4.12 Resolving Complaints

SCOPE OF THIS CHAPTER

This Chapter was issued in March 2009 and provides detailed guidance on the receipt and investigation of complaints, separate procedures are provided in The Continuum Groups Complaints Procedure.

Definition of a Complaint
Guidance for Staff Receiving Complaints
Complaints against Staff
Complaints by Staff on behalf of Children/Service Users
Guidance for Undertaking Stage 2 Investigations
Guidance for Investigating Officers
Role of the Independent Person
Role of the Review Panel
Storing Complaints Records
Evaluation and Monitoring

1. Definition of a Complaint

1.1 Child Protection

Complaints or allegations of mistreatment or Significant Harm by Staff/Carers must be dealt with by way of the Child Protection Referral Procedures, not as Complaints.

See Child/Adult Protection Procedure which contains procedures on referring suspicions or allegations of Significant Harm.

1.2 What can be dealt with under this procedure

Most complaints will be about one of the following, although complaints falling outside these categories will be investigated and recorded to the same standard.

Failure to meet a specific standard of service (whether required by law, the Service Contract or Registration) by an individual member of Staff.
The quality of the service provided.
The manner in which a service is delivered.
Discourtesy.
Provision of inaccurate or misleading information.
Discrimination (on the grounds of race/ethnic origin, gender, disability, or age).
Inappropriate action or a failure to act, either by an individual member of Staff or due to a resource allocation by the Company as a whole, for example, failure to provide a particular service).
The attitude or behaviour of members of Staff

The following are examples of complaints under the 'Corporate' heading. This list is not exhaustive but intended as a guide.

The length of time taken to answer the telephone, and the manner in which the telephone is answered and failure to return telephone calls.
Lateness of Staff in keeping appointments.
Failure to inform a service user about: the Complaints Procedure, alterations to the level of service provided, or the cost of a service.
Not looking into a complaint fully enough.

Comments or suggestions about services (or lack of them) and compliments, which fall outside the definition of a complaint or a representation should be recorded, receive an acknowledgement and be used to improve services whenever possible.

1.3 Children Act Complaints

Under section IV of the Children and Young Persons Representations Procedure (Children) Regulations 1991, the Company is required to comply with the full procedure as related in sections I to III of the regulations in regard to any child accommodated in the home where the child is neither Looked After by a Local Authority nor an Accommodated Child on behalf of a voluntary organisation.

In such a case, we are regarded as the responsible authority.

Young persons who have been placed in our homes by Local Authorities have the right to complain to their Social Worker and to the Social Services Department of the Local Authority in whose area the home operates.

The Children Act 1989 Section 26(3) requires the responsible authority to "establish a procedure for considering representations (including any complaints) made to it'.

Government guidance states a "complaint" is a written or oral expression of dissatisfaction or disquiet in relation to an individual child about the Local Authority's exercise of its functions and matters in relation to children accommodated by registered children's homes. 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 about services or about their delivery or non-delivery. (The precise meaning of a complaint is a matter of interpretation by the courts).

Children Act complaints must be confined to complaints about the discharge of any function under Part II of the Children Act 1989

This is not an exhaustive or exclusive list, but is intended as a guide. The nature of the complaint might be about:

Failure to provide a service to a child in need.
Failure to consider the wishes and feelings of the child and other relevant parties.
Failure to keep siblings in contact.
Sexual, physical or emotional abuse or mistreatment by a member of Staff or another resident.
Failure to keep a Parent informed about the child.
Failure to protect a child.
The quality and amount of food, clothing, privacy and contact in a children's home and the appropriateness of the placement.
Failure to inform a child of the Complaints Procedure and/or enable them to use it.

1.4 Meaning of Serious Complaint

Serious complaints include the following (if in doubt consult a Manager):

Significant Harm, which includes sexual, physical or emotional abuse, neglect and serious or persistent harassment or bullying by a member of Staff, other adult or child - such complaints should be reported under the Child Protection Procedures; see Child/Adult Protection Procedure;

A complaint, which is viewed by the complainant as serious;
A complaint where the informal solution is unacceptable to the complainant;
Denial of basic human rights;
Persistent non serious complaints are deemed to be potentially serious;
Potential Gross Misconduct.

