WEST MIDLANDS AMBULANCE SERVICE NHS FOUNDATION TRUST REPORT TO THE COUNCIL OF GOVERNORS AGENDA ITEM: 10 DATE: 16 SEPTEMBER 2015 PAPER NUMBER: 06

Transcription

1 WEST MIDLANDS AMBULANCE SERVICE NHS FOUNDATION TRUST REPORT TO THE COUNCIL OF GOVERNORS AGENDA ITEM: 10 DATE: 16 SEPTEMBER 2015 PAPER NUMBER: 06 Title Sponsoring Director Presenter Purpose Previously Considered by Introduction of a process dealing with 1) Complaints raised against a Governor 2) Complaints raised by a Governor against the Trust Sir Graham Meldrum Chair Louise Jones Public Governor To consider and determine a proposed complaints process Council of Governors 19 May 2015 Constitution Development Forum 3 Sept 2015 Executive Summary After operating as a Foundation Trust for two years, a request has been made to establish a process to deal with complaints raised against or by Governors. The intention being to introduce a transparent and robust procedure to both support and protect individual Governors and the Trust. The attached process has been developed by a member of the Council of Governors in collaboration with the Director of Corporate Services, it provides a generic structure and framework to ensure complaints are investigated fairly and without prejudice. This issue was considered by the Constitution Development Forum at its meeting on 3 September 2015 and recommend to the Council of Governors that the following process be approved and adopted subject to the advice and comments of the Trusts lawyers, with regards to dealing with- Complaints raised against a Governor Complaints raised by a Governor, against the Trust Risk and Assurance An agreed procedure will ensure that Governors are provided with a formal method of dealing with any complaints made against them and have a method of making a complaint. This will ensure that Governors will receive the same protection in respect of complaints as that enjoyed by other persons involved with the NHS. Page 1 of 2

2 WEST MIDLANDS AMBULANCE SERVICE NHS FOUNDATION TRUST REPORT TO THE COUNCIL OF GOVERNORS AGENDA ITEM: 10 DATE: 16 SEPTEMBER 2015 PAPER NUMBER: 06 Legal implications/ regulatory requirements Financial Planning Workforce Implications Communications Issues Quality Impact Assessment Legal advice has been sought. The approval of the Council of Governors will be subject to the comments and recommendations of the Trust Lawyers. Not relevant to the contents of this report. Not relevant to the contents of this report. This proposal establishes a framework for dealing with complaints and shall be circulated to all Governors. Not relevant to the contents of this report. Action required To review and approve the recommendation of the Constitution Development Forum regarding the establishment of a process to deal with - Complaints raised against a Governor Complaints raised by a Governor, against the Trust Additional Information - Benchmarking Three partner organisations have been contacted regarding their agreed process for dealing with complaints. Birmingham Community Healthcare NHS Trust (Aspiring FT) Dudley Group of Hospitals NHS Foundation Trust Black Country Partnership NHS Foundation Trust No formal process No formal process No formal process The NHS organisations contacted have no established formal process but all have requested details of any process adopted by West Midlands Ambulance Service given the potential risks posed by their current position of not having a process in place. Page 2 of 2

3 1. Principles Council of Governors Complaints Procedure Complaints Raised Against a Governor 1.1 All parties are expected to make reasonable efforts to resolve matters on an informal basis before moving to the formal stages of the process. It is in the interests of the Governor and West Midlands Ambulance Service NHS Foundation Trust that complaints are resolved as quickly as possible. 1.2 The Trust will deal with all complaints confidentially, and expects all parties involved (including the Governor) to respect this approach. Governors should recognise that it may be necessary to disclose details of a complaint (with appropriate redaction) to other persons or organisations for the purposes of investigating the complaint and seeking an effective resolution. 1.3 Unless there are exceptional considerations, any Governor who is the subject of a complaint has the right to be supplied with a copy of the complaint (with appropriate redaction) within three working days of its receipt, and be given an opportunity to comment on it in writing or in person. 1.4 Where these procedures state that certain actions will be taken within a specified timescale, and this is not possible (e.g. because of the timing or because key information takes longer to obtain) both the complainant and the Governor will be kept fully informed of the progress of the complaint. The following process shall have the effect as if incorporated into the Constitution of the Foundation Trust. The terms of the Constitution shall always take precedence. 2. Stage One Review by Chair of the Council of Governors 2.1 In cases where a complaint is not resolved informally the complainant must send their concerns in writing using the Complaints Form shown at Appendix One to the Trust s Membership and Governor Support Officer who will raise the matter with the Chair of the Council of Governors. Where the complaint is about or directly involves the Chair, the complaint will be considered by the Senior Independent Director. 1 P a g e

