Camden Council adult social care services

Transcription

1 Camden Council adult social care services Complaints procedure Complaints and representations procedure for adult social services. 1

2 Contents Page Introduction 4 Principles 4 What is a Complaint? 5 Who can Complain? 6 What can be complained about? 6 What cannot be complained about? 7 Direct Payments 8 Contracted Services 8 Care Standards Complaints 8 Single Integrated Complaints Procedure 9 Managing the Complaints Process On referral 9 The Complaints Plan 10 The Triage Process 11 Timescales 12 Mediation 13 Extreme Complaints 13 Organisational Sign-off 13 Investigation Guidance 14 Findings 14 The Investigation Response 15 Response 15 Appeal 16 Persistent / Vexatious Complainants 16 Organisational Learning 16 Recording 17 Monitoring 17 2

3 APPENDIX 1 APPENDIX 2 APPENDIX 3 APPENDIX 4 APPENDIX 5 APPENDIX 6 APPENDIX 7 APPENDIX 8 Guidance on Handling Independent Provider Complaints Checklist for staff and Managers receiving Complaints The Complaint Plan Complaints Triage Model Calculating Triage Score Safeguarding Adults Process And Complaints Process Guidance For Investigating Officers Persistent or Vexatious Complainant 3

4 1. Introduction This document will detail the way in which representations made about Camden s Adults Social Care service will be addressed under The Local Authority Social Services and National Health Service Complaints (England) Regulations The services to which this procedure applies are social care services to: older people people with a physical disability people with a learning disability other vulnerable people References to Complaints Manager in this document also refers to the Complaints Unit. 2. Principles These procedures are about putting the service user, and / or their representative, at the centre of efforts to resolve the issues they have raised. We recognise the importance of listening to our service users experiences and views about our services particularly if they are unhappy and we want to make it as easy as possible for them to let us know their views. The procedures will ensure that representations are dealt with in a way that is: open information gathered about the issues raised and the way in which they have been handled will be shared in full. clear the representation and the way in which it will be handled will be agreed with the complainant at the start of the resolution process responsive the needs of the complainant and / or service user will be taken into account in determining the method of addressing their concerns flexible the complaint / representation handling will be determined by the nature of the complaint & views of the complainant proportionate the efforts to resolve and time taken in addressing the issues raised will reflect the significance of those issues. accessible the procedure will be both easy to access and to use timely complaint handling will be conducted in an appropriate timescale rather than subject to preset timescales. resolution focussed at all points through the process we will look to resolution 4

5 Complaints will be dealt with in a way that is most suitable to the issues raised rather than according to a set procedure. The means of addressing the complaint will take into account: the complainants views the nature of the complaint the potential implications for the complainant the potential implications for the organisation We want everyone who is involved to feel confident in the process and will achieve this through a procedure that ensures: concerns are taken seriously complaints are dealt with promptly and effectively there is a full response and a clear outcome for complainants complaints are dealt with fairly and even-handedly all those involved in the process are treated with dignity and respect there is equality of access and standard of service for all complainants, with particular consideration for those people who may find it more difficult to use the process e.g. younger carers, people with disabilities, those whose first language is not English. All of our services will take the opportunity to learn from complaints outcomes. Our Good Complaints Handling is therefore aimed at: Getting it Right Being Customer Focussed Being open and accountable Acting fairly and proportionate Putting things right Seeking continuous improvement 3. What is a Complaint? A complaint is any expression of dissatisfaction about a service that is being delivered or the failure to deliver a service. A representation, concern or comment that requires action and a response will also be dealt with according to this procedure (the term complaint / complainant is used for ease 5

