staff referred to in the complaint
- S(he) must not have any direct management responsibility for the resources or services referred to in the complaint
- The person appointed should, preferably, have completed the Stage 2 complaint investigation training as provided by the Quality & Complaints Team.
Where it is not possible or practicable to appoint an internal Manager as the Investigating Officer:- then the Complaints Manager in discussion with the Adjudicating Officer will appoint an 'External' Investigating Officer. The following conditions must apply:-
- The Investigating Officer must not have had any previous involvement in, or responsibility for the service provided to the service user.
- The Investigating Officer must have completed a satisfactory CRB check within the previous two years.
- The Investigating Officer must have completed satisfactory reference checks within the previous two years.
- The Investigating Officer must have completed a satisfactory interview with the Complaints Manager in order to be placed on the 'list' of available external Investigating Officers.
32. Role of Investigating Officer
- Lead and carry out a sensitive and thorough investigation of the complaint.
- Carry out appropriate interviews with the complainant and members of staff and other people relevant to the complaint.
- Provide an open, transparent and fair consideration of the complaint.
- Analyse information including careful consideration of relevant case files.
- Work to tight timescales. Prioritising work appropriately.
- Write a clear complaint investigation report in plain language, with findings, conclusions and recommendations.
33. Appointment of an Independent Person
In addition to the Investigating Officer all Stage 2 children/young people complaints require the appointment of an Independent Person. Even where an external Investigating Officer is appointed. The person appointed should neither be an elected member nor an employee of the Local Authority, nor a spouse of an employee or member of the authority. Former members of Local Authority staff should be considered eligible as long as at least three years have elapsed since they were employed by the Local Authority and as long as they have no previous involvement with the service user or complainant. They must have satisfactorily completed a CRB check within a period of two years prior to appointment and supplied two referees and those references have been satisfactorily checked.
The Independent Person cannot meet any other roles for the same particular complaint (such as Advocate, or Review Panellist).
The Independent Person must be involved in all aspects of consideration of the complaint. The key tasks of the Independent Person are to:-
- Work alongside the Investigating Officer to provide an independent and objective view to the investigation of the complaints.
- Ensure that the process of investigation is open, transparent and fair.
- See the same relevant files and documents as the Investigating Officer.
- Participate in all interviews and discussions relevant to the investigation.
- Read the Investigating Officer's report and produce their own brief report on the Investigation. Comment whether the investigation was carried out fairly, objectively, and thoroughly and whether they agree with the findings and conclusions reached by the Investigating Officer.
The Independent Persons is not required or asked to reach their own findings on the complaints, however they are encouraged to put forward their own conclusions and recommendations.
34. Planning the Complaint Investigation
It will be necessary for the Investigating Officer, the Independent Person and the Complaints Manager to meet to plan how the investigation is to be carried out. This meeting will need to confirm that:-
- The Investigating Officer and Independent Person has received written confirmation of their appointment.
- They have received a letter of 'introduction' to present to managers and staff when carrying out interviews or seeking access to case records.
- Received the name and contact details of the complainant and Service User (if different)
- Confirm they have a copy of the complaint in writing from the complainant.
- Names/contact details of relevant Managers
- Confirm that the Investigating Officer is familiar with the complaint procedure and is aware of the expectations of their role.
- Establish whether an advocate has been, or is to be appointed.
- Establish whether there are any communication, equality issues or special needs to consider.
- Consider any issues of personal safety
- Discuss how best to keep the complainant and staff informed of progress during the investigation.
35. Planning Interviews
In the majority of complaint investigations the Investigating Officer and Independent Person will need to begin first by meeting the complainant.
Following the interview with the complainant the Investigating Officer and Independent Person will need to determine which managers/members of staff they will need to meet as part of the complaint investigation. The Investigating Officer should arrange all interviews with the line managers of the staff concerned.
The Investigating Officer and Independent Person should be afforded access to all relevant case records but must comply with the requirements of the Data Protection Act. Case files should not be removed from the office they are held in, however the Investigating Officer can study the relevant records and then request copies of specific records to be sent to them via the Quality & Complaints Team.
The Investigating Officer and Independent Person are not expected to study all relevant case records prior to meeting with the complainant, however they should be familiar with the main aspects of the case and the relevant sequence of events leading up to the complaints.
During the course of the investigation the Investigating Officer is entitled via the Quality & Complaints Team to approach other bodies such as the Health Service, Police, Education, to request information or documents to facilitate consideration of the complaints, and again consideration must be given to matters of disclosure and confidentiality.
36. Interviewing Complainant
The interview is an informal meeting, usually at a date, time and venue convenient to all parties. A time limit should not be set for how long the interview should last, however good practice suggests that one meeting should be sufficient to gather all relevant details relating to the complaint and the outcome being sought.
At the beginning of the interview the Investigating Officer should advise the complainant that written notes will be taken of the meeting, capturing the main issues and concerns raised. The complainant should be told that they will receive a typed copy of the notes within 5 working days.
The Investigating Officer and Independent Person should:-
- Explain fully their role and the timescales involved in carrying out the Stage 2 complaint investigation.
- Identify with the complainant whether they require any necessary guidance, help or advocacy in pursuing the complaint.
The Investigating Officer should clarify what is hearsay information from fact and establish the relevant sequence of events and ascertain the service areas most directly involved.
The Investigating Officer should consider whether any part of the complaint can be resolved without further investigation, for example through use of mediation.