1.5 Representations

The Children Act 1989 requires voluntary organisations and registered Children's home to set up representations procedures to consider representations - including complaints, made by or on behalf of children accommodated by them but not looked after by the local authority. The primary legislation and the Representations Procedure (Children) Regulations are a common framework on which all the responsible authorities should build to achieve a procedure and approach which best suits their local needs and organisation structure.

'Representations' will include enquiries and statements about such matters as the availability, delivery and nature of services and will not necessarily be critical. This could be a positive proposal or suggestion that can be acted on and that the child(ren) has a personal interest in.

A parallel way (to the complaints procedure) is developed to consider a proposal for improvement and that the proposal is taken seriously. This, for example, could be the Residents Meetings or another forum. Representations should be recorded and passed to the appropriate Manager. This information will be collated and used to inform Director and Managers about policy and practice "complaints". The individual (s) making a representation should be informed whether their comment or query is being regarded as a representation or complaint at the outset.

1.6 What can not be complained about

For the purposes of this procedure complaints do not include:

Complaints of a general nature that are not concerned with an individual child.
Expressions of dissatisfaction by Staff about their Conditions of Service (see Company Grievance Procedure) or about young people.
Matters that have been fully dealt with by court proceedings.
An expression of dissatisfaction by someone not "qualified to make it"
Dissatisfaction about areas governed by other procedures, e.g. Disciplinary Procedure (confidentiality).

2. Guidance for Staff Receiving Complaints

If someone expresses dissatisfaction or tells you that they wish to make a complaint or representation you should:

Listen
Inform
Refer
Record

Everyone needs to be listened to if they have a problem. People should feel that they can tell you as much or as little as they want. A good listener respects the complainant's decision about how much to tell them.

It is important to:

Respect the complainant's right to tell you as much or as little as they wish.
Concentrate on what the complainant is saying and take it seriously.
Not deter them from complaining if they wish - use it as an opportunity to improve our services.
Try to imagine how you would feel in their situation.

Informing

When you receive an adverse comment, a query, or observation or a minor complaint, you may be able to deal with it immediately by giving advice or information. If this is the case, there is no need to complete a complaints form unless the complainant wishes you to do so.

You should ensure that complainants have a copy of the Company's Complaints Leaflet.

When people are upset it can be tempting to reassure them by making promises - do not do this on behalf of someone else.

Tell the complainant your name.

Referring

Any member of Staff can record a complaint and this should be passed immediately to the Home Manager.

Ask the complainant whether they would like a copy of your record of their complaint and tell them the name of the Home Manager to whom you will refer the matter and any action you will take.

A complainant may request to see a particular Home Manager in which case the member of Staff can refer to that person and take advice as to whether or not it would be appropriate to arrange an informal meeting immediately or to make an appointment.

You should allow the complainant to decide which course of action they would be most comfortable with.

Options you can offer:

an informal discussion with you, a colleague or the Duty Manager
an appointment with the Home Manager
a copy of the Complaints Leaflet to take away and think about
having their complaint recorded by you or a colleague
having their complaint referred to the Complaints Officer.

Recording

All complaints must be recorded. The person receiving the complaint can begin the form then pass it to the Home Manager to be completed when the complaint is concluded.

Sometimes the complainant does not wish to take the matter to be looked into further but would be satisfied with their complaint being recorded and sent to the Complaints Officer as a comment.

The complainant should be given copies of the Complaints Leaflets to take away with a note on it that their complaint has been recorded and the date.

Remember you should NOT:

Assume the complaint could not have happened
Make promises you may not be able to keep
Say that nothing can be done
Send people elsewhere to register the complaint.

IF IN DOUBT, DISCUSS THE SITUATION WITH THE HOME MANAGER OR THE COMPLAINTS OFFICER

3. Complaints against Staff

Complaints naming a particular member of Staff should not be recorded in the member of Staff's personal file unless it becomes a grievance or disciplinary matter.

Complaints naming members of Staff should not be named in the complainant's case file but reference made to the fact that a complaint was received and that details are contained in the Home Complaints File. (Access to this register being only through the Home Manager)

Staff should be informed quickly by their Line Manager (usually within TWO working days) that a complaint has been received about them.