6 throughout this document but should be taken to also apply to these other representations). Often service users do not wish to make formal complaints but do have things to say about our services that require us to do something about them. Service users and their representatives do not have to make a complaint to have these issues addressed. A complaint / representation can be made in person, in writing, by telephone, via or through the council s website. It can be made at any office. Every effort should be made to assist people in making their complaint and any member of staff can take a complaint, if that is what the complainant wishes. 3.1 Who can complain? A complaint can be made by a service user someone who has been turned down for a service to which they think they are eligible the representative of a service user as long as consent is given, this can be anyone acting on the service user s behalf the representative of a service user who has not got capacity within the meaning of the Mental Capacity Act 2005, as long as they are seen to be acting in the interests of that service user, or on behalf of somebody who has died or is a child. Anyone who is or is likely to be affected by the actions, decisions or omissions of the service that is subject to a complaint. A complaint can only be made by on behalf of / by someone to whom the Local Authority may have the duty or power to provide a service. Any decision that a complainant is not a qualifying complainant will be made by the complaints manager in consultation with the appropriate service manager. The complainant will be informed of this decision in writing. 3.2 What can be complained about? A complaint can be made about anything that is connected with the Local Authorities exercising of its social service function. This could be: 6

7 Quality or amount of service Charges for a service A decision Failure to follow correct procedure Delay A service not being provided Application of assessment & eligibility criteria Attitude or behaviour of staff The impact for an individual of the application of a local authority policy 3.3 What cannot be complained about? Matters that should be dealt with through other procedures will not be dealt with as a complaint Disciplinary or grievance proceedings Criminal investigations Where a statutory appeals process is in place Where the complainant intends to take legal proceedings in relation to the substance of the complaint. Allegations relating to safeguarding. Where the substantive matter under complaint has been resolved or investigated, If the complaint is being investigated by the Local Government Ombudsman or Health Service Commissioner. Alleged failures to comply with the Freedom of Information Act If it is decided that a complaint will not be considered then the complainant will be informed of the reasons for this decision by the Complaints Unit. However if some aspects of a complaint are being addressed through other processes it does not mean that the entirety of the complaint should not be progressed. Issues that can be considered under the complaints procedure, as long as they do not compromise any other process, can still be addressed this way. It is possible for two procedures to run side by side. If at any point in dealing with a complaint it becomes apparent that there are issues that should be addressed through other procedures, that part of the complaint will be 7

8 suspended and moved to another procedure as appropriate. If this is the case, the complainant will be informed. For the Protocol about handling Safeguarding allegations and Complaints please see APPENDIX Direct Payments Service users and their representatives cannot raise issues under this procedure about services that they arrange and pay for themselves through a direct payment or a personal budget. However, issues can be dealt with under this process that relate to the Local Authority s role in Direct Payments or Personalised Budgets, for example in assessing for the amount of service or in the advice and assistance given in setting up such payments. 3.5 Contracted Services Adults Social Services are increasingly working with the independent sector in commissioning services for our service users. When people have concerns about these services we believe that they should have the same rights and standards in getting those concerns addressed as users of in house services. Therefore, although all commissioned services are required to have their own procedures in place, our service users can chose to have their concerns addressed through Camden s Adult Social Care procedure by contacting the department directly. If a provider receives a complaint they must inform the complainant that they have a right to refer the complaint directly to us for consideration. 3.6 Care Standard Complaints Where it appears that a complaint is wholly or in part a Care Standard complaint, we must: a) ask the complainant if they agree to details of the complaint being sent to the registered person; and b) if they agree, send the relevant parts of the complaint as soon as is reasonably c) practicable. If the complaint is partly a local authority and partly a Care Standard complaint, we must: a) notify the complainant which part of the complaint will be handled by us, and 8

9 b) where we have sent part of the complaint to a registered person, co-operate with the registered person to ensure that, as reasonably and practicably, the complainant receives a co-ordinated response to their complaint. For Guidance in Handling Independent Provider Complaints please see APPENDIX Single integrated complaints process Our complaints procedure reflects the requirements and principles of Making Experiences Count, a procedure which is designed to ensure that there is a single complaint process across all health and social care organisations. This will provide a unified approach to complaints about integrated services and where complaints are made across organisations. We are required to ensure that there is co-ordinated handling for such complaints and to advise and support complainants through the procedure. If a complaint is received by Adult Social care which appears to contain a complaint relating to a NHS body, the permission from the complainant must be sought to pass on to the Complaints Manager at the NHS to which it relates. The Complaints Manager will liaise with the NHS Complaints manager to decide which body will take the lead and how the complaint will be managed, in accordance the Regulations. The Complaints Managers will also decide who will liaise with the complainant. Emphasis will be on providing a single response. The complainant must be informed as to what options are available to their complaint. Each organisation will ensure that any lessons learned are identified and addressed. If the complaint is solely about health-related services, not provided directly by the Council, the Complaints Manager, with the permission of the complainant, should pass the complaint to the relevant NHS body within 3 working days. 4. Managing the Complaints Process 4.1 On referral (frontline resolution) If a frontline member of staff receives a complaint or representation direct they must take the following steps 9

