COMPLAINTS

Steps Ahead Care & Support Ltd

Scope

• Policy Statement
• The Policy
• Aim of the Complaints Procedure
• Responsibilities
• Complaints Procedure
• Verbal Complaints
• Serious or Written Complaints
• Vexatious Complainers
• Local Government Ombudsman (LGO)
• Local Authority-funded Service Users
• Relevant Contacts
• Related Policies
• Related Guidance
• Training Statement

Policy Statement

Steps Ahead Care & Support’s policy is intended to comply with Regulation 16 of the Fundamental Standard Regulations.

This organisation accepts the rights of Service Users, families and advocates to make complaints and to register comments and concerns about the services received. It further accepts that they should find it easy to do so. Service Users and families are provided with clear information on how to make a complaint and our staff are competent to always support individuals with making a complaint.

It welcomes complaints as opportunities to learn, adapt, improve, and provide better services.

Our organisation will comply with legislation, national guidelines, regulations and best practice when managing complaints and suggestions. In accordance with the Equality Act 2010, we will ensure our processes are fair and transparent and do not discriminate directly or indirectly, against those with protected characteristics.

The Policy

This policy is intended to ensure that complaints are dealt with properly and that all complaints or comments by clients and their relatives, carers and advocates are taken seriously. It is not designed to apportion blame, to consider the possibility of negligence or to provide compensation; it is not part of the company’s disciplinary policy. This organisation believes that failure to listen to or acknowledge complaints leads to an aggravation of problems, client dissatisfaction and possible litigation. The organisation supports the idea that most complaints if dealt with early, openly and honestly can be sorted at a local level between just the complainant and the organisation. The complaints procedure is made available to service user and families in their service user Guide. A copy is always kept in their Care Plan in their homes and available in a format that can be understood.

ADASS have published a Good Practice Guide on handling complaints concerning Adults and Children in Social Care settings. They have identified the following five principles:

• Principle one: ensure that the complaints process is accessible
• Principle two: ensure that the complaints process is straightforward for service users and their representatives
• Principle three: ensure that appropriate systems are in place to keep service users informed throughout the complaints process
• Principle four: ensure that the complaints process is resolution focused
• Principle five: ensure that quality assurance processes are in place to enable organisational learning and service improvement from complaints and customer feedback

Aim of the Complaints Procedure

We aim to ensure that the complaints procedure is properly and effectively implemented, and that clients feel confident that their complaints and worries are listened to and acted upon promptly and fairly.

Specifically, we aim to ensure that:

• Clients, carers and their representatives are aware of how to complain and that the company provides easy to use opportunities for them to register their complaints
• A named person will be responsible for the administration of the procedure
• Every written complaint is acknowledged within 5 working days
• All complaints are investigated within 14 days of being made
• All complaints are responded to in writing within 28 days of being made
• Complaints are dealt with promptly, fairly and sensitively, with due regard to the upset and worry that they can cause to both clients and staff.

Responsibilities

The Registered Manager is responsible for following through complaints.  However, there may be a specific post with responsibility for complaints. Communication between this post and the Registered Manager should be clear and transparent in order that the Registered Manager can demonstrate and evidence compliance. Victoria Coles, Nominated Individual, is also responsible for following through complaints.

If the complaint is concerning the Registered Manager then another manager on the senior management team will handle the complaint. Information on

where to send the complaint or whom to speak to, if it involves the registered

manager is included in the complaints procedure in the service user guide.

Complaints From A Representative

If the Service User directly affected does not want to complain themselves, they can ask someone else to make the complaint on their behalf and represent them throughout the process.

 A representative can be anyone such as:

• A family member
• A friend
• An advocate
• A legal representative

There is no restriction on who may act as a representative and this list is not exhaustive.

Our organisation will support them by signposting Service Users to an advocate if they do not have any other representation and are not happy to raise the complaint themselves.