Staff should be directed to see separate procedures regarding allegations against Staff contained in the Continuum Group HR Procedures.

At Stage 1, where the Manager is involved in investigating the complaint, support can be provided by the Complaints Officer. Confidentiality will be strictly protected. Staff may also contact their Union representative or professional association. Further advice may be obtained directly from the Complaints Officer.

At Stage 2, Staff support will be provided in the first instance by the Line Manager, as part of the normal supervision process.

During interviews at Stage 2, Staff can be accompanied by someone of their choice within the Company (with the exception of their Line Manager). Someone from their Union or professional association, or the Complaints Officer can be contacted.

In certain circumstances, Staff Disciplinary Procedure, or criminal proceedings may need to be invoked. In which case, the complaint investigation/resolution will be suspended until the outcome of these alternative proceedings has been determined. Complainants should be sensitively informed as to the reasons for the delay and regularly updated as to the timescale without divulging information about the process or the Company's view of the situation.

Staff will be informed of the outcome of ALL complaints in which they are involved as follows:

the outcome of Stage 1 complaints will be fed back to the member of Staff by the Home Manager
the relevant parts of the outcome of Stage 2 complaints will be fed back by the Home Manager's Line Manager who will have a copy of the report. (The report must be returned to the Complaints Officer for destruction on completion of this action.)

Line Managers must maintain confidentiality in handling and feeding back the outcome, particularly in respect of other members of Staff who may have been involved.

Line Managers should consider offering the Company's counselling service if following a complaint about them, Staff feel this would be appropriate. The counselling service can be accessed by a Line Manager or via the Complaints Officer.

Staff who wish to complain or make representations about conditions of service, management, supervision, training or support should do so using the Grievance Procedure.

4. Complaints by Staff on behalf of Children/Service Users

Staff are among the best judges of good and poor practice and the quality of service provision. They have a duty to report poor practice particularly if someone is being placed "at risk". This is a sensitive area and should be handled appropriately.

Staff who feel they should complain on behalf of a young person should make their opinion known to their Home Manager. These complaints/comments should be positively welcomed, recorded, and acted upon. The person making the complaint should be offered support from their Line Manager but where this is inappropriate the Complaints Officer may also be approached directly.

5. Guidance for undertaking Stage 2 Investigations

This section should be read in conjunction with Section 6, Stage 2: Formal Investigation (Continuum Group Complaints Procedure)

The Investigating Officer will contact the complainant within FIVE working days to arrange to meet. Prior to that meeting, the Investigating Officer will meet with the Independent Person (if appointed). At the meeting with the complainant the complaint should be clarified and recorded and, following the meeting, two typed copies sent to the complainant for signature. It is important to agree the receipt of this written complaint as the commencement date for the 28 days in which the law requires us to complete the investigation.
It is acceptable to negotiate at this point how delays will be notified and negotiated if they prove necessary and how the complainant will be informed of the progress of the complaint.
Delays will only be acceptable in exceptional circumstances and will lead to criticism of the Company.
The Investigating Officer will consider all the circumstances arising from the complaint in line with the Guidance for Investigating Officers. He/she will have access to the records of Staff involved, and to support from the Complaints Officer.
The Independent Person (if appointed) will be fully involved in this process. (see Section 7, Role of the Independent Person)
The Investigating Officer and the Independent Person (if appointed) will provide a timetable for the investigation, which will be sent to the Complaints Officer and the Home Manager. The Investigating Officer will prepare a written report in accordance with the Guidance for Investigating Officers and submit it to the Complaints Officer within a further 14 days. Delays should be reported by any method to the Complaints Officer and in writing to the complainant.
If an Independent Person is involved, the Investigating Officer's Report must be sent to the Independent Person for comment and both documents reviewed by the Complaints Officer before proceeding to para o) below
If at any stage the Investigating Officer feels Disciplinary Procedures should be invoked he/she will inform the Complaints Officer immediately. If at any stage the Investigating Officer finds a way of resolving the complaint, they should discuss this with the Complaints Officer.
The report will be reviewed by the Complaints Officer and two copies passed to the relevant Director who will prepare a response. The response must be discussed with the Complaints Officer and, if necessary, the Independent Person and sent within 7 working days of receipt of the Investigating Officer's Report and the Independent Person's Report to the complainant. This letter should include:
1. The Director's response to the conclusions and findings of the investigation
2. Details of the Company's action plan to carry out the recommendations in the reports
3. A copy of the Investigating Officer's Report and the Independent Person's Report unless there are exceptional reasons why these would not be included
4. The offer of a meeting with the Director and the Complaints Officer to discuss the reports and the response. This is strongly recommended and should be included, if at all appropriate
5. Information as to how to proceed to Stage 3 if they are dissatisfied with the response.
  