10 Confirm details of complainant service user complaint desired outcome Consider whether the issues can be resolved locally and by the end of the following working day. If Yes Agree with the complainant the steps that will be taken to resolve and by whom Agree Timescales for response Agree Form of response Record response If No Forward complaints to Complaints Unit, who will log as per Section 8. Advise complainant that the Complaints Unit will be contacting them. (i) For a Checklist for staff and managers please see APPENDIX The Complaints Plan The Complaint Manager will oversee the completion of a Complaints Plan for all complaints, other than those resolved by the end of the following working day. It will comprise of the following elements and agreed with the complainant or their representative: Phase 1 - Complaints received and acknowledged within 3 working days Phase 2 - Complaint Plan drawn up, including the Triage and options for resolution decided upon Phase 3 - Complainant Management in line with Triage outcome, conclude response Phase 4 - Organisational sign-off by Senior Manager / delegated person with organisational learning identified 10

11 Phase 5 - Resolution, Outcome monitoring, Service improvement, Ombudsman referral For an explanatory flow chart please see APPENDIX The Triage process APPENDIX 4 shows the initial assessment that will identify the level of complexity involved and provide an indication of the timescales involved. These timescales will be Camden s standards. If the timescale in the plan is likely to change, then the complainant must be informed. The impact of the complaint on both the complainant and the organisation is then assessed, and the scores are combined to provide an over all scoring. NOTE: There may, in exceptional circumstances, be good cause to alter the scoring that has been identified through this process, due to the prior knowledge about the complainant or their circumstances that will over-ride the initial scoring. In such circumstances the Complaints Manager must ensure that this decision is recorded. APPENDIX 5 shows how this score is used to identify the priority of the case, the process and methodology and the areas of responsibility associated with it. It identifies four alternative ways of dealing with the complaint, starting at Low impact issues, to Medium, High and potentially Extreme impact those with the greatest significance for service users and the service. They are dealt with progressively in ways that are increasingly formal and independent. The Triage process will be undertaken by the Complaints Unit and this will inform the Complaints Plan In drawing up the Complaint Plan the Complaints Manager will consider what options to use in resolving the complaint. These may include the following (not exclusive): Establishing a dialogue Undertaking a paper review Holding a face to face meeting Offering Mediation Undertaking an independent investigation. 11

12 When acknowledging the complaint we shall offer the complainant an opportunity to meet to discuss their concerns and the manner in which their complaint will be handled and the timescale to provide a response. The Complaint Plan is not finalised until it is agreed with the complainant. A copy will be sent to them. 4.4 Timescales Complaints must be made: No later than 12 months after the date on which the matter being complained about occurred; Or 12 months from the date on which the matter being complained about came to the notice of the complainant. These conditions may be waived by the Complaints Manager if he is satisfied that: There was good reason for the complainant not to make the complaint within the time limit; Notwithstanding the delay, it is still possible to investigate the complaint effectively and fairly. All complaints/representations will be acknowledged within 3 working days (except those that are resolved by the end of the following working day) The Complaints Plan will be identified within in a further 5 working days of the initial acknowledgement. The response to the complaints, as identified in the Complaints Plan will be concluded in a further 20 working days as a Camden standard. If an independent investigation is commissioned or additional issues are identified whilst the Complaints Plan is being carried out or where other options are explored after being referred back to the Complaints Unit, the maximum time for completion will be 65 working days from the commencement of the Complaints Plan. If it is not possible to provide a response within 6 months from the date the complaint was received (or such longer period as agreed), the Complaints Manager will write to the complainant explaining the reasons and provide a concluding response as soon as is reasonably practicable. 12

