1.12.4 The Continuum Group Complaints Procedure

Contents

1. What is a Complaint?
2. Who may make a Complaint?
3. Informing Children about the Complaints Procedure
4. Informal Resolution
5. Stage 1: Informal Investigation
6. Stage 2: Formal Investigations
7. Stage 3: Review Panel

1. What is a Complaint?

See detailed Guidance in Section 1, Definition of a Complaint (Resolving Complaints Guidance)

A complaint is an expression of dissatisfaction with something that has failed to occur or which has occurred unacceptably.

A complaint may be about:

• the lack of service
• being refused a service
• the quality of a service
• the attitudes or behaviour of Staff
• decisions made by Staff
• delays in dealing with problems or in providing a service

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

A complaint should normally be made where all other reasonable methods of resolving the dissatisfaction informally have been tried and failed or where the complainant believes they would fail.

Complaints that appear to fall outside these criteria should be referred to the Line Manager for the home/service for advice on the measures to be taken. However, complainants should be advised that complaints can always be directed outside the business, to the Regulatory Authority or Placing Authority. 

2. Who may make a Complaint

The following people have a right to use the complaints procedure:

• a Client/Child within the Home or who has been in receipt of a service from The Continuum Group
• a Parent or carer of a Child
• a person acting on behalf of a Child who is considered to have sufficient interest in the Child's welfare.
• a neighbour living in the locality

Anonymous Complaints

Complaints made anonymously will be recorded and investigated wherever it is possible - anonymous complaints have been invaluable in protecting vulnerable children and should not be ignored. 

3. Informing Children about the Complaints Procedure

See detailed guidance on receiving complaints in Section 2, Guidance for Staff Receiving Complaints (Resolving Complaints Guidance).

Children will be informed about the Complaints Procedures in a variety of ways; including the Children's/Homes Guide or Home's brochure.

Soon after admission, Keyworkers should explain the procedure to Children and ensure they have any guides that are available. Social Workers should ensure that Children are given a copy of the Placing Authority's own procedures (Keyworkers should ensure this is done).

The Children's Guide will provide advice to Children about how to use the procedures to their best advantage; and on the process for investigating complaints.

Where a Child or someone on their behalf expresses a wish to make a complaint, they should be given any other information or advice they require on how to use the Complaints Procedures.

They must also be given information on how to consult or seek advice from an Advocate.

4. Informal Resolution

See additional detailed guidance in: Resolving Complaints Guidance

Complaints, no matter how trivial they appear, must be regarded as confidential, taken seriously and all reasonable efforts taken to resolve them, preferably locally.

Managers/Staff should do what they can to ensure that dissatisfaction are dealt with informally/locally - except in the following circumstances:

• If the complaint is about the Home's Manager or Line Manager, in which case, the Complaints Officer must be notified;
• If the complainant wishes to lodge their complaint formally, directly to the Complaints Officer, for investigation by the Placing Authority or the Regulatory Authority (NB: Complainants can ask for their complaints to be investigated formally at any stage, even if the matter is already being dealt with by the company);
• If the complaint relates to ill treatment or a suspicion of Significant Harm, in which case, the procedures outlined in Child/Adult Protection Procedure must be followed.

As a general rule, managers/staff may not attempt to resolve or investigate complaints made against them or where their independence is compromised.

Under no circumstances should there be reprisals resulting from the making of complaints.

4.1 Informal Resolution (Timescale: 48 Hours)

If it appears that the matter can be resolved locally (see conditions above), within 48 hours, staff/managers should take what action appears to be necessary and should record the complaint and outcome in the Complaints Log/Book.

The Manager should then consult the complainant to ensure they are satisfied and brief their Line Manager if necessary. The Manager must notify the Child's Social Worker.

If the complaint has not been resolved satisfactorily/appropriately, it should be referred under one of the following formal stages:

• Stage 1 Complaints are complaints that are not serious and/or complaints that the manager of the home should be able to resolve within 14 days (see Section 5, Stage 1, Informal Investigation)
• Stage 2 Complaints are complaints that are serious, that have been made about the manager/line manager, that are likely to take more than 14 days to resolve, may require an independent investigation or could not be resolved at Stage 1 (see Section 6, Stage 2: Formal Investigation)

Any informal resolutions will be recorded in the Home's Complaints Book/Log 

5. Stage 1: Informal Investigation

Timescale: 14 Days

See additional detailed guidance in: Resolving Complaints Guidance

Stage 1 Complaints are complaints that are not serious and/or complaints that the manager of the home should be able to resolve within 14 days.

Before undertaking the informal investigation, the Complaints Officer and Line Manager for the home should be consulted, and may require that the matter is dealt with at Stage 2.

If the Complaints Officer agrees, the manager of the home (or a senior member of staff) can conduct the investigation.

The Complaints Officer should advice on the steps that should be taken and may ask to be informed of developments as the investigation progresses.

In the first place, the person investigating it should meet the complainant to clarify the substance of the complaint and put it into writing, giving a copy to the complainant.

If the complaint relates to a Child in the Home, relevant Social Worker(s) must be notified and consulted on the process of the investigation. Consideration must be given to initiating the Placing Authority complaints procedure.