  NB:If the complainant is a child or young person the response to the complaint should always be made in person by the Director and the Complaints Officer and then followed by the letter outlined above.
THE AIM WILL BE TO COMPLETE THE INVESTIGATION AND RESPONSE WITHIN 28 DAYS OF THE COMMENCEMENT OF THE INVESTIGATION IN ACCORDANCE WITH OUR STATUTORY OBLIGATIONS. PRIORITY WILL HAVE TO BE GIVEN TO ATTAIN THIS TIMESCALE
The Children Act does not include an extension beyond 28 days, but if exceptional circumstances arise, the complainant must be informed and their written consent obtained to extend the period. At the discretion of the Director, the process at Stage 2 can be suspended if it becomes apparent that either criminal proceedings or disciplinary/grievance procedures should be instituted. The complainant must be informed in writing by the Complaints Officer and continue to be updated of the progress/delay.
On receipt of the response to the complaint (see this Section, last paragraph), the complainant has 28 days in which to consider the response and decide whether or not to accept the findings. If they feel unable to do so, they should notify the Complaints Officer with their reasons within 28 days of the response being sent.
Copies of the Investigating Officer's Report and the Independent Person's Report must be numbered and marked Confidential - Addressee Only. Their circulation is strictly controlled by the Complaints Officer and the reports must not be photocopied or passed to anyone unconnected with the complaint.
A copy of the response and where appropriate the Investigating Officer's and Independent Person's Reports should be sent to the Home Manager of the home involved in the complaint. They will feed back the relevant contents to Staff involved in the investigation and return the reports to the Complaints Officer for destruction.
It is important to monitor the recommendations agreed in complaints and ensure that they are actioned. The Complaints Officer will note the recommendations agreed by the Company and ensure that those which have Company policy and planning implications are recorded on Form QAF 63/01 and forwarded to the Quality Assurance Department for approval and inclusion in future policy/planning. Copies of the Investigating Officer's Report must not be included, to protect the identity of Staff and complainants, unless they are anonymised.

6. Guidance for Investigating Officers

6.1 Prior to the Investigation

Approach the whole subject with an open mind and on the basis that "it COULD have happened".

Ensure that the appropriate line Managers have been informed of the complaint. This should have been done by the Complaints Officer.

Consider the complaint carefully in the first instance and gain some initial information concerning the issues raised.

Check whether you will require expert help or advice or whether the complainant has special needs which you will require assistance to meet.

Where the Complaints Officer has appointed an Independent Person, meet with them to plan the investigation. Read the Guidance for Independent Persons contained in this Procedure (Section 7, Role of the Independent Person).

Make arrangements to ensure confidentiality in the production of letters and reports.

Notify the Complaints Officer if any difficulties arise in undertaking the investigation on time.

6.2 Investigation

It is essential that you fully explain your role to anybody you interview during the investigation.

Always interview the complainant first. This will enable you to confirm the exact nature of the complaint; establish what you can and cannot investigate and establish the outcome which will satisfy the complainant (if you become aware of an intention to apply for compensation you must immediately inform the Complaints Officer).

It is generally good practice to interview the complainant in a place of their choice, probably in their own home. You should allow sufficient time for them to feel that you are taking their concerns seriously. This may take at least 2 hours.

Explain fully your role and seek to demonstrate by all that you do, your independence from the area complained about.

Explain the time-scales involved and the possibility that up to three months may be required in exceptional circumstances, but that this and any other delays will be notified to them.

Record their complaint and prepare two typed copies which should be sent by way of an "agreement" that these are the complaints you will investigate. Failure to do this will possibly lead to dissatisfaction with the investigation and the outcome.