13 4.5 Mediation For some representations it will not be appropriate, or possible, to resolve them through the process of enquiry and response. Particularly where there has been a breakdown in the relationship between the service and the service user or where emotions are running high. In these circumstances mediation is an option that will be considered. The complaints manager will make the necessary arrangements after gaining the agreement of both parties. Mediation is not possible without the agreement of those concerned. This agreement will be reflected in the complaint plan and appropriate timescales devised. Mediation by an independent mediator will allow both sides to: express their own views, think about how to put things right come together to reach a solution. 4.6 Extreme Complaints These complaints will require an intense investigation requiring root cause analysis, detailed action plans and lessons learned that need to be indentified. Where applicable refer to the Safeguarding and Complaints protocols. For Safeguarding and Complaints protocols please see APPENDIX 6 a) b) The Complaints Manager will co-ordinate this process in liaison with the Service Manager and other Heads of Service involved. 4.7 Organisational Signing off of complaints All complaints need to be signed-off as being completed as agreed in the complaints plan. For LOW and MEDIUM level complaints this will be undertaken by the Complaints Manager in 5 working days from completion of tasks within the Complaints Plan; Where the process is referred back to explore new / additional options for resolution based on new information or for High and Extreme level complaints then the complaint will be signed of by the Complaints Manager in 10 working days from completion of the Complaints Plan. 13

14 4.8 Investigation guidance Medium and High complaints will usually be dealt with through an independent investigation. More complex complaints and those categorised as High and Extreme will be addressed through investigation by someone completely independent of the service concerned. The process will be Complaint resolution plan is agreed with the complainant. Complaints manager will appoint an investigator Investigator will confirm the complaint with the complainant and agree the remit of their investigation. The Investigating Officer must gain a full understanding of the complaint and in order to do so will gather information by: Interviewing the complainants, staff and anyone else who can assist Looking at relevant records and documents. On the basis of this information the Investigating Officer will form an opinion about whether the complaint is upheld or not and make recommendations about resolution or redress. If the complaint is being made on behalf of a service user they should be seen to confirm whether the complaint reflects their wishes and views, if they are not seen then an explanation for not doing so should be included in the report. (ii) For Investigation Guidance please see APPENDIX Findings When the investigation / enquiries are completed a report will be prepared. This will include: Information about the process of the investigation Description of the complaint A chronology of significant events The information gathered Whether the complaint is upheld or not on the basis of the information Recommendations for resolution Recommendations for service learning and improvement 14

15 4.10 The Investigation Response For all complaints that have been assessed as Medium, High or Extreme a service response meeting may potentially take place with the manager who has been delegated to reach a decision on behalf of the Chief Executive who is the Responsible Person (Reg.4(1)a). For Medium impact issues this will usually be the relevant service manager or Head of Service For High and Extreme complaints this will be the relevant Head of Service or the Assistant Director of Adults Social Care. The service response meeting will address: the findings of the investigation the response to the complainant any learning points and actions that need to be taken within the service. Whether the Head of Service / Assistant Director / Complaints Manager / Investigating Officer (or any appropriate combination) should meet with the complainant to explain the outcome of the complaint and / or any actions that will be taken Response The complainant will receive a letter of response which may include a copy of the Investigating Officers report (where applicable).the person writing the response letter will inform the complainant of: An explanation of how the complaint has been considered; The conclusions in relation to the complaint; The actions that will be taken; Their right to refer the matter to the Local Government Ombudsman if they remain dissatisfied with the response or the way in which their concern has been dealt with. The Complaints Manager will ensure that others involved in the investigation are informed of the outcome Appeal 15

