9.3 Complaints

1. Introduction

Adult Social Care services are provided by the Northern Care Alliance on behalf of Salford City Council.

This procedure sets out how concerns, complaints and representations will be investigated.

It also includes how to appeal a decision and how to make a compliment about the service you received.

It aligns to:

• The Local Authority Social Services and National Health Service Complaints (England) Regulations 2009; and
• Northern Care Alliance complaints policies and procedures.

2. Objectives

This procedure should:

• provide people with timely resolution to their complaint;
• be simple, accessible, fair and transparent;
• empower all staff, where appropriate to deal with informal complaints;
• enable Adult Social Care to learn from complaints and improve services.

To achieve this, we will adopt the Principles of Good Complaint Handling set out in Section 3.

3. Principles of Good Complaint Handling

We will respond appropriately to complaints, including:

• getting it right (legally and procedurally); we will comply with the law and follow our policies and procedures.
• being customer focused; our complaints and appeals process will be easy for people to find and use, including those needing reasonable adjustments. It will be made available in different formats and languages on request. We will keep people informed if there are delays in responding to a complaint.
• being open and accountable; our processes will be transparent, and we will be honest when things have gone wrong.
• acting fairly and proportionately; decisions made by complaint investigators will be based on sound evidence and will explain clearly why they were made. Wherever possible we will resolve complaints informally to minimise the impact on people.
• putting things right; if we have done something wrong, we will apologise and take steps to put right any injustice caused.
• seeking continuous improvement; we will identify lessons and use these to improve services and prevent future complaints.

We will ensure that Adult Social Care complaint handling aligns to all requirements as set out in:

Principles of Good Complaint Handling (Parliamentary and Health Service Ombudsman)

Principles of Good Administrative Practice (Local Government and Social Care Ombudsman)

4. Joint Complaints with Health and other Partner Organisations

Where a complaint involves two or more organisations, we aim to provide a single co-ordinated response.

We will discuss with you the most appropriate way for the complaint to be investigated and responded to and will seek your consent to share your personal information between organisations, for the purpose of investigating and responding to your complaint.

If you do not want your information to be shared, we will only respond to the complaint we can deal with.

5. Who can Complain?

A person who receives or has received a service from Adult Social Care can complain.

We will also consider complaints from a person who affected by an action, omission, or decision by Adult Social Care.

A carer, relative or other representative can make a complaint on your behalf, provided they have your consent to do this. We will usually ask for your written consent, so that you are aware of the complaint and that the investigation will include accessing your social care records (and health records for a joint complaint), and information is likely to be shared with your representative.

We must be satisfied that a representative is acting in the best interests of a person if they are making a complaint on behalf of someone who is unable to provide consent (because of physical capacity or lacks capacity within the meaning of the Mental Capacity Act (2005) or who has died.

Where Adult Social Care is satisfied that a representative is not making a complaint (or MP/Councillor Enquiry) in the best interests of the individual or they do not have sufficient interest or if appropriate consent is not provided, we will not consider the complaint further. We will advise the representative of our decision in writing.

An eligible person wishing to make a complaint may require the support of an advocate (see Section 12, Supporting People to Complain).

A service should not be delayed, withdrawn or suspended because a person has made a complaint.

6. What can People Complain About?

The Adult Social Care complaints procedure may be used in relation to:

• quality or appropriateness of service;
• delays in decision making or service provision;
• failure to provide a service;
• incorrect charges;
• attitude or behaviour of staff;
• application of eligibility or assessment criteria;
• assessments, reviews and care plans.

This is not an exhaustive list. For further advice, contact the Adult Social Care complaints service.

6.1 Appeals

The complaints procedure includes an appeal process if you disagree with the outcome (decision) of an assessment. This applies to social care assessments and support plans; disabled facilities grant assessments and financial assessments.

To appeal, you should have new information or believe that the person that assessed your needs did not take into account or understand something you told them.

You should complete the appeals form see Appealing against an adult social care assessment or support plan (opens in Salford City Council website).