If new complaints are raised during the interview, the Investigating Officer will agree to raising them with the Complaints Manager but should advise the complainant that those matters might need to be addressed at Stage 1 where it is felt that the service area concerned have not had an opportunity to address them. Where it is subsequently agreed by the Service Manager and Complaints Manager that there is no likely resolution to the 'new' complaints then those matters may be included as part of the Stage 2 investigation.
The Investigating Officer should clarify with the complainant what is expected in terms of solution or outcome. If it is clear that the desired outcome cannot be met through the complaints process the Investigating Officer should immediately alert the complainant to this and subsequently discuss this with the Complaints Manager. The Complaints Manager will then need to advise the complainant whether the outcome they are seeking is attainable through the complaint process, or whether they need to pursue the matters through an alternative route.
At the end of the interview the Investigating Officer will:
- Summarise the main points and ask if the complainant has anything to add.
- Agree the precise number and wording of the complaints to be investigated.
WITHIN 5 DAYS OF THE INTERVIEW: The Investigating Officer should send two copies of the typed notes of the meeting to the complainant with a covering letter asking them to sign and return one copy to the Investigating Officer, confirming that the wording and number of complaints as stated by the Investigating Officer in the notes are correct. A copy of all interview notes must also be provided by the Investigating Officer to the Independent Person.
The Investigating Officer, after making any amendments needed, must send a copy of the amended notes to the complainant and ask them to acknowledge that they are in agreement with them. If the complainant fails to acknowledge receipt of the notes or amend the notes the Investigating Officer is entitled to understand that the complainant is in agreement with the notes provided.
Where there are conflicts i.e. the Investigating Officer is reluctant to amend a specific part of the notes, then the Complaints Manager will need to be advised of this and determine how matters should proceed, this could include the right to request a further interview with the complainant
DELAY: If at this point the Investigating Officer believes that the investigation into the complaint is unlikely to be concluded within the 25 day timescale allowed for completion, he must advise the complainant of this and seek their agreement to extend the timescale. The Investigating Officer must:-
- Inform the Complaints Manager of this, outlining the reason for delay
- Record that they have advised the complainant of the likely delay and reasons for this.
- Record that the complainant has accepted the delay.
- If delay is not accepted the Complaints Manager will need to determine whether a full investigation can reasonably be carried out within the time left - or whether a 'reduced' investigation can proceed.
The Investigating Officer must ensure that the complainant, together with the Quality and Complaints Team and members of staff who are interviewed during the complaint investigation are kept informed of the progress of the Investigation, including the reason for any delay, and advised as to when a response can be expected.
37. Interviews with Members of Staff
The Investigating Officer and Independent Person should study the case file(s) and any relevant policies and procedures relating to the complaint matters.
All appointments to meet members of staff to discuss a complaint should be made through the relevant line managers. The Investigating Officer should arrange the order of interviews in a logical sequence as relevant to the particular complaint and seek a mutually convenient date/time and venue to conduct the interviews.
Interviews with members of staff will take place informally. This can be with their manager or a colleague present or indeed without any 'support' person being present. However, all staff must be advised that should they wish to, they can have a trade's union representative, or other person present provided that issues of confidentiality and the requirements of the Data Protection Act are complied with.
The Investigating Officer should notify the Complaints Manager where any member of staff refuses to meet with them or where the member of staff is unavailable for a prolonged period of time.
The member of staff should be advised by the Investigating Officer of the nature of the complaint. The member of staff should also have access through their manager to the details of the complaint or the part of a complaint which involves them.
The Interview with Members of Staff
At the beginning of the interview, the Investigating Officer should advise the member of staff that notes will be taken of the meeting which should capture the main issues discussed. The member of staff should be told that they will receive a typed copy of the notes within 5 working days.
The Investigating Officer should confirm to all members of staff that they will not be identified by name in Stage 2 complaint investigation reports.
The Investigating Officer should explain the complaint issues clearly and have in place a structured list of questions for each interviewee.
The Investigating Officer should try to:-
- use open not leading questions;
- do not express opinions in words or attitude;
- ask single not multiple questions, i.e. one question at a time
- resolve apparent contradictions
- bring out factors which may have impacted on the case, e.g. particular pressures on staff at the time.
Within 5 working days the Investigating Officer should write to each member of staff to thank them for their help and provide them with two copies of the notes of the interview. They should be asked to confirm that the notes are an accurate reflection of the interview or to make any amendments to them, returning a copy to the Investigating Officer within 5 working days for those amendments to be made. If the member of staff does not return the notes for amendments then the existing version will be taken as accurate. There may however be occasions where the member of staff is unable to return the notes within the requested timescale due to reasons such as illness, or annual leave - therefore the Investigating Officer should enquire whether the notes are delayed for good reason and whether to allow the member of staff more time to return them whilst being mindful of not causing undue delay to the process.
Where there are conflicts i.e. the Investigating Officer is reluctant to amend a specific part of the notes, then the Complaints Manager will need to be advised of this and determine how matters should proceed, this could include the right to re-interview the person concerned.
INTERVIEWING STAFF FROM OTHER AGENCIES:- Such arrangements need to be made through the Quality & Complaints Team.
INTERVIEWING FORMER MEMBERS OF STAFF:- The Investigating Officer should make all reasonable attempts to interview previous employees where it is felt this could assist the complaint investigation. The Investigating Officer should pass the details to the Quality & Complaints Team to make any necessary approaches to the person's current employer and make any necessary arrangements.