16 If the complainant is dissatisfied with the response to their complaint then the complaint manager in consultation with the Investigating Officer / responding manager will consider: the reasons for the dissatisfaction whether this is a new complaint whether the investigation adequately answered the issue first time round whether there is any new information If it is felt that after this consideration there are grounds to revisit some or all elements of the complaint then this will be agreed with the complainant and the Complaint Plan updated accordingly. If it is decided that there are not grounds then the complainant will be advised of the next stage of the process, which is referral to the Ombudsman. They will be given the necessary information to enable them to do this. 5. Persistent Complainants From time to time we will come across complainants who seek to raise a number of complaints or that become unreasonable in their conduct or expectations around contact. Whilst every effort should be made to address objectively any concerns that are raised we must also seek to be proportionate and not to expose our staff to unreasonable behaviour. With regard to Unreasonable and persistent / vexatious complainants please see APPENDIX 9 6. Organisational Learning It is a vital part of the process that services learn from the representations that are made about their provision. The process that addresses complaints will identify any areas for improvement or learning and will make suggestions for the actions that will be taken. This will be addressed in the response. Where necessary, action plans will be drawn up and responsibilities assigned. The Complaints Unit may initiate a complaints survey to elicit feedback on the performance of the complaints process. The person responsible for ensuring that these actions are followed through will be the Complaints Manager. 16

17 7. Recording The Complaints Manager will keep a record of each complaint, containing all reports, letters, records of meetings and any other relevant papers. An electronic database of all complaints will be maintained. The data base will record: - Service User details [including ethnicity] - Complainant details [if a different person] - Complaint details [who, what and which service under complaint] - Risk analysis / justification - Complaint Plan [Resolution Methods, Complaint Plan amendments, relevant timescales] - Documentation / correspondence A complainant may have worries about the complaint not being kept confidential. If this is the case the detail of the complaint could be kept out of the establishment complaint file & a record placed simply giving the date of the complaint, the person making it & the date it was resolved (detail about the complaint will be kept on the Complaints Manager s complaint file). 8. Monitoring Ongoing and regular monitoring of complaints will be undertaken by the Complaints Unit. The Complaints Manager will ensure that records are kept of each complaint received including; the type of complaint, outcome, whether the timescales in the complaints plan were met and any none personal information about complainants that will help shape and improve services in the future. The breakdown will also include for each area of service the methods of resolution used to achieve the outcomes as agreed with the complainants in the complaints plan. All complaints outcomes with learning opportunities for the department will be monitored and reported back to the Senior Management Team to ensure that they inform service improvement. The Annual Complaints Report will be presented to the Executive Members for Adult Social Care and Health and include details of the activities of the Complaints Unit, any changes to the statutory procedures and a review of the operation, adequacy and 17

18 effectiveness of the Complaints Procedure. The Annual report will be made available to the public by being published on Camden s website. 18

19 APPENDIX 1 Guidance In The Handling Of Independent Provider Complaints If a local authority receives a complaint about the way they have commissioned a service it would be required to be dealt with under the regulations; the local authority s duty is to handle complaints about the exercise of its social services functions (Regulation 6). If the complaint were about the care, then provided that it is still a complaint about the exercise of the local authority function - the fact that the function is being carried out on the local authority s behalf by another body does not alter this, and therefore such complaints would fall within these regulations. The complainant has the choice as to whether to complain to the local authority or to the Provider. If they choose the local authority we would have a duty to deal with it under these Regulations, taking into consideration until 31 st March 2010 (see regulations 2 (2) and 10). After 31 st March 2010 regulations 2(3) and 11 come into operation. Where a local authority has no involvement in funding / commissioning the care, then the complaint falls outside of these Regulations, because in that case the provider is not carrying out a social services function on Camden s behalf. The complainant could choose to complain to the provider, in which case that provider s complaints procedure and policy would apply. It is the responsibility of the local authority as the commissioner of services from Independent Providers to ensure that all service users are afforded access to these and know how to complain. This requirement must be written in the contract. The provider must inform the complainant of their right to bring their complaint directly to us. If we receive such a complaint, we may forward it directly to the provider to respond to. We will expect the provider to send us a copy of their response to the complaint and the Complaints Unit will monitor the outcomes and the client s satisfaction with the provider s response. The Commissioning Team will be informed of such complaints for the purposes of their contract monitoring responsibilities. 19