If following the appeal decision, you remain dissatisfied, you will be advised that you are entitled to make a complaint to the Local Government and Social Care Ombudsman.

7. Complaints and Concerns which do not fall under this Procedure

The Salford Adult Social Care complaints procedure does not apply when the complaint:

• relates to the actions of another local authority;
• is being made by a responsible body (e.g. another local authority, NHS body, primary care provider or independent provider, including their members of staff, whilst acting as members of staff and not as people using services, carers and relatives);
• is made by an employee about any matter relating to their employment, including redundancy and pensions;
• has been made verbally and is resolved to the complaint’s satisfaction by the end of the following working day;
• where the issue has been investigated and responded to previously;
• has been investigated, or is being investigated, by the Local Government and Social Care Ombudsman;
• is regarding the alleged failure to comply with a request for information under the Freedom of Information Act 2000;
• is about privately funded care at home, or in a care home / nursing home, e.g. not being able to complain about services purchased using a direct payment. However, we can consider concerns and complaints about the allocation of the funding, or the support Adult Social Care has provided to help direct payment recipients manage their payments;
• relates to an event that took place more than 12 months before (although discretion may be used if there is a good reason why the person did not make an earlier complaint and there is a reasonable possibility for the complaint to be effectively investigated. Where is is decided not to investigate, the complainant will have the opportunity to approach the Local Government and Social Care Ombudsman).
• is about a court decision;
• should be dealt with under court proceedings, criminal proceedings, disciplinary proceedings, grievance proceedings or a tribunal;
• involves serious concerns about an adult’ s wellbeing which will be consider under safeguarding procedures (see Section 10.3, Safeguarding).

8. Time Limit for Making a Complaint

A complaint must be made not later than twelve months from the date the issue occurred or came to the notice of the complainant.

If there is a valid reason why the complainant did not or could not make the complaint within the timescale and it is possible to investigate the complaint fairly and effectively the complaint will be considered.

If we decide not to investigate, we will explain this to you in writing. You will have the option to approach the Local Government and Social Care Ombudsman.

9. Concerns and Complaints – How to Complain

Ensure you are complaining to the right organisation and that complaints is the right procedure for your concerns For example, see Appealing against an adult social care assessment or support plan (opens in Salford City Council website).

Don’t delay – We aim to resolve your concerns as quickly and informally as possible. Let the allocated worker or their manager know of your concerns and dissatisfaction as soon as possible. This will allow them to try to put things right quicky.

If your concerns are not resolved informally, you may wish to make a complaint to the Adult Social Care, Customer Care and Complaints service.

10. Action to be Taken by Staff on Receiving a Complaint

The initial contact the service has with a person who is unhappy with the service they have been given is key.

10.1 Informal Resolution

Informal complaints received by the service

Any person expressing a concern about a service should be listened to by front-line staff, so that the nature of the complaint is properly understood and wherever possible the issue can be resolved quickly and informally;  for example by a change in arrangements which can be managed easily within the person’s overall plan, an apology, reassessment of the person’s needs, assurances that the service will monitor the effectiveness of the remedy.

Where a quick resolution is possible without further investigation, for example through an apology, this should be done with the agreement of the relevant operational team manager so long as the complainant is happy with this outcome and there are no risks to others using services, for example because the complaint raises serious issues.

Front line staff must be aware that:

• An individual should not have to use the word ‘complaint’ for it to be treated as such.
• Repeat unresolved issues may need to be investigated via a formal complaint investigation.
• Informal resolution should not be used to prevent a person making a complaint under the Adult Social Care complaints legislation.
• Staff must be able to:
  • distinguish serious issues, that even if raised informally, need to be brought to the attention of senior managers, for example concerns that should be investigated under safeguarding procedures (see Section 10.3, Safeguarding) or highlight wider service issues.

Complaints that have been resolved informally by front line staff will not be dealt with under the formal complaints procedure.

Informal complaints should be recorded and forwarded to the Complaints Service, to inform good practice, service development and capture lessons learned.