38. Complaint Reports
A draft report by the Investigating Officer, midway through the complaint investigation could be required where the complaint matters are deemed to be highly complex or technical. The decision as to whether a draft report needs to be provided will be made by the Adjudicating Officer, this decision will be made on a case by case basis following the formal interview of the complainant by the Investigating Officer.
If a draft report is provided it must be based on statements of fact, it must not contain conclusions, findings or recommendations. The Investigating Officer should send it in the first instance to the Complaints Manager. This report should include:
- A Chronology
- The complaints set out in a numbered list
- The outcome being sought
- Provide an anonymised list of interviewees
- Record of relevant policy, practice and legislation
- Any other relevant factual information.
The Quality & Complaints Team will arrange for the report, or relevant sections of it, to the Independent Person and all those interviewed including the complainant unless there are particular reasons not to do so. Where the investigator decides not to include the complainant in the circulation, the reasons for this decision must be clearly stated in the final complaint report.
Final Report by the investigating Officer
A final complaint investigation report must be compiled by the Investigating Officer for all Stage 2 complaints.
A standard format is to be used when writing Stage 2 complaint investigation reports (Appendix 3: Structure of Stage 2 Investigation Report) Names of people involved and or interviewed as part of this complaint must be anonymised.
The Investigating Officer must forward a final draft of their report to the Independent Person and at the same time to the Complaints Manager. The Complaints Manager will study the report in order to confirm it is of sufficient quality, depth and standard; that it is written in a style likely to be understood by the reader, that it covers each complaint, and contains findings, and conclusions. The report cannot be changed by anyone other than the Investigating Officer, however the Complaints Manager is entitled to put forward comments to the Investigating Officer for further consideration where the report is unclear or appears to lack sufficient detail or clarity.
The Independent Persons report
The Independent Persons report should be sent to the Quality & Complaints Team and appended to the report of the investigating officer. It is not for the Independent Person to determine the findings of a complaint i.e. Upheld/ Not upheld, etc. However, the Independent Person should put forward comments as to:-
- Whether the investigation was carried out fairly, thoroughly and objectively.
- Whether they agree with the conclusions and recommendations reached.
- Whether they feel there is anything else which could be done to resolve the complaint.
- Whether there are separate organisational matters they wish to raise with the authority
Organisational Issues report
At the conclusion of the investigation the Investigating Officer may have some specific comments regarding wider issues arising out of the complaint investigation for the organisation to consider. It would not be relevant to put those separate issues in the complaint report, but neither should they be lost as a possible learning opportunity for the organisation. Therefore the Investigating Officer and Independent Person are invited to present a separate report detailing any 'organisational issues' for the Adjudicating Officer to be made aware of. They will not form part of any papers circulated at Stage 2 or Stage 3 of the process.
Once the Complaints Manager has received the final complaint investigation reports from the Investigating Officer and Independent Person he will forward them to the Adjudicating Officer.
39. Adjudication
The Investigating Officers report will contain conclusions, findings and recommendations as a result of the investigation, however the Adjudicating Officer retains responsibility for deciding whether to accept them at all, in part, or wholly, and what actions if any needs to be taken. The Report of the Investigating Officer will not be deemed as accepted by the Authority until it is signed off and responded to by the Adjudicating Officer.
40. Adjudication Response Letter
The adjudicating Officer will within ten days of receiving the Stage 2 complaint reports put together a Stage 2 adjudication letter on behalf of the Directorate. The Complaints Manager is entitled to assist the Adjudicating Officer in the drafting of the adjudication. This will be sent to the complainant together with the Investigating Officers report and Independent Person's report. The adjudication letter is not an investigation or re-investigation, instead the response is based on the complaint reports, together with any other correspondence or relevant complaint records held.
The Stage 2 Adjudication letter will need to:-
- Confirm whether the Directorate accepts and agrees with the conclusions, findings and recommendations put forward on each complaint in the investigation reports.
- State whether it is felt the investigation has been thorough, objective, fair.
- Comment on the complainant's desired outcomes, any actions that the Adjudicating Officer will be taking and the timescale for implementation;
- Put forward an apology where one is due on behalf of the Directorate.
- Comment on issues raised in the Independent Person's report
- Confirm the complainant's right to request Stage 3 by contacting the Complaints Manager within 20 working days of receiving this response.
41. Adjudication Meeting
The Adjudicating Officer should consider if it is necessary to meet the complainant at this point to explain the outcome of the complaint and any actions that they propose. The Adjudicating Officer may wish to have other people present at this meeting, such as the Complaints Manager or the Investigating Officer.
The Adjudicating Officer in consultation with the Quality and Complaints Team will also need to consider how widely and in what form, the final report should be circulated. In particular whether the full report, or a summary is made available. The Adjudication Officer will also confirm that they agree to the release of the report(s) to members of staff as appropriate via their line manager(s).
The Quality & Complaints Team will distribute the Adjudication letter together with the agreed complaint investigation reports or summary reports to the following:-
- The complainant and where appropriate their advocate.
- Relevant Heads of Service and Team Managers with a request that Managers ensure that all relevant members of their staff have full access to the reports and the adjudication letter.
- The Investigating Officer and Independent Person.
A copy of the complaint report must be placed on the service users file in a separate module in a file marked confidential. Unless; there are specific reasons not to do so, for example, if the reports would cause distress by being placed in the file.
The Quality & Complaints Team will monitor implementation of the recommendations and actions proposed by the Adjudicating Officer.