20 The Providers response must inform the complainant of their right to contact the Complaints Unit if they remain dissatisfied. 20

21 APPENDIX 2 Checklist for staff and Managers receiving complaints 1. Ask the person how they would like to be addressed as Mr, Mrs, Ms or by their first name. 2. If someone has phoned you, offer to call them back and give them the chance to meet face to face to discuss the issue. 3. Ask them how they wish to be kept informed about their complaint is being dealt with by phone, letter, or through a third party such as an advocate, a friend or family member. i. If they say by phone, ask them for times when it is convenient to call and check that they are happy for messages to be left on their answer-phone. ii. If they say by post, make sure that they are happy to receive correspondence at the address given. 4. Check if the person has any disabilities or circumstances you need to take account of (for example, do they require wheelchair access or are they on medication that can make them drowsy?). 5. Offer to meet the person at a location convenient to them. 6. Make the person aware that they can have someone support them throughout the complaints process, including at the first meeting. This may be an advocate. 7. Systematically go through the reasons for the complaint with the person who is unhappy it is important that you understand why they are dissatisfied. 8. Ask them what they would like to happen as a result of the complaints (for example, as apology, reimbursement for costs or loss of personal belongings or an explanation). Tell them at the outset if their expectations are not feasible or realistic. 9. Agree a plan of action, including when and how the person complaining will hear back from our organisation. 10. If you think you can resolve the matter quickly without further investigation do so as long as the person complaining is happy with that and there is no risk to other service users. 11. For any complaints remember to: i. Check if consent is needed to access someone s personal records and ii. Check if consent is needed to access someone s personal records and iii. Let the complainant know the name and contact details of the manager who will investigate their complaint. 21

22 APPENDIX 3 22

23 APPENDIX 4 23

24 APPENDIX 5 Step 3 - Calculate a total triage score Using the scoring template, this will identify the most appropriate methodology - outlined below. 24

25 APPENDIX 6 Safeguarding Adults Process/Complaints procedure protocol Article II. Definition Safeguarding adults process Addresses allegations of harm, or risk of harm, to vulnerable adults. This includes physical, sexual, financial emotional abuse as well as acts of neglect and discrimination. Complaints Addresses complaints about Adults Social Services. It is a an expression of dissatisfaction or disquiet in relation to the service to an individual service user, which requires a response. This protocol is designed to ensure that complaints and safeguarding referrals are dealt with appropriately, that links are made across the two procedures, where called for, to ensure that all issues of concern that are raised are properly addressed. Article III. Safeguarding / complaints process If it is not clear at the start which of the two processes should be used, the complaints manager can be invited to a strategy meeting to advise. A strategy meeting convened in relation to a safeguarding adults issue may decide that the issues are not safeguarding but complaints at this stage the matters can be forwarded to be addressed under the complaint procedure. The complaints manager should be informed at an early stage in order to make the necessary arrangements. If complaint investigations / enquiries raise issues of a safeguarding nature the complaint process should be halted and advice sought from the safeguarding manager. Representations that concern safeguarding & complaint issues. It is possible that any referral / complaint may contain a number of issues that are both complaints and safeguarding concerns. It is possible in such circumstances for both 25

26 procedures to operate side by side. This should be arranged in consultation with the complaints manager and a resolution plan will be drawn up that will reflect each aspect of the representation and state which process is being used to address each aspect this will contain timescales. This plan will be shared with the person making the referral. Where possible the referrer should receive a single response and this should be coordinated between the safeguarding team and the complaints manager. 26