10.2 Formal Complaints

If informal resolution has not been achieved, or it is clear that the person wishes to make a formal complaint, this should be passed to the relevant operational team manager or equivalent. It is crucial for this manager to obtain all information that will allow the seriousness of the complaint to be assessed correctly and to enable the complaint to be resolved quickly if possible.

After receiving a complaint where a quick resolution is not possible, the Complaints Service should be notified within one working day.

The Complaints Service should acknowledge complaints within 3 working days.

The Complaints Service will liaise with the complainant to agree a complaint action plan or complaint statement; identifying complaint issues, the impact and desired outcomes, explain complaints, advocacy support services and the complaints investigation process including how and when the complainant will receive progress reports, the timescale for a final response and next steps if they remain dissatisfied.

Complaints can be resolved more effectively if it has been made clear from the outset what the person complaining expects as an outcome. If this is not a feasible or realistic outcome, then this must be explained to the complainant.

The Complaints Service will identify a lead person to respond to the complaint. This person should make contact with the complainant / their representative.

Where the complaint relates to two organisations, it should be agreed between the relevant organisations which of them will take the lead and a single point of contact should be given to the complainant.

The lead person will then be responsible for liaising with the other organisation and the complainant throughout the duration of the complaint.

Complaints can be resolved more effectively if it has been made clear from the outset what the person complaining expects as an outcome. If this is not a feasible or realistic outcome, then this must be explained to the complainant.

10.3 Safeguarding

Where any safeguarding issues are identified, the member of staff or manager should immediately refer the concerns under the Salford Safeguarding Adults Board procedures (see the chapter on Responding to Safeguarding Concerns).

If a complaint raises concern that an adult may be at risk of abuse or neglect, will be immediately referred to a Principal Manager for advice. If a safeguarding investigation applies, this will take priority over a complaint investigation, because we need to address any risks to that person or others.

At this point the complaint will be withdrawn.

If following the safeguarding investigation, the complainant wishes to pursue their complaint it will be reconsidered.

11. Publicising the Complaints Procedure

People using services should be informed of this Complaints Procedure and how they can use it.

Adult Social Care employees and partners who deliver services on our behalf, will advise people how to complain and who to complain to.

See Adult social care appreciation, complaints or concerns (opens in Salford City Council website).

People must have access to advice and information about making complaints including how to complain and who to. Information should be jargon free, user friendly, available in different formats and languages and give advice on how to obtain more information and support.

Translation and interpretation facilities should be available if needed (see Interpreting, Signing and Communication Needs chapter).

People using services should also be advised that they can make a complaint directly to the Local Government and Social Care Ombudsman.

12. Supporting People to Complain

There are many reasons why someone might need support in making a complaint (e.g. disability, language, age) and there are a number of services that help.

• The Complaints Service can provide advice and support to people who receive services and their representatives (see Local Contacts).
• MIND in Salford Advocacy services can be used to help some people to make a complaint and to provide support given during the investigation process.
• Healthwatch Salford is the independent and social care services champion, gathering and representing the views of residents to influence the planning and delivery of health and social care services.

13. Investigating the Complaint

The purpose of the investigation is to establish the facts of what occurred. This should include – where appropriate – reviewing records, interviewing staff, conducting visits to the location involved and receiving specialist advice.

The person appointed as complaints investigator will usually be the manager of the service(s) that the complaint relates to, as they will be the person with the most experience and knowledge of the service.

The investigator should be appropriately experienced and trained in complaint investigations. Some cases will require the appointment of an investigator from another service area or an independent external investigator.

It is important that investigators are seen to be objective and unbiased.

The investigator will make every effort to interview all relevant parties including the complainant and any witnesses to events, such as staff, family members or other partners.

The complaint should be investigated to the extent necessary and in the manner in which appears to be the most appropriate to resolve the issues speedily and efficiently.

Once evidence has been collated and analysed the investigator should produce a response letter setting out a summary of the complaint, methodology used during the investigation, key findings, conclusions and, where appropriate, recommendations for action.

The decision made by the investigator should be fair and reasonable.

The response letter will be sent the Complaints Service for quality checks, recording and forwarding to the complainant.

Mediation may be useful in some cases.