42. Early Referral to Ombudsman
Where Stage 2 of the complaints procedure has been concluded and the complainant is still dissatisfied it will normally follow that matters will progress to the final Stage of the complaint procedure which is a Complaint Review Panel. However, where it is felt that further consideration by the Review Panel would not produce a demonstrably different outcome, the Complaints Manager should first discuss with the Adjudicating Officer the possibility of referring the complaint to the Local Government Ombudsman. Subject to the opinion of the Adjudicating Officer the Complaints Manager may then discuss this option with the complainant.
Before the Directorate can consider this option:-
- The Stage 2 must be concluded and the complainant has received the complaint investigation report(s)
- A complete adjudication has been provided
- An outcome where all complaints have been upheld and,
- the Directorate is providing a clear action plan for delivery;
- the Directorate agrees to meet the majority or all of the desired outcomes presented by the complainant regarding social care functions.
Where this is the case, and the complainant agrees, the Complaints Manager can then approach the Local Government Ombudsman and ask the Ombudsman to consider the complaint directly, without first going through a Review Panel. The Complaints Manager and the complainant will need to agree a written statement of the complaint for release, by the Directorate to the Ombudsman.
43. Stage 3 - The Review
Where Stage 2 of the complaints procedure has been concluded and the complainant is still dissatisfied, S/he will be eligible to request further consideration of the complaint by a Review Panel. The complainant should notify the Quality & Complaints Team within twenty days of receiving the Stage 2 Adjudication letter stating their wish to progress to Stage 3 of these procedures. If the complainant requests a Review Panel after the timescale given to him has elapsed it will be at the discretion of the Adjudicating Officer in discussion with the Complaints Manager whether to agree to proceed to the Review Panel Stage.
The Complaints Manager has overall responsibility for organising the Review Panel process.
44. Timescales
In working days the timescale is
- 20 days for the complainant to request a Review Panel following receipt of the Adjudication letter;
- 30 days to convene and hold the Review Panel at Stage 3;
- 5 days for the panel to issue its findings; and
- 15 days for the Director of Children Services to respond in writing to the Review Panel's findings.
Within 2 days following receipt of the request, the Quality and Complaints Team are required to write to the complainant acknowledging the request and indicating that a Review Panel will be convened. Information about the Review Panel should be provided to the complainant concerning its role and remit.
45. Review Panels - Purpose, Role, Membership and Process
Review Panel Membership
The panel must consist of three Independent People. One of them will chair the meeting. The Complaints Manager should appoint the Chairperson first - ideally within ten working days of the complainant's request to proceed to Stage 3.
The Quality & Complaints Team will provide Panellists with a letter of appointment explaining the Review Panel process, their role and describing the expenses and other fees, if appropriate, to which they may be entitled.
Wherever practical the Quality and Complaints Team will consult with the complainant and others regarding the setting of a date and place for the Review Panel to meet. The Quality and Complaints Team must ensure that the panel meets within 30 days of receipt of the complainant's request for a review unless the complainant agrees to a delay or requests a delay.
The complainant should be notified of the panel date and location in writing at least 10 working days before the Review Panel meets and be invited to attend. His/Her representative (not a lawyer acting in a professional capacity) can attend as a support person, however the complainant should not be accompanied by more than two supporters.
The Complaints Manager in consultation with the Chairperson will identify those other people who need to be present at the Review Panel. Should any of these persons' unavailability cause an inordinate delay in holding the panel; the Chairperson should take a view on proceeding without them.
Complainants should be informed of the names and status of panel members and the names and status of Officers of the Directorate of Children Services who will be present. In the case of any objection, the Chairperson's decision on who may or may not attend or whether a person should remain throughout is final.
In the interests of disclosing and sharing essential information, the complainant and other people attending will be invited to make written submissions to the Review Panel via the Quality and Complaints Team. This must be provided at least ten days prior to the meeting date. If any other written material is submitted for consideration by the panel outside of these timescales, it will be at the Chairperson's discretion whether it is accepted.
The Review Panel meeting is part of a formal process, however it should be conducted in an informal atmosphere. It should be assumed, unless otherwise stated, that all those invited to the meeting, including the complainant, will be present together until such time as the Chairperson closes the meeting.
The Directorate can proceed with the panel in the complainant's absence at the complainant's request, or, should the complainant fail to attend a scheduled panel on more than one occasion, the panel should proceed without them.
Clerk to the Panel
This role should be filled by a separate officer to that of the Complaints Manager. The Clerk will:-
- Work closely with the Complaints Manager and Chairperson as required organise the venue, facilities and refreshments.
- Organise the distribution of written submissions from the complainant and the Directorate; ensuring all parties have the same written material prior to panel.
- Specify with the complainant whether he will be bringing any representatives with them to panel.
- Take notes to facilitate the panels decisions.
- Provide administrative support to the Chairperson and panel to produce the final recommendations and within five working days issue these to the Director and the complainant.
Directorate Representative at the Panel Meeting
This role will ordinarily be met by the same Senior Manager who acted as Adjudicating Officer. The Adjudicating Officer must attend where they have rejected any of the Investigating Officer's finding at Stage 2 or where the Chairperson of the panel requires their attendance.
Purpose of Review Panel
The Review Panel role is not to re-investigate the complaints, nor should it consider any new complaints that have not been first considered at Stage 2. Ultimately, panel will need to comment on the findings of each of the complaints being reviewed and recommend appropriate redress; and recommend any service improvements for action by the authority.