27 APPENDIX 7 Guidance for Investigating Officers. THE PURPOSE of the investigation is to gather the relevant and essential information in order to reach well founded conclusions on the complaint. THE ROLE OF THE INVESTIGATING OFICER You should Make sure you understand what the complaint is and the outcome the complainant is looking for approach the investigation entirely objectively make sure that the investigation is sufficiently thorough and you get all the information you need make sure that you take an even handed approach to all parties involved in the complaint take account of the needs and circumstances of the people you may have to interview during the investigation. not jump to conclusions before all the information is gathered meet timescales work closely with the Complaints Manager, Independent Person and advocate throughout the investigation and report writing stage and in keeping the complainant informed maintain the highest standards of confidentiality be aware of the requirements of data protection PROCESS OF THE INVESTIGATION 1. Meet with the Complaints Manager to discuss the complaint and make an interim plan of the investigation, based on the complaint resolution plan that has already been drawn up. If necessary this can take place over the phone. 2. Make arrangements to meet the complainant, preferably by phone. 27

28 3. Make arrangements to see the files, and to hold interviews with people as agreed with the Complaints Manager (these must not take place until after you have seen the complainant and confirmed the complaint with them). 4. Meet with the complainant. Even though a detailed resolution plan may have been drawn up & agreed this meeting must take place to ensure that you completely understand the detail of the complaint, that all the complainants concerns are included and their desired outcome is clear. At this meeting you will: Introduce yourself and explain your role. Allow the Independent Person (if there is one) to introduce themselves and explain their role. Clearly agree the complaint and all the individual parts to it. Allow the complainant to express how they feel. Ask the complainant if there is anyone that they consider has information relevant to the investigation Establish what outcome the complainant is looking for Check whether the complainant requires any support or representation Explain what the process of the investigation will be. Consider whether the complaint can be resolved without further investigation or whether alternative resolution (e.g mediation) is a more appropriate way of dealing with the complaint. Give an estimate of when the complainant should expect a response and agree how & when updates will be given. (The response should be sent within twenty five working days of this meeting if the complaint is agreed) You may need to be clear with the complainant about what possible outcomes may be so that they do not have unrealistic expectations that the investigation cannot meet. This meeting with the complainant is probably the most important part of the process as it will determine the course of the investigation. It is vital therefore that you are very 28

29 clear that your understanding of the complaint is the same as that of the complainant and that the complainant has confidence in the integrity of your investigation. 5. Confirm the complaint in writing with the complainant. 6. Obtain all the documentation you need for example Consulting case file records Copies of timesheets, log books, diary records (remember electronic records) Relevant policies and procedure documents 7. At this point you may wish to review the list of people you intend to interview and make arrangements with those not already contacted. Interviewees should be advised of what the complaint is (unless to do so would prejudice the investigation) and asked if they would like support in your meeting (usually this would not be their line manager nor anyone involved in the complaint it may be a union representative as long as this does not prolong the process the Complaints Manager will advise if there is any doubt). You should also remind interviewees that they should have the files with them to refer to when you meet. 8. Any professional advice you need in relation to policies, practice or procedures should also be sought. 9. Once you have all the information you need you can compile your report 10. Draft report shared with the Complaints Manager and Independent Person. 11. Relevant sections of the report shared with those interviewed to check for factual accuracy 12. Every effort should be made to conclude the investigation within twenty five working days of the complaint being confirmed. Extensions can be allowed up to 65 working days, all extensions must be agreed with the Complaints Manager and the complainant informed. INTERVIEWING 1. Before the interview takes place you should have a clear idea of the information you are seeking and preferably a list of questions you will ask. 29

30 2. If you expect that an interview is going to be particularly difficult or contentious and there is no Independent Person you should arrange with the Complaints Manager to have a witness. 3. Begin by explaining your role and make sure that the interviewee understands why you are seeing them & what it is that you are seeing them about. 4. Conduct the interviews in as informal and relaxed a way as possible 5. Ensure that you concentrate on fact and not opinion or hearsay, seek supporting information. 6. Ask open not leading questions 7. Try not to express an opinion or give the impression that you have an opinion. 8. You can persist with a question if the answer is not clear. 9. Front line staff should not be asked to justify policies or procedures, such questions should be addressed to managers. 10. A record should be made of the interview and confirmed with the interviewee. The interviewee should sign the record of the interview. THE REPORT 1. Remember that there are a number of possible recipients of this report & that whilst it is written to inform the Local Authority in reaching it s decision on the complaint, it is also written for the complainant and will be a principal source of information should the complaint go to the Ombudsman. You must therefore ensure that the report contains enough detail and is written in such a way that will be understood by and will adequately inform each of those audiences e.g. a. Avoid the use of acronyms b. Avoid the use of jargon c. Do use plain English. 2. The report should follow this outline format a. Brief introduction to the complaint b. Background information, enough to set the context of the complaint. c. The detail of each part of the complaint 30