4 2.2 For a Complaints Form to be considered valid it must be completed in full and specify: a. full name and contact details of the complainant b. name of the Governor against whom the complaint is being made c. reason(s) for complaint d. action(s) taken so far to resolve the issue e. desired resolution(s) of issue(s) f. be signed and dated g. be accompanied by appropriate documentary evidence, where available. 2.3 An anonymous complaint will not normally be considered. 2.4 The Trust s Membership and Governor Support Officer will acknowledge receipt of the complaint and will forward the complaint to the Chair of the Council of Governors within five working days. 2.5 In reviewing the complaint, the Chair will identify whether it relates to the Governor acting in his/her capacity as a a. Member of the Trust b. Governor of the Trust 2.6 If the former, the complaint will be considered in line with the Trust Constitution. If the latter, the following process will be followed (2.7 onwards) 2.7 The Chair, after reviewing the case, may identify simple and remedial action which may be taken to remedy the complaint. In such cases, the Chair will propose such action in writing to the complainant and Governor, within ten working days and submit a written report to the Membership and Governor Support Officer. 3. Stage Two - Investigation by Chair s Nominee 3.1 In cases where simple and remedial action cannot be taken, or where the Governor disagrees with the proposed remedial action, the Chair will nominate an investigating officer, who will normally be the Senior Independent Director or the Director of Corporate Services. 3.2 The Investigating Director will arrange to meet with the complainant to discuss their complaint in more detail, and other parties to the complaint may also be invited, at the discretion of the Investigating Director. This meeting should be arranged within twenty working days of receiving the complaint. 2 P a g e

5 3.3 The Governor has the right to be accompanied by a representative, at any meeting arranged to discuss the complaint. The representative should normally be another WMAS Governor. 3.4 The Investigating Director will prepare a full written response to the complaint, which will detail the nature of the complaint, the findings of any investigation carried out, the points covered in any meeting and any recommendations. The Chair should receive this written response as soon as is practicable. 3.5 The Chair will review the investigation within five working days of receiving the Investigating Officer s Report and make a recommendation as to what action should be taken at the next meeting of the Council of Governors. The recommendation will be one of the following: a. No further action to be taken b. suspension c. dismissal 3.6 If there is no Council of Governors meeting scheduled within a twenty day period, an Extraordinary Meeting will be called to enable the Governors to consider the recommendation. Where the timeframe is extended, the complainant and Governor will be informed in writing of the progress being made towards the consideration of the complaint and given a timescale for completion. A copy of the letter will be sent to the Membership and Governor Support Officer. 3.7 Following agreement by the Council of Governors, the Chair will write to the complainant and the Governor with the outcome of the investigation and the action(s) being taken as a result. A copy of the letter will be sent to the Membership and Governor Support Officer. 3.8 Any learning from the complaint will be recorded in the Council of Governors minutes, after which the file will be closed. 4. Stage Three Appeal Independent Review 4.1 A Governor who is not satisfied with the outcome of the complaint investigation may request an independent review of the investigation and outcome in writing to the Chair. Any request should be made within ten working days of being notified of the outcome of the investigation. Requests for review received later than this will not be considered. 4.2 This review will be undertaken by a Chair or nominated Deputy of a NHS Ambulance Foundation Trust and will be paper-based; however, the independent reviewer may request to meet with the Governor concerned. The outcome of this review will be final. 3 P a g e

6 Complaint Form Appendix One Complainants Full Name: Name of Governor against whom the compliant is being made: Reason for your complaint (please continue on another sheet where appropriate) What actions have you taken so far to resolve the issue(s): What would be your desired resolution(s) of issue(s): Please attach to this form any documentary evidence you feel may be appropriate to your compliant and note below. Signature.. Date.. 4 P a g e