Panel will need to:-
- Read the panel papers in advance of the meeting
- Contribute to deliberations and the wording of the panel's findings and recommendations
Consider in detail:-
- The unresolved complaints:
- The Investigation and the subsequent findings;
- The Adjudication from the Directorate of Children Services.
- The current views of the complainant and the reasons for continued dissatisfaction.
The Role of the Chairperson is to:
- Manage the panel meeting by ensuring that the complainant is heard in full.
- Ensure that each participant is given an opportunity to contribute.
- Ensure that all participants are treated with respect.
- Ensure that presentations are reasonable and relevant, exercising discretion in limiting its scope, substance or duration.
- Ensure that the panel's focus is on the complaints investigated at Stage 2 and the complainant's desired outcomes from the Stage 2 investigation.
- Manage the panel's deliberations to produce a timely and full response to the complainant and Director immediately following the panel meeting or if that is not possible on the day - then within five days of the panel meeting.
- Ensure any disagreements of position among the panellists are recorded and seek to reach a majority decision where necessary.
It will be at the Chairperson's discretion to suspend or defer proceedings in exceptional circumstances where required, especially for the health and safety of all present
Pre-meeting
This is an opportunity for the panel and their administrative support to meet in closed session to discuss the order of business and any other relevant issues. No deliberations on the complaint should commence at this meeting.
Presentations
Once all attendees are present, the Chairperson should commence the meeting by explaining its purpose and the respective roles and responsibilities of those present and address any questions or concerns that the complainant may have about the process.
The first presentation should be by the complainant or their advocate who should be invited to 'talk' to the complaint and expand upon the reasons for their continued dissatisfaction.
The Chairperson should then invite the Investigating Officer and Independent Person to respond to the points raised by the complainant.
The Chairperson should then invite the representative(s) for the Directorate to respond to the points raised by the complainant.
Panellists should have sufficient opportunity to ask questions of all present and seek clarification on the issues being discussed so they are in a position to contribute to the recommendations regarding the outcome.
The Chairperson should also invite the complainant, and Senior Managers representing the Directorate to put forward suggestions as to how matters could be resolved at this point.
Deliberations
Once panel are satisfied they have heard all information - they should thank all concerned for attending and explain that their deliberations will be put in writing to the complainant and circulated by the Clerk within five days.
The Chairperson should then ask all attendees to leave and go into closed session to deliberate on their findings and conclusions. The panel will have the Clerk present to provide administrative support.
The Complaints Manager must make himself available to panel in order to provide information and advice regarding the complaint process and possible resolutions/redress open to panel. The recommendations and conclusions of the panel must however be theirs alone.
The panel is required to produce a letter containing a summary of the complaints presented to them and their recommendations for resolution of the issues.
The Clerk to the panel will ensure that wherever possible the recommendations of the panel are agreed and recorded and signed by the Chairperson within 24 hours of the conclusion of the meeting. The Clerk will within 5 working days of the panel meeting send the panel's letter to:-
- The Director for Children Services.
- The complainant and Advocate
- The Adjudicating Officer
- The Investigating Officer
- Any other person who the Directorate considers has "sufficient interest" in the case
The panel's written recommendations should be accompanied by a letter from the Quality and Complaints Team explaining that the Director will consider the recommendations and that he will give the Directorate's response in writing within 15 days.
46. Directors Response
The Director should consider what further action if any, should or could be taken & within 15 days write to the complainant commenting on the panel's conclusions and recommendations and setting out any proposed actions of the Directorate. The Quality & Complaints Manager will take responsibility for liaising with the Director regarding the response and for its distribution to the complainant.
The complainants should be advised that this concludes the Directorate of Children Services' procedure for dealing with the complaints but is advised that if they remain dissatisfied they have the right to pursue their complaint with the Local Government Ombudsman. The Ombudsman would normally expect such contact to take place within twelve months of the conclusion of the Stage 3 process. Details of how to contact the Ombudsman should be provided by the Quality & Complaints Team.
47. Complaints about External Providers of Services to Children and Young People
Children/Young people in receipt of services which are provided by external independent, private or voluntary agencies have the same right to complain as any other person receiving a service. Where the Directorate of Children Services is responsible for the original assessment of need that led to a placement or service and associated funding, then the complainant should, in most instances, have recourse to this complaints procedure.
External Providers will be required under their contractual agreement with the Directorate to notify the Quality & Complaints Team of any complaint it receives from any child/young person in receipt of a social care service from the Directorate of Children Services.
Complaints can Occur for Example Among:
- Children's homes;
- Children's day care providers;
- Contracted agencies and multi-agency services;
- Multi-agency health service packages;
- Multi agency child protection
- Single or joint assessments.
Complaints can Arise from the Following Issues:
- Commissioning;
- Placement arrangements;
- Placement monitoring;
- Personal needs reassessment;
- Funding;
- Contractual arrangements;
- Service agreements;
- Service quality and care regime matters not covered by regulations and national minimum standards
The Complaints Manager will need to consider whether the issues presented are most appropriately dealt with by the Provider of the service through their internal complaint procedures or, whether the Quality & Complaints Team, Commissioning Service or the Regulatory body for the service needs to take the lead responsibility for looking into and responding to the complaint.
Where there are issues in relation to both the Provider and the actions/services of the Directorate then the child/young person should be able to make a single complaint to the provider or the Directorate of Children Services and expect to receive one co-ordinated response.
Where complaints refer to more than one Local Authority, they shall be considered by the authority which is looking after the child or in any other case by the authority within whose area the child is ordinarily resident.