Advise them fully of their rights and the process for the investigation.

Ask them who they would like you to interview but explain that you retain discretion over this.

Keep in mind the report headings (See Section 6.4, Report Headings and Format).

Keep a careful record of all interviews (including those, which are tape-recorded) in case the complaint later proceeds to the Review Panel or your contemporaneous records are required for scrutiny.

After interviewing the complainant it will be necessary to plan, with the Independent Person if involved, who you wish to interview as a consequence of the complainant's statement.

You should develop some kind of framework of events, issues and questions to be looked at.

In summary the aim of the interview is to:

Establish a working relationship with the complainant, ensuring the complainant feels their feelings have been heard and acknowledged.
Establish your credibility.
Explain the process and the time-scales.
Clarify precisely what the complaints are.
Discover what led up to the complaint being made.
Determine a satisfactory and feasible outcome/resolution for the complainant.
Establish the boundaries of the investigation.
Gather evidence relating to the complaint.

You must report to the Complaints Officer immediately if the investigation uncovers issues which may require disciplinary action.

The Investigating Officer may at all times attempt to resolve the complaint by negotiation or mediation between operational Staff and the complainant.

Prepare a chronological statement of facts. This should be sent to the complainant for checking and sent back by return of post. Tell the complainant when you first meet them that you will do this.

Keep to the issues involved and do not get side-tracked.

Retain an open mind - test out your hypothesis - substantiate your opinions in a way which you can later detail in your report.

You have the right of access to all relevant case files, logbooks, official reports and these should be examined as appropriate, you may, and should where necessary, photo-copy them.

Examine as required all relevant policies, procedures, and legislation.

When interviewing Company Staff you should begin wherever possible with the most senior Staff and work down to the Staff closest to the source of the complaint. Staff may be accompanied by a representative of their choice apart from their Line Manager.

You should advise them that under Access to Personal Records Procedure their statements may be made accessible to complainants on request, or deduced from the copy of your report or the Independent Person's Report or at the Stage 3 Review Panel if one is requested. You should ask Staff to sign a letter or note acknowledging that they understand this.

Following all interviews, a typed record must be sent to the interviewee to check for factual accuracy - this must be returned to you within 48 hours by the interviewee.

If a complaint is subsequently made about a member of Staff from another agency you should inform the Managing Director who will take advice on how to proceed.

6.3 Reporting Findings

The report must be written in the format described in Section 6.4, Report Headings and Format.

The report will first be sent to the Complaints Officer who will send it with other relevant reports to the Managing Director. S/he will then write a response to the reports and send them to the complainant.

Keep to the facts when writing your report. Avoid any statements, which are subjective. It is useful to write a chronological report so that the sequence of events is clear to the reader.

Findings should be listed in a clear, simple way, referring to each section of the complaint as agreed with the complainant in writing at the beginning of the process. You should state individually whether each complaint has been substantiated or upheld.

You should finally make clear recommendations as to future actions and any possible resolutions of the complaint.

You should not discuss your findings with anyone other than members of the Board of Directors prior to distribution of their response.

Avoid jargon and abbreviations. Lay people, who will read the report if it goes to Review Panel, must be able to understand it. The report should also be easily understood by the complainant.

On completion of the report send it to the Complaints Officer who will undertake a critical review of the report to ensure the format and content is appropriate and that all aspects of the recorded complaint are addressed with supporting evidence. Amendments may be necessary to ensure consistently high standards.

The Complaints Officer will send a copy to the Independent Person (where appointed) so that they can comment on it and identity any areas of disagreement, and on receipt of the Independent Person's Report, will send both to the Managing Director. If there is no Independent Person, your report will be sent straight to the Managing Director.

The Managing Director responsible will then write a response to the report(s). A copy of your report and the Independent Person's Report will usually accompany the Managing Director's response to the complainant.

The Investigating Officer's and Independent Person's Reports are the property of the Company, and the Directors have the discretion not to release them, but this will only be in exceptional circumstances, and they will in any event be made available at the Review Panel if one is requested.

You should make a supplementary Confidential Report if the complaint raises issues which the complainant does not identify but which have implications for the policy, planning or good practice of the Company. This can be a contentious issue, as this report will not be made available to the complainant or the Review Panel. This should be sent to the Complaints Officer who will ensure it is recorded, monitored and forwarded to the relevant Director.