Our organisation can only accept complaints from a representative In certain situations. These are;

• Where it is known that the Service User has consented, either verbally or in writing (and this includes the willingness for us to share personal information with the representative)
• Where the Service User cannot complain unaided and cannot give consent because they lack capacity in line with the Mental Capacity Act 2005, and the representative is acting in the Service User’s best interests

If the Service User does not consent to us discussing the complaint with their representative then we take this into account.  We will explain to the person making the complaint that only the issues that directly affect them can be investigated. If we do not have consent to share personal information about the Service User we will not be able to investigate any matters relating to the Service User or share personal information about the Service User which may leave some of their concerns unanswered.

If we receive a complaint where the Service User directly affected does not have the capacity to consent to the complaint being made on their behalf, we first determine if the person making the complaint on their behalf has a legitimate interest in the person’s welfare and that there is no conflict of interest. We also need to determine if the person making the complaint has a right of access to the personal information of the Service User directly affected. E.g. are they an attorney with authority to manage the property and affairs of the individual or are they a person appointed by the Courts to make decisions about such matters.

Complaints Procedure

Verbal Complaints

• The organisation accepts that all verbal complaints, no matter how seemingly unimportant, must be taken seriously.
• Front-line care staff who receive a verbal complaint are expected to seek to solve the problem immediately.
• If they cannot solve the problem immediately, they should offer to get their line manager to deal with the problem.
• Staff are expected to remain polite, courteous, sympathetic and professional to the complainant. They are taught that there is nothing to be gained by adopting a defensive or aggressive attitude.
• At all times in responding to the complaint, staff are encouraged to remain calm and respectful.
• Staff should not, make excuses or blame other staff.
• If the complaint is being made on behalf of the client by an advocate, it must first be verified that the person has permission to speak for the client, especially if confidential information is involved. (It is very easy to assume that the advocate has the right or power to act for the service user when they may not). If in doubt it should be assumed that the client’s explicit permission is needed prior to discussing the complaint with the advocate.
• After discussing the problem, the manager or member of staff dealing with the complaint will suggest a means of resolving it. If this course of action is acceptable then the member of staff should clarify the agreement with the complainant and agree a way in which the results of the complaint will be communicated to the complainant (i.e. through another meeting or by letter).
• If the suggested plan of action is not acceptable to the complainant, then the member of staff or manager will ask the complainant to put their complaint in writing to the Registered Manager. The complainant should be given a copy of the company’s complaints procedure if they do not already have one.
• Details of all verbal and written complaints must be recorded in the complaints book, the client’s file and in the home records.

Serious or Written Complaints

• Preliminary steps:

• When we receive a written complaint it is passed to the designated lead manager, who records it in the complaints book and sends an acknowledgment letter within 5 working days to the complainant.
• The manager also includes a leaflet detailing the organisation’s procedure for the complainant. (Designated lead is the named person who deals with the complaint through the process)
• If necessary, further details are obtained from the complainant; if the complaint is not made by the client but on the client’s behalf, then consent of the client, preferably in writing, must be obtained from the complainant where required.
• If the complaint raises potentially serious matters, advice could be sought from a legal advisor. If legal action is taken at this stage, any investigation by the organisation under the complaint’s procedure ceases immediately.

• Investigation of the complaint by the organisation:

• Immediately on receipt of the complaint, the complaints manager will start an investigation and within 14 days should be in a position to provide a full explanation to the complainant, either in writing or by arranging a meeting with the individuals concerned.
• If the issues are too complex for the investigation to be completed within 28 days, the complainant will be informed of any delays.
• Where the complaint cannot be resolved between the parties, an arbitration service will be used.  This service and its findings will be final to both parties.  The cost of this will be borne by the organisation.

• Meeting:

• If a meeting is arranged, the complainant will be advised that they may, if so desired, bring a friend, relative or a representative such as an advocate
• At the meeting a detailed explanation of the results of the investigation will be given, in addition to an apology if deemed appropriate (an apology is not necessarily an admission of liability)
• Such a meeting gives the management the opportunity to show the complainant that the matter has been taken seriously and investigated thoroughly.