Process Involved
Any member of staff receiving a complaint should notify their line manager and or the Quality & Complaints Team the same day or next working day.
All complaints should be passed to the Quality & Complaints Team to register and to track its progress.
The Quality & Complaints Team will on the day it receives the complaint or latest next working day, alert the Commissioning Service/Contract Officer and relevant District Team & Reviewing Officer to the complaint.
The Quality & Complaints Team will be mindful of any complaint which contains any information relating to harm or potential harm to a child/young person. All such complaints will be made known to the relevant Manager of the service, the Divisional Manager, Commissioning Service and & Reviewing Officer on the day the complaint is received.
No more than 5 days must elapse from the date the complaint first came to notice of the Directorate to the matter being referred to the provider - or if required for the matters to be formally directed to a more appropriate process. However, prior to referring the complaint on to the provider the Quality & Complaints Team will discuss the complaint matters with the relevant Commissioning Service, Senior Manager(s), Service Manager and Reviewing Officer to consider whether there are any issues of risk or vulnerability for the child/young person concerned.
If the complaint is passed to the Provider by the Quality and Complaints Team the provider will be advised that the complaint has been registered at Stage 1 of this complaint process and that they have ten days to respond to it (or up to 20 days if an advocate is to be appointed or where matters are complex). The Provider must be asked to send a copy of their response to the Quality & Complaints Team.
The Quality & Complaints Team as with all other complaints, will monitor each complaint to ensure it is responded to in good time, and to ensure the complainant is advised of their right to pursue matters further should they remain dissatisfied with the response.
Where Services are Provided in a Package Delivered by Separate Bodies
For example some by the NHS, some by the Directorate of Children Services the role of the respective Complaints Managers is to ensure that
- All aspects of the complaint are looked into by the appropriate bodies, and
- That the child/young person is kept informed as to what is going on, who is involved and what they can expect and
- Wherever possible, contribute to a single joint reply.
Where complaints progress to Stage 2, the Complaints Manager will put in place an investigation and response to the complainant for any social care issues. The relevant NHS body will need to consider any health care issues under the NHS procedure.
48. Resolving Complaints
The Quality & Complaints Team is available to be contacted on any individual complaint to offer advice and information in seeking a resolution.
Managers responding to complaints are invited/encouraged to send their complaint response letters to the Quality & Complaints Team prior to releasing it to the complainant in order that any advice on resolutions can be put forward or amendments suggested.
It is important to ensure that attempts at problem solving should not be used to divert a child/young person from making a complaint, however, attempts at problem-solving should not end once a complaint has been made. Rather, there should be continued efforts to resolve the complaint at any point within the complaint process.
Each complaint must be considered on its own merits, but the evidence and experience of the complaint process concludes that the vast majority of complaints are resolved by providing an early response to the complainant which contains one or more of the following:-
Face to Face Meeting - or Telephone Conversation. Direct contact by the Manager with a complainant within ten days of the complaint being made contributes significantly to matters being resolved.
An Apology. If the Manager responding to the complaint concludes that the child/young has not had the services he should have, or the quality of it has been poor then an apology should be offered. An apology put forward in this manner is not presented as any admission of liability.
Explanation. An explanation which is clear and easy to understand very often resolves a complaint, particularly if it provides the background to what went wrong or events leading to the complaint issues arising. An apology should also be provided if necessary, and an assurance that the Directorate will monitor the effectiveness of the remedy/resolution put forward.
Compensation. Remedies may include, but are not restricted to financial redress. Under Section 92 of the Local Government Act 2000, Local Authorities are empowered to remedy any injustice, including through the use of financial compensation. However, due to the complexities and potential legal issues involved - care must be taken not to enter into any discussion with a complainant or their representative regarding compensation. Instead a person seeking compensation to resolve their complaint will need to be advised to contact a Senior Manager or the Complaints Manager to discuss the issue and the appropriate route to take to pursue this.
Reconsider a decision:- The complaint process is not, and must not be about asking managers to change correct decisions and assessments. However, where it is felt that a decision or assessment could reasonably be reviewed this should be considered. It may not necessarily result in a change of decision but could lead to greater acceptance and understanding of the decision and a resolution to the complaint.
Review practice or procedures:- Often a complainant will say that what they want is for re-assurance that the mistake made will not happen again. A letter of response to a complainant with brief details stating what measures will be taken, by whom and when, to ensure that a similar situation should not happen again will greatly improve the chances of resolution.
Mediation - Conciliation: - Can be used at any stage of the complaint procedure. The Quality & Complaints Team will, where agreed, take the lead in facilitating mediation between the parties concerned. All parties should confirm their willingness to be involved and that they are committed to seeking a resolution. However, the complainant can terminate mediation at any time and either ask for the matters to proceed through the various stages of the complaint process or decide to withdraw the complaint.
If the matter is resolved through mediation, conciliation or other forms of alternative dispute resolution, the authority must send a letter to the complainant confirming the agreed resolution.
49. Guidance on Unreasonable or Persistent Complainants
The overriding majority of people who raise a complaint do so because they have a genuine concern and wish to seek answers and or a resolution to the complaint. However, there are a small number of complainants who, because of the manner in which they present their complaints or the frequency of their contact with the Directorate, hinder consideration of their own complaints.
Where the Directorate of Children Services encounters unresolved and persistent complaints, it should consider all aspects of why this situation may be developing. If the complainant is persisting because his/her complaints have not been considered in full then the Complaints Manager must address this, normally by invoking the next Stage. However, if the authority has already done so and has demonstrated this to the complainant, then the Complaints Manager should consider whether the complainant is now inappropriately persistent.