Informal Investigations must be resolved within 14 days unless the complainant agrees otherwise, in writing, a 14 day extension can be given.

Before deciding on the action to take, the Complaints Officer and Line Manager should be consulted.

The complainant should then be notified of the outcome of the complaint, preferably verbally, but always in writing (See 'Recording of Stage 1: Informal Investigations, below). 

The complainant should also be informed of their right to proceed to a Stage 2, Formal Complaints Investigation if they continue to be dissatisfied.

Recording of Stage 1: Informal Investigations

When writing to complainants, Managers should express regret that the complainant felt the Company had given cause for complaint, briefly re-state the complaint, state the action taken and offer suggestions for a resolution.  The complainant should be reminded that any continuing dissatisfaction can be investigated more formally, or by the Regulatory Authority or Placing Authority.  The complainant should also be provided with information e.g. a Complaints Leaflet or copy of the Placing Authority's Complaints Procedure or details of Advocacy Services should s/he wish to do so.

The complainant should be notified they must register their wish to take the matter further within 28 days of receipt of the Manager's letter, a copy of form FHC02 should be enclosed with the letter for this purpose.

The letter of response should always be signed by the author.

Managers will be responsible for ensuring that lessons learned in complaints which could alter the Company's policies and practice are recorded and passed through the line management structure.

If, after 28 days, no response is received from the complainant, the Manager should send a reminder.

Upon completion of Stage 1, after the complainant has responded or has been given sufficient opportunity to (see above), the Manager will ensure that the relevant documentation is completed/brought up to date and copied forwarded to the Complaints Officer and retained on the home's/resource Complaints File (log or register).

The Manager will also complete Form QAF 63/01 and forward it to the Quality Assurance Department. 

6. Stage 2: Formal Investigation

Timescale: 28 Days

See additional detailed guidance in Resolving Complaints Guidance

Complaints that cannot be resolved at Stage 1 must be passed to a Complaints Officer. The matters that must be dealt with at this stage are:

• Serious complaints
• Complaints about the Manager of Line Manager of the home
• Where the complainant is not satisfied with the outcome of Stage 1

Complaints should be put in writing - complainants may need advice or support to do this.  If so Staff may help or the complainant may wish to receive support from a Social Worker or Advocate.  If so, Staff should provide assistance.

Having received the complaint, the Complaints Officer should appoint an independent Investigating Officer, who is out of line management for the home, to undertake the investigation; see Section 7, Role of the Independent Person (Resolving Complaints Guidance)

The Complaints Officer should also consider appointing an Independent Person to shadow/monitor the investigation.

If the complainant may need assistance e.g. an interpreter or special assistance for a disabled person, this must be provided.

The scope and process of the investigation must be agreed with the Investigating Officer (and Independent Person if appointed) and the complainant, any Staff implicated and their Manager must be notified - verbally and in writing.

The Complaints Officer should remind the complainant of their right to have the matter passed to the Regulatory Authority or Placing Authority at any time, and provide advice on accessing support from Advocacy Services, such as VOICE (Voice of the Child in Care).

The Complaints Officer should notify the Placing Authority and Regulatory Authority of any serious complaint being investigated, and the outcome. See Notifiable Events Procedure.

Care will be taken to communicate in a manner appropriate to the complainant, taking into consideration the persons age, ability and personal circumstances. Detailed procedures and guidance for the Complaints Officer and Investigating Officer are provided in Section 5, Guidance for undertaking Stage 2 Investigations (Resolving Complaints Guidance) and Section 6, Guidance for Investigating Officers (Resolving Complaints Guidance)

The Complaints Officer should oversee and monitor the investigation, ensuring it is completed within 28 days, or longer if agreed with the complainant.  When the matter is concluded, the Investigating officer should prepare a report outlining the process and making recommendations which must be passed to the Complaints Officer. If appointed, the Independent Person should be asked to write a separate report.

If necessary, the Complaints Officer should consult colleagues or The Continuum Group Board before coming to any decisions.

The Complainant must be informed of the outcome.

Staff Implicated and their Managers

The complainant must be informed that any continuing dissatisfaction can be resolved via Stage 3 - Review Panel or by the Regulatory Authority or Placing Authority.

6.1 Stage 2 Recording

The Complaints File (log or register) must be updated (if there has already been a Stage 1 Complaint). If there has not been a Stage 1 Complaint it will be necessary to complete form FHC01. Other complaint forms that may be used from this stage are FHC03 complaints feedback, FHC04 access to personal files, FHC05 general third party consent and FHC06 consent for access to personal information.

7. Stage 3: Review Panel

See additional detailed guidance in Section 8, Role of the Review Panel (Resolving Complaints Guidance)

If dissatisfied with the outcome of a Stage 2 Formal Investigation, complainants may request a Stage 3: Review Panel to consider their complaint; they may also ask that their complaint be passed to the Placing Authority or Regulatory Authority.

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.

If it appears that a Stage 3 Review panel should be convened, or a Panel is requested by the Complainant, the Complaints Officer will take necessary action to convene it, in accordance with procedures and guidance outlined in Section 8, Role of the Review Panel (Resolving Complaints Guidance).

End