• Follow-up action:

• After the meeting, or if the complainant does not want a meeting, a written account of the investigation will be sent to the complainant. This includes details of how to approach the CQC if the complainant is not satisfied with the outcome, utilising the Your Experience button on their website.
• The outcomes of the investigation and the meeting are recorded in the complaints book, and any shortcomings in company procedures will be identified and acted upon.
• The company management formally reviews all complaints at least every six months as part of its quality monitoring and improvement procedures to identify the lessons learned.

Vexatious Complainers

Steps Ahead Care & Support takes seriously any comments or complaints regarding its service.  However, there are clients who can be treated as “vexatious complainers” due to the inability of the organisation to meet the outcomes of the complaints, which are never resolved.  Vexatious complainers need to be dealt with by the arbitration service, so that the repeated investigations become less of a burden on the organisation, its staff and other clients.

Accessibility

Policies and procedures are available in accessible formats, well publicised, readily available, and accessible to individuals using the service, their families, significant others, visitors, staff, and others working at the service.

Local Government & Social Care Ombudsman (LGSCO)

Investigate all complaints about adult care services, care provided by a council or care arranged directly with a care provider by:

• Someone paying with their own or family money
• Someone using money provided by a council, via direct payment for example

There is a step-by-step process for making an online complaint on the LGSCO website or a phone number to contact them.

A complaint should be made within 12 months of the problem. If left any longer the 

Ombudsman may not be able to help.

The LGSCO works to promote high-quality services for all people who use adult social care services. This is particularly the case where when investigating a complaint the LGSCO  detect service failures by a care provider that may affect its registration status. An information-sharing agreement and memorandum of understanding set out how information is shared.

Local Authority-funded Service Users

Any client part or wholly funded by their Local Authority can complain directly to the complaints manager (Adults) who is employed directly via the Local Authority.

Relevant Contacts

Local Authority Complaints Manager (Adults)

Plymouth City Council

Ballard House

West Hoe Road

PL1 3BJ

Telephone: 01752 668000

Social Services Local Office

Plymouth City Council

Ballard House

West Hoe Road

PL1 3BJ

Telephone: 01752 306900

County Police HQ

Devon & Cornwall Police Headquarters

Middlemoor

Exeter

Devon

EX2 7HQ

Telephone: 101

The Parliamentary and Health Service Ombudsman
Millbank Tower
Millbank
London
SW1P 4QP

Tel. 0345 015 4033

The Local Government Ombudsman

10th Floor,

Millbank Tower,

Millbank,

London

SW1P 4QP

Advice Line Tel: 0300 061 0614 [for complainants]

Out of Hours Service (Social Services) *

Telephone: 01752 346984

*This service is available when social services offices are closed

They will take details of concerns and respond appropriately and proportionately to the information divulged.

Contact details for making a complaint:

Christine Holdsworth

managers@stepsaheadsupport.co.uk

01752 547257

Related Policies

Accessible Information and Communication

Adult Safeguarding

Consent

Dignity and Respect

Duty of Candour

Good Governance

Grievance

Whistleblowing

Related Guidance

Local Government and Social Care Ombudsman Annual Review of Complaints:

https://www.lgo.org.uk/information-centre/reports/annual-review-reports  

Local Government and Social Care Ombudsman: How to Complain:

https://www.lgo.org.uk/make-a-complaint

How we can help - Local Government and Social Care Ombudsman

Training Statement

All staff, during induction are made aware of the organisations policies and procedures, all of which are used for training updates. All policies and procedures are reviewed and amended where necessary and staff are made aware of any changes via email and regular and ongoing training and supervisions. Observations are undertaken to check skills and competencies. Various methods of training are used including one to one, on-line, workbook, group meetings, individual supervisions and external courses are sourced as required.

This policy will be reviewed by the Registered Manager

Signed: C Holdsworth

Implementation date: September 2014

Last Update: 5^th April 2024

Last Review Date: 5^th April 2024

Next Review Date: April 2025 or sooner if necessary to ensure compliance  in line with updates to guidelines and regulations