6.4 Report Headings and Format

Please use this standard format when writing the report of your investigation. This will assist greatly in producing reports that are easy to assimilate, respond to and take action on. Remember that the report is written for the Company and the complainant.

The report should be written under the following headings:

The Complaint

The complaint, as agreed in writing with the complainant, should be described in detail and be an accurate reflection of the complainant's perceptions. It should include areas which the complainant wished to have investigated but which you felt you could not, and include your reasons, e.g. the complaint was against other agencies or authorities, or was of too general a nature. The original signed copy must be included as Appendix 1.
The Investigation

A short description of how the investigation was carried out, listing who was involved, who was interviewed, and what files or documents were examined.
Relevant Legislation, Policy Research and Procedures if any

Give brief descriptions and include as a bibliography if you wish.
Background to the Complaint

Description of events that led up to the complaint.
Facts Relevant to the Complaint

A detailed, factual record in chronological order composed as a result of interviews and the examination of records.
Conclusions and Findings

Your views on the complaint covering each one in the order described in a. The Complaint above.
Recommendations

This will contain suggestions as to how the complaint could be resolved and what actions the Company might take.
Supplementary Report

You may wish to write a separate report to highlight, for senior Managers, aspects of the complaint, Staff, or the service that you feel warrants their attention, but was not appropriate for the complainant to read. Before writing this report, seek the advice of the Complaints Officer, as there is a potential for conflict. The report would be strictly confidential and therefore not made available to the complainant or a Review Panel. However, it would be available to the Managing Director who may then decide not to accept the Review Panel's recommendations.

NB:On receipt of the Company's response to the complaint, return all your notes, papers etc. to the Complaints Officer for secure storage or disposal.

7. Role of the Independent Person

An Independent Person is:

Not a current or former member of the Staff or director of the Company
Not the spouse or partner of a current or former member of the Staff or Director of the Company
Not an advocate for the child nor an investigator; his/her role is to provide an objective element in the Company's considerations.
Impartial i.e. not on anyone's 'side'
Required to provide an objective element in the consideration of the complaint and to ensure the matter is dealt with fairly
Good at listening to what people have to say
Knowledgeable about residential services for children so that he/she can understand the background to the complaint. She/he is not necessarily a Social Worker by training and can come from any walk of life
Be checked through the Criminal Records Bureau (CRB) process to ensure they are suitable to be working with vulnerable young people

The Independent Person will:

Have received written consent to have access to the complainant's files
Treat all aspects of the complaint with strict confidentiality
Begin by first meeting the Complaints Officer and the Investigating Officer to plan the investigation
See the complainant alone without the investigation officer, if the complainant wishes, to agree the content of the complaint
See the complainant with the investigating officer to hear about the complaint
With the investigating officer, see other people involved in the complaint -then be invited to attend any meetings in connection with the complaint
Be informed of all information relevant to the complaint
Have the right to give evidence to a Review Panel, if the complaint proceeds to that stage.

The Company cannot direct independent persons to see or interview anyone. It is for them to decide how many interviews they will attend in order to satisfy themselves that the complaint has been thoroughly investigated.

8. Role of the Review Panel

8.1 Purpose and Remit of the Review Panel

The purpose of the Review Panel is to review the consideration and response to the Complainant if the Complainant remains dissatisfied after Stage 2. The Review Panel will examine objectively and independently the facts and opinions presented by the Complainant and the Company representations and then make recommendations to the Managing Director within 24 hours.

8.2 Composition of the Review Panel and Others Attending

The Review Panel is made up of three people independent of the Company one of whom is normally an independent solicitor and acts as the Chair.

The Complainants and, if they wish, their witnesses will be invited to attend.

The Company is usually represented by the appropriate Director.

The Independent Person involved at Stage 2 complaint will be invited to attend.

The Investigating Officer will be invited to attend.

The Director attending as the Company's representative may call other Company Staff to attend. Suggestions may be forwarded to the Director by the Complaints Officer to ensure the Panel has access to all relevant information. The complainant will be advised of the Company personnel attending 10 days before the Panel convenes.