31 d. The complainants desired outcome e. Outline of the process of the investigation e.g list of people interviewed & whether an advocate or Independent Person was involved f. The findings in relation to each complaint and a conclusion about whether the complaint is upheld or not. g. Recommendations in relation to the desired outcome or other issues the investigation has found. h. Occasionally an investigation may come across issues that are not directly in relation to the complaint or are for the Local Authority only. These should be reported in a separate addendum for the Local Authority. 31

32 APPENDIX 9 Procedure for Persistent or Vexatious Complainants Occasionally complainants may become unreasonably persistent or vexatious there are a number of ways they can do this, for example by: making a series of complaints about a range of different issues making the same complaint in different ways trying to achieve the outcome they want. raising a series of peripheral issues relating to a core complaint. Having an unrealistic expectation about the outcome Dealing with persistent complainants can be time consuming and frustrating and careful consideration must be given about how to deal with their concerns. Just because someone is a persistent complainant does not mean that the complaint is not valid. We do not want to put a limit on the number of complaints an individual can make and we should always deal with complaints in a positive way seeking to find a resolution with the complainant. When receiving a complaint that may be vexatious the following process should be followed: 1. Complaints Manager and Service Manager should review the complaint & if necessary seek further clarification from the complainant so that the complaint is clearly defined. A decision is then made about whether the complainant is a person who may complain ( qualifying individual ) and that the complaint meets the criteria for what a complaint can be made about. If the criteria is met then it is determined whether the complaint is a new complaint, a repeated complaint or a complaint closely related to a previous complaint. They are then to be dealt with as follows. 2. New Complaint The complaint is dealt with through the complaint process. However the Complaints Manager can take a view on proportionality. 32

33 If it is clear that: the complaint is made as a result of a difficult relationship the complainant has with the service area; that seeking a resolution is not the main outcome sought by the complainant; The complaint is not raising significant concerns around areas of practice. then the service area may wish to satisfy itself around the subject of the complaint, but may wish to spend a proportionate amount of time and effort in doing so. The Service Manager and Complaints Manager should make this decision, clearly recording both the decision and the reasons for making it on the complaint file. 3. Repeated Complaint If the complaint has already been dealt with through the complaint process then it cannot be dealt with again. If the complaint did not go through all the procedural options, e.g. mediation / second opinion then the matter will be reconsidered as part of the Complaint Plan and any further options considered, such as investigation ( if suitable). The Complaints Manager will make this decision. If the complaint did exhaust the procedure then the complainant should be advised their recourse is to LGO. The Complaints Manager will write to the complainant advising them of their options. If the complainant refuses to accept this then once the options have been clarified communication with the complainant can cease. 4 A similar complaint If the complaint raises new issues those issues should be dealt with as new complaint as above If no new issues are raised it, in that the complaint is raising old issues in a different way, should be dealt with as repeated complaint as above. If the complaint raises a new issue but the findings are going to be the same as a complaint already investigated then it should be treated as a repeat complaint. 5 Unreasonable behaviour 33

34 In exceptional circumstances a complainant may become excessively obstructive to the process, abusive or threatening. In such circumstances restriction of access to the process can be considered, this could take the form of: requiring communication only in writing requiring communication through a designated officer putting time limit on contact placing restrictions on the number of contacts reaching an agreement on acceptable conduct. In extreme circumstances risk assessments may be conducted and the police involved. If it becomes too difficult to continue with the complaint then it may be necessary to seek early referral to The Local Government Ombudsman. The decision that a complainant is to be regarded as unreasonably persistent will be taken by the Complaints Manager in consultation with the relevant senior manager and then communicated to the complainant with reasons for the decision and the action that will be taken. 34