Persistent Complainants
Features of a "persistent complainant" may include:
- a person who makes the same complaint repeatedly (with minor differences), but never accepts the outcomes;
- a person who seeks an unrealistic outcome and is determined to persist until it is reached; or
- a person with a history of making other unreasonably persistent complaints - however care must also be taken to consider whether there are new and genuine issues of concern requiring a response.
Unreasonably Persistent Complaints
An unreasonably persistent complaint is likely to include some or all of the following:
- an historic and irreversible decision or incident;
- frequent, lengthy, complicated and stressful contact with members of staff;
- the complainant behaving in an aggressive manner to staff or being verbally abusive or threatening;
- the complainant changing aspects of the complaint part way through the investigation or Review Panel;
- the complainant making and breaking contact with the Directorate on an ongoing basis; and
- the complainant persistently approaching the Directorate through different routes about the same issue in the hope of getting different responses.
It must be evidenced that the complainant has received the same standard of response as any other service user would in the same circumstances, and that the Complaints Manager can show that it has not discriminated against the persistent complainant.
Action in Response
The following action should only be pursued where absolutely necessary.
Where the relationship becomes unworkable, the Complaints Manager should ensure that he demonstrates that he has considered the complaints as fully as is appropriate.
Where the Quality & Complaints Team has attempted to move the complaint on, including to the next stage but the complainant has either refused or delayed such progression through excessive objection to the process rather than addressing the substantive issues of the complaint themselves, the Complaints Manager should advise the complainant that this is causing delay and is unreasonable use of the complaints procedure. The Complaints Manager should invite the complainant to meet with him in order to agree how matters can be progressed and concluded.
Where the Complaints Manager decides to treat someone as an unreasonably persistent complainant, he should prepare and present a report to Senior Managers of the service concerned. Approval should be sought from Senior Managers for the Complaints Manager to write to the complainant telling him why he believes his behaviour falls into that category, what action he is taking and the duration of that action. He should also inform the complainant how he can challenge the decision if he disagrees with it (this should normally include information regarding the Local Government Ombudsman).
Where a complainant's complaint is closed and he persists in communicating about it, the Complaints Manager may decide to terminate contact with that complainant.
Restricting Access
The decision to restrict access to the complaints procedure should be taken by the Complaints Manager and should follow a prior warning to the complainant. Any restrictions imposed should be appropriate and proportionate. The options that the Complaints Manager is most likely to consider are:
- requesting contact in a particular form (for example, letters only);
- requiring contact to take place with a named officer;
- restricting telephone calls to specified days and times;
- asking the complainant to enter into an agreement about his future contact with the Directorate; and
- informing the complainant that if he still does not cooperate with the advice given, any further correspondence that does not present significant new matters or new information will not necessarily be acknowledged, but may be kept on file.
Any new complaints should be treated on their individual merits.
In extreme cases, the Director or a Senior Manager may consider the following actions:
- Referring the complaint to the Local Government Ombudsman before the complaints procedure has been exhausted or
- Advising the complainant that it cannot assist further and informing them of their right to approach the Local Government Ombudsman.
Guidance on Unacceptable Behaviour
This guidance should only apply to a very small number of complainants. It covers the possible escalation of a situation between the Directorate and a complainant from unreasonably persistent behaviour to unacceptable behaviour.
Dealing with Complainants
The Directorate of Children Services are committed to dealing with all complaints fairly and impartially and to providing a high quality service to those who complain, we will not normally limit the contact complainants have with our offices. However, the Directorate is also committed to the position that members of staff should not have to tolerate behaviour by complainants which is unacceptable. The Directorate of Children Services will take action to protect its staff from certain behaviours, including that which is abusive, offensive or threatening.
Where a manager or any member of staff or the Complaints Manager considers that a complainant's behaviour is unacceptable:- The Complaints Manager will, following discussions with Senior Managers, contact the complainant to tell him why his behaviour is deemed to be unreasonable and ask him to change it. If the unacceptable behaviour continues, the Directorate may wish to take action to restrict the complainant's contact with its offices. In all cases, the Complaints Manager should write to tell the complainant what action is being taken and the duration of that action. The Complaints Manager should also tell the complainant how he can challenge the decision if he disagrees with it. This will include the option of writing to Senior Managers within the Directorate, writing to the Chief Executive of the Council, or to approach the Local Government Ombudsman.
Terminating Contact
Where a complainant continues to behave in a way which is unacceptable; the Directorate of Children Services, through its Complaints Manager may decide to terminate contact with the complainant and discontinue any investigation into the complaint.
Where the behaviour has been risk assessed as being so extreme that it threatens the immediate safety and welfare of staff, the Directorate should consider other options, for example reporting the matter to the Police or taking legal action. In such cases, the authority may not give the complainant prior warning of that action. The Assistant Director or delegated Senior Manager will take the lead role in co-ordinating the response to this situation.
50. Communicating the Procedure
Local authorities are required to give children and young people details of the complaints and representations procedure and, where appropriate information and assistance in obtaining an advocate. Information should be available free of charge to all children and young people, and to any other members of the community with sufficient interest in children's needs. Publicity materials should also be developed for children with learning difficulties and those with additional communication needs.
51. Monitoring and Quality Assurance
The Directorate is required to keep a record of:
- each complaint received;
- the outcome of each complaint; and
- whether there was compliance with the time limits.