The Complaints Officer acts as the Panel adviser.

It is important to note that the Review Panel is part of the process of hearing the complaint.

8.3 Handling Confidential Information

If the Company's representative is aware of any issues which have a bearing on the complaint but need to be kept confidential from the complainant and the Panel, the complainant and the Panel should be informed. The information will be made available to the Director, who may decide not to accept the Panel's recommendations in the light of the confidential information.

The facility for confidential evidence will only be appropriate in situations where they are likely to have a bearing on the recommendations.

8.4 Recording the Panel Proceedings

The proceedings will be minuted by the Company.

8.5 Handling the Outcome

On receipt of the Panel recommendations the Managing Director has 28 days in which to provide a written response to the complainant (in Children Act complaints this will include consultation with the Chair of the Panel) giving his/her view on the recommendations and proposed action.

8.6 Key principles of the Review Panel

to consider complaints under the Local Authority Social Services Act 1970, as amended by the National Health Service and Community Care Act 1990 and the Children Act 1989. NB. Complaints under other legislation and other complaints procedures e.g. the Corporate ("non- statutory') Procedure will NOT be considered by the Review Panel but will be considered at the third stage by the Managing Director (see this Section 8.7, Complaints under Corporate Complaints Procedure)
to review the process of the complaint i.e. whether it has been properly considered by the Investigating Officer and whether the Company's response is adequate and appropriate
to ensure that every part of the complaint has been looked into fairly
to use a problem solving approach, not an inquisitorial or legalistic process
to see Staff involved separately if the Chairperson so wishes in order to clarify certain points
to deal with Staff fairly and not subject them to interrogation by the Panel or the complainant
to adjourn if appropriate during the hearing to confer and discuss the progress
to seek a resolution if at all possible
to record its recommendations in writing at the meeting or (under The Children Act 1989) meet again within 24 hours of the meeting, to reach a final decision and draw up recommendations

If the complainant informs the Complaints Officer in writing within 28 days of the date on which the letter of response was sent that he/she is dissatisfied with the outcome of the Stage 2 Investigation and wishes the matter to be referred to a panel for review, then the Complaints Officer will discuss the situation with the appropriate Director and wherever appropriate offer a meeting with the complainant, the Director and the Complaints Officer. These have proved to be helpful in resolving the complaints and avoiding inappropriate Review Panels. There should be no attempt to dissuade complainants from proceeding to Stage 3 and if they elect to do so after the meeting, the Complaints Officer will establish the Review Panel in accordance with this procedure.

The Panel will comprise three independent people i.e. people who are not current or past employees. The Company will appoint as chair of the Panel an independent solicitor and the persons appointed are to be drawn from a list of appropriate people maintained by the Complaints Officer. There is nothing to preclude the Independent Person who was involved in the Stage 2 consideration being appointed but in order to provide a new objectivity such an appointment will not usually be made.

The Panel must meet within 28 days of the receipt by the Complaints Officer of a request for a review.

At least 10 days before the Panel convenes, the Complaints Officer will:

Write to the complainant, their representative and, if appointed, the Independent Person and invite them to attend the Panel. The letter will include:

the date, time and venue of the Panel
the names and status of the Panel members
which officers of the Company will be present
the fact that the proceedings will be minuted by the Complaints Administrator or a minute taker appointed by the Complaints Officer
their right to make written submissions to the Panel before the meeting and that this information will be given to the Company's representative before the Panel meets
their right to make oral representations to the Panel at the meeting
their right to see copies of the statements sent to the Panel by the Company's representatives
a request to limit their "witnesses" to a maximum of five
their right to be accompanied by another person who will be permitted to attend the whole of the meeting and represent them if they wish. Solicitors may be chosen by the complainant as their "supporter" but they should not act in a legal capacity
their right to be provided with relevant support if their chosen language is not English or if they have a disability.

10 days before the hearing the Complaints Officer will write to the Panel members and:

inform them of the date, time and venue of the Panel
advise them to request specific written material e.g. copies of legislation etc. from the Complaints Officer if they require them
enclose copies of all relevant reports and information adding that an exchange of documents will take place
inform them that 5 days before the Panel, the Company's and the complainant's statements will be exchanged and sent to the Panel
inform them by whom the Company will be represented
inform them that the Panel proceedings will be manually minuted.