During the investigation we aim to inform the complainant of any delays.

14. The Outcome

The complaint response letter will summarise the findings and outline as appropriate,

• the complaint;
• how it was considered;
• apology for distress or errors;
• lessons learned;
• proposed resolution of the complaint;
• recommendations for action which have already been taken or are proposed.

Prior to the response letter being sent, the outcome should be agreed with the relevant manager(s).

It may be agreed that an invitation to the complainant for a meeting in person to go through the points in the letter would be useful.

The letter will inform the complainant of their right to take the matter to the Local Government and Social Care Ombudsman, if they are not satisfied.

15. Representations to MP, Councillor or City Mayor

If a person chooses to address their enquiry, concern or complaint to an MP, Councillor or the City Mayor they are entitled to do so. These are treated as Enquiries and fall outside of the Adult Social Care complaints process.

MPs, Councillors and the City Mayor should forward Adult Social Care Enquiries via the agreed Enquiry process.

Where an Enquiry is made by a 3rd party representative (e.g. family member or friend) appropriate consent from the person is required. This is in accordance with the Data Protection Act 1998 (what does it say about Consent?)Check privacy statement

16. Managing Persistent, Habitual or Unreasonable Individuals

Unreasonably demanding, persistent and / or habitual individuals are those who, because of the frequency or nature of their contacts, hinder the consideration of their or other peoples’ complaints and or care and support.
If all reasonable measures have been taken to resolve complaint issues (following Adult Social Care’s Complaints Procedures) the Northern Alliance NHS Foundation Trust policy Management of Persistent, Habitual and/or Unreasonable Individuals, is used as a last resort.

Complainants may be considered as Persistent, Habitual and/or Unreasonable, for example by:

• Introduction of trivial or irrelevant new information and expecting it to be taken into account and commented on, or raising large numbers of detailed but unimportant / specific questions and insisting they are all fully answered.
• Adopting a ‘scattergun’ approach – pursing a complaint with more than one service at a time, at the same time, with other Directorates within the Council and/or with other parties e.g. Members of Parliament, Councillors, the Police or solicitors.
• Making excessive demands on the time and resources of staff whilst the complaint is being investigated – e.g. excessive telephoning or sending emails to numerous staff. Writing lengthy complex letters every few days and expecting immediate responses.
• Submission of repeat complaints – after the complaints process has been completed – essentially about the same issue but with additions / variations which the complainant insists make these ‘new’ complaints which they want to be considered as new complaints.
• Refusal to accept the decision reached on the complaint – repeatedly arguing the point and complaining about the decision.

In extreme circumstances risk assessments may be conducted and the police involved. It may be necessary to seek early referral to the Local Government and Social Care Ombudsman should the relationship between the complainant and the local authority staff become too challenging.

17. Learning Lessons

The Complaints Service should keep a record of complaints, including outcomes and lessons learned and trends, together with any actions taken to improve services.

This information will be is shared quarterly with all the Principal Manager and Head of Service for Complaints and Quality Assurance, the Workforce & Training Manager and all Principal Managers, managers to enable wider learning.

An annual report is produced by the Complaints Service and presented to senior managers, including managers in Adult Social Care, the Northern Care Alliance and Salford City Council and with Salford Councillors includes:

• the number of complaints received;
• the number of complaints which were well-founded;
• the number of complaints referred to the Local Government & Social Care Ombudsman;
• summary of the subject matter of complaints received. Any matters of general importance arising out of complaints, or the way in which complaints were handled; and
• lessons learned and actions taken to improve services.

18. Compliments

Adult Social Care welcomes compliments from people using our services and partner organisations. Compliments and success stories help us to understand what we do well, we share this feedback to improve services.

To make a compliment, see Appreciation, concerns or complaints about Adult Social Care (opens in Salford City Council website).

19. Further Reading

Principles of Good Administrative Practice (Local Government and Social Care Ombudsman)

Principles of Good Complaint Handling (Parliamentary and Health Service Ombudsman)

Adult Social Care Resources (Local Government and Social Care Ombudsman)