7 Date received by WMAS Membership and Governor Support Officer.. Council of Governors Complaints Procedure Complaints Raised by a Governor, Against the Trust 2. Principles 4.3 All parties are expected to make reasonable efforts to resolve matters on an informal basis before moving to the formal stages of the process. It is in the interests of the Governor (complainant) and West Midlands Ambulance Service NHS Foundation Trust that complaints are resolved as quickly as possible. 4.4 The Trust will deal with all complaints confidentially, and expects all parties involved (including the complainant) to respect this approach. Governors should recognise that it may be necessary to disclose details of a complaint (with appropriate redaction) to other persons or organisations for the purposes of investigating the complaint and seeking an effective resolution. 4.5 Where these procedures state that certain actions will be taken within a specified timescale, and this is not possible (e.g. because of the timing or because key information takes longer to obtain) the complainant will be kept fully informed of the progress of the complaint. This document shall have the effect as if incorporated into the Constitution of the Foundation Trust. The terms of the Constitution will always take precedence. 5. Stage One Review by Director of Corporate Services (or Nominated Deputy) 5.1 In cases where a complaint is not resolved informally the complainant must send their concerns in writing using the Complaints Form shown at Appendix One to the Trust s Membership and Governor Support Officer who will raise the matter with the Director of Corporate Services or their nominated Deputy. 5.2 For a Complaints Form to be considered valid it must be completed in full and specify: h. full name and contact details of the complainant i. reason(s) for complaint j. action(s) taken so far to resolve the issue 5 P a g e

8 k. desired resolution(s) of issue(s) l. be signed and dated m. be accompanied by appropriate documentary evidence, where available. 5.3 An anonymous complaint will not normally be considered. 5.4 The Trust s Membership and Governor Support Officer (or a nominated deputy) will acknowledge receipt of the complaint and will forward the complaint to the Director of Corporate Services within five working days. 5.5 The Chair of the Trust will be notified that a complaint has been received. 5.6 In reviewing the complaint, the Director of Corporate Services will identify whether the complaint relates to c. An employee of the Trust d. A procedure, process or decision of the Trust 5.7 If the former, the complaint will be considered in line with the Trust employee investigation and complaints process. If the latter, the following process will be followed (2.7 onwards) 5.8 The Director of Corporate Services after reviewing the case, may identify simple and remedial action which may be taken to remedy the complaint. In such cases, the Director of Corporate Services will write to the complainant to inform them of the action taken. 6. Stage Two - Investigation by the Senior Independent Director 6.1 In cases where simple and remedial action cannot be taken, or where the Governor disagrees with the proposed remedial action, the matter will be investigated by the Senior Independent Director. 6.2 The Senior Independent Director will arrange to meet with the complainant to discuss their complaint in more detail, and other parties to the complaint may also be invited, at the discretion of the Senior Independent Director. This meeting should be arranged as soon as is practicable. 6.3 The Senior Independent Director will prepare a full written response to the complaint, which will detail the nature of the complaint, the findings of any investigation carried out, the points covered in any meeting and any recommendations. The Chair should receive this written response within ten working days after the last meeting has taken place. 6.4 The Chair will review the Senior Independent Directors report within five 6 P a g e

9 working days and make a recommendation as to any action to be taken. 6.5 The Chair will present the complaint, outcomes of the investigation and recommendations to a meeting of the Council of Governors. 6.6 If there is no Council of Governors meeting scheduled within a twenty day period, an Extraordinary Meeting will be called to enable the Governors to consider the issue. Where the timeframe is extended, the complainant will be informed in writing of the progress being made towards the consideration of the complaint and given a timescale for completion. 6.7 Any necessary time for the Council of Governors to consider the issue will be facilitated allowing full and frank discussion, to enable agreement of any recommendations and actions to be taken. 6.8 Following agreement by the Council of Governors, the Chair will write to the complainant with the outcome of the investigation and the action(s) being taken as a result. A copy of the letter will be sent to the Membership and Governor Support Officer and any learning from the complaint will be recorded in the Council of Governors minutes, after which the file will be closed. 7 P a g e

10 Complaint Form Appendix One Complainants Full Name: Reason for your complaint (please continue on another sheet where appropriate) What actions have you taken so far to resolve the issue(s): What would be your desired resolution(s) of issue(s): Please attach to this form any documentary evidence you feel may be appropriate to your compliant and note below. Signature.. Date.. 8 P a g e

11 Date received by WMAS Membership and Governor Support Officer.. 9 P a g e