To monitor the operation and effectiveness of the complaints procedure as well as how information about complaints is being used to improve services and delivery.
52. Data Protection and Complaints Records
All functions of the complaints procedure must adhere to the requirements of the Data Protection Act 1998 and the Freedom of Information Act, 2000. Particular attention is drawn to the need to ensure that personal information obtained in relation to a complaint is used only for that purpose.
In order to comply with the requirements of Data Protection legislation, complainants or those complaining on another's behalf will be advised by the Quality & Complaints Team that the formal investigation of their concerns at Stage 2 of the complaint process may require access to their personal files. Also, that in order to provide a full response it may be the case that personal information may need to be shared.
The following details should be recorded on the service user's case file unless there are specific reasons not to do so (for example, if the reports would cause distress).
- A copy of the complaint letter or leaflet of complaint (if one was received)
- A copy of the response letter to the complaint at Stage 1
- A copy of the Stage 2 complaint investigation reports.
- A copy of the Adjudicating Officers response at Stage 2 of the complaint process.
Separate complaint files should not be kept and all other records relating to the complaint should be forwarded to the Quality & Complaints Team. Notes of interviews carried out as part of a Stage 2 formal complaint investigation should not be held on a service users file or personnel files of staff members. Notes of interviews must not be shared with any other person interviewed as part of the complaint investigation.
53. Reporting
The Quality and complaints team will provide a monthly print out of complaints received to Senior Managers with brief details of the number and nature of complaints registered for their specific areas. Quarterly Reports will be provided to Senior Managers containing a detailed account of the number, nature and outcome of complaints together with full details of comments and compliments received.
Local authorities are required to publish an Annual Report, covering the council year. This will be arranged by the Complaints Manager and will provide a detailed account of statistical information, a review of the effectiveness of the Procedure, feedback from people using the Procedure. In brief the report should provide information about:
- social care representations made to the Directorate of Children Services;
- the number of complaints at each Stage and any that were considered by the Local Government Ombudsman;
- the types of complaints made;
- the outcome of complaints;
- details about advocacy services provided under the arrangements;
- compliance with timescales, and complaints resolved within extended timescale as agreed;
- learning and service improvement, including changes to services that have been implemented and details of any that have not been implemented;
- a summary of statistical data about the age, gender, disability and ethnicity of service users;
- a review of the effectiveness of the complaints procedure.
Once approved by the Director the Annual Report will be presented to the Select Committee. It will subsequently become a public document and, as such, will not contain references to specific people or complaints which might breach confidentiality.
54. Diversity and Equality
This procedure must be open and accessible to all communities. Respect for differences in race, gender, sexuality, disabilities, religion, cultural norms and values will be observed.
Leaflets and other publicity material around complaints should be made available following a request for them in large print, translation or in other formats. Where a complainant is deaf and requires help, the Race Equality and Communication Service can provide an interpreter for British Sign Language (BSL). A summary of the Complaints Procedure can also be made available on tape for anyone needing to use that form of communication because of, for example, sight or literacy considerations. The Quality & Complaints Team can be contacted to arrange this.
55. Information and Training for Staff
Regulations require that the Complaint process must be made known and understood by staff, elected Members, Investigating Officers, Independent Persons, and Review Panellists. The Complaints Manager is required to provide training at all levels of the organisation.
56. Supporting Staff
It is important that staff feel supported in the actions they carry out in relation to these procedures. Sometimes a complaint will be directed at a named member of staff and even the most experienced member of staff can feel a degree of concern and anxiety as a result. It must be stressed that a complaint is viewed, registered and responded to as a complaint against the Directorate. However, if, you feel this is not the case you should discuss this at the earliest opportunity with your line manager or the Quality & Complaints Team.
Members of staff should expect the following:
- The right to be protected from threats, violence or unfounded/malicious allegations and to seek redress should they occur.
- Be treated fairly, and with respect
- Be informed of the complaint at the earliest opportunity.
- Be given an opportunity to comment and provide information to assist in the response to the complaint.
- Be supported through the process
Support should be available to a member of staff from line managers: who will want to be sensitive to the unsettling effects of having a complaint made about individual members of staff. They will try to support members of staff without compromising or appearing to prejudge the matter. Managers will want to re-assert to members of staff that the emphasis is on seeking a resolution and not apportioning blame.
Any member of staff is welcome to contact the Quality & Complaints Team in order to seek advice or information about the complaint process.
A member of staff also has the option to contact the following:-
- Human Resources
- Staff Counselling Service
- Union/Professional Association
Records of complaints will not be filed on any staff member's personnel file. Where a complaint results in disciplinary action information will be filed according to those procedures. Members of staff should refer to the staff guide. See Appendix 1: Form for Recording a Stage 1 Complaint
Right of Reply for Staff:- At the end of each complaint investigation the Quality & Complaints Team will provide a specific opportunity for any member of staff seen by the complaint Investigating Officer to put forward comments and opinions, in writing or verbally, about the outcome of any complaint enquiries carried out, and about the complaint process itself. Such comments will not form part of any papers circulated to a Stage 3 Review Panel or Ombudsman, they are there to inform future practice in complaint handling.
Appendix 1: Form for Recording a Stage 1 Complaint
Appendix 2: Summary of Procedure and Flowcharts Guide
Click here to view flowcharts and procedure
Appendix 3: Structure of Stage 2 Investigation Report
Click here to view Report Structure
Appendix 4: Information Guide Booklet
End