5 days before the Panel is due to meet, copies of documents from the complainant and the Company will be exchanged.

The Panel will be conducted with dignity, but in as informal a style as possible consistent with a full hearing, to consider all aspects of the matter under consideration.

The Complaints Officer will provide all necessary support advice and guidance to the complainants, the Panel and Staff retaining an impartial role, representing neither side.

The proceedings will be minuted by the Complaints Administrator or by a minute taker appointed by the Complaints Officer.

On completion of its deliberations, the Panel must record its recommendations at the meeting in respect of complaints under the Children Act, or meet again within 24 hours to do so.

The Complaints Officer will then send written copies of the recommendations to:

the complainant
if appropriate, the person on whose behalf the complaint was made
the Managing Director
the Investigating Officer involved at Stage 2
any other person whom the Complaints Officer considers has sufficient legitimate interest in the case.

The letter of notification should:

explain simply and clearly the recommendations and the reasons for them
advise the complainant that the Directors of the Company are required to have due regard to the Panel's recommendations
inform the complainant of any disagreement by a Panel member, including that person's opinions and their reasons.

Once the Review Panel has been completed, the Managing Director:

considers the Company's original decision in the light of the Panel's recommendations and consults (in respect of complaints under Part III of the Children Act 1989) with the Independent Chair of the Panel and decides what action to take
notifies the complainant, (including the child if it is considered he/she has sufficient understanding), the Panel members, the Independent Person, relevant members of Staff and any other persons interested in the outcome and the reasons for it within 28 days of the Panel convening
sets out in full (following legal advice) his reasons for not accepting any of the Panel recommendations. Failure to do so without good reason may result in judicial review.

On receipt of the Managing Director's response, the Complaints Officer ensures all Review Panel papers are returned to and held securely in the Head Office for a period of six years.

The Managing Director will arrange for explanations to be given in person, in advance of the his formal response, by an appropriate member of Staff (but not the same member of Staff involved in the complaint) to: the child, the Parents and to other complainants if appropriate. Children may need reassurance and an opportunity to discuss their reactions to the response whether or not the response is one they agree with.

The Managing Director will ensure that Staff involved in the matter complained of also receive feedback by their Line Manager.

Staff who do not receive feedback should request this from their Manager or inform the Complaints Officer.

Complainants who remain dissatisfied after this Stage will be advised to contact the Regulatory Authority, the Secretary of State or a legal representative.

8.7 Complaints under Corporate Complaints Procedure

All Stage 3 complaints, other than those investigated under the Children Act 1989, will be investigated by the Board of Directors or by those appointed by the Board to do so on their behalf.

9. Storing Complaints Records

Case files should indicate that a complaint was received and record the date. No further details of the content of the complaint should be recorded on the case file but a reference to the information being held in the Home Complaints File should be made (this file being only accessible to Home Managers and above).

Specific recommendations or agreements made as a result of a complaint investigation MUST be recorded on the case file and followed/acted upon.

Each home will hold in a secure place with restricted access a Home Complaint File in accordance with Operational Instructions. This will be made available to Line Managers, the Complaints Officer and Inspectors on request.

The Operations Manager will hold in a secure place a Complaints Management File, which will include a copy of all complaints received in the homes they line-manage in accordance with Operational Instructions . This will be available for inspection by the Complaints Officer and Inspectors. Reviewing the contents of these files periodically and discussing complaint handling with Home Managers regularly must be undertaken as a key management task.

Retention of complaint records should be in accordance with Operational Instructions, or at a minimum 6 years after a child's 16th birthday.

10. Evaluation and Monitoring

All Managers will keep accurate records.

On completion of the complaint Form, distribution will be as described. The Complaints Officer will maintain the Company's Complaints Database.

Stage 2 complaints will be registered and monitored by the Complaints Officer in accordance with this procedure.

The Complaints Officer will ensure that policy or procedural matters in need of immediate implementation are brought to the attention of the Company's Senior management.

The Complaints Officer will ensure that full details of every complaint received and considered under this procedure are kept in Head Office. Particular attention will be given to the achievement or otherwise of all timescales described in the procedure.

End