Complaints Procedure Plus Form 

Regulation 16: Receiving and Acting on Complaints 

Scope 

• Policy Statement 

• The Policy 

• Aim of the Complaints Procedure 

• Children’s Services  

• How to Raise a Complaint  

• Responsibilities 

• Complaints concerning the Manager or Nominated Individual  

• Complaints from a representative 

• Complaints Procedure 

• Vexacious Complainers 

• Local Government Ombudsman (LGO) 

• Raising a concern with the Care Quality Commission (CQC) 

• Local Authority-funded Clients 

• Quality Management  

• Relevant Contacts 

• Related Guidance 

• Training Statement 

Policy Statement 

This policy should be read in conjunction with the following policies: 

• Accessible Information and Communication 

• Adult Safeguarding 

• Consent 

• Data Protection (UK GDPR) 

• Dignity and Respect 

• Duty of Candour 

• Good Governance and Quality Management 

• Grievance 

• Whistleblowing 

Constantia Care Ltd’s policy is intended to comply with Regulation 16 of the Fundamental Standard Regulations. 

Constantia Care Ltd accepts the rights of Clients, families and advocates to make complaints and to register comments and concerns about the services received. It further accepts that they should find it easy to do so. Clients and families are provided with clear information on how to make a complaint and our staff are competent to always support individuals with making a complaint. 

It welcomes complaints as opportunities to learn, adapt, improve, and provide better services. 

Our organisation will comply with legislation, national guidelines, regulations and best practice when managing complaints and suggestions. In accordance with the Equality Act 2010, we will ensure our processes are fair and transparent and do not discriminate directly or indirectly, against those with protected characteristics. 

All records are kept, stored and shared in accordance with the organisation’s Data Protection policy, which aligns with the UK GDPR and the Data Protection Act 2018.  

The Policy 

This policy is intended to ensure that complaints are dealt with properly and that all complaints or comments by Clients or their relatives, carers, and advocates are taken seriously. It is not designed to apportion blame, consider the possibility of negligence, or provide compensation. It is not part of the company’s Disciplinary Policy or Grievance Process.  

This organisation believes that failure to listen to or acknowledge complaints leads to an aggravation of problems, Client dissatisfaction, and possible litigation. The organisation supports the idea that most complaints if dealt with early, openly, and honestly, can be sorted at a local level between just the complainant and the organisation. The complaints procedure is made available to Clients and families in their Clients guide. A copy is always kept in their care plan in their homes and available in a format that can be understood. 

ADASS has published a Good Practice Guide on Handling Complaints concerning Adults and Children in Social Care Settings. They have identified the following five principles: 

• Ensure that the complaints process is accessible 

• Ensure that the complaints process is straightforward for Clients and their representatives  

• Ensure that an appropriate system is in place to keep Clients informed throughout the complaints process 

• Ensure that the complaints process is resolution-focused  

• Ensure that quality assurance processes are in place to enable organisational learning and service improvement from complaints and customer feedback 

Any complaints made by staff will be signposted to the Grievance policy if the  

the complaint relates to them as an individual, or via the Whistleblowing policy  

where a protected disclosure is made. 

Aim of the Complaints Procedure 

We aim to ensure that the complaints procedure is properly and effectively implemented and that Clients feel confident that their complaints and worries are listened to and acted upon promptly and fairly. Specifically, we aim to ensure that: 

• Clients, carers, and their representatives are aware of how to complain and that the company provides easy-to-use opportunities for them to register their complaints 

• A named person will be responsible for the administration of the procedure 

• We will acknowledge a complaint in 3 working days  

• All complaints are investigated within 14 days of being made 

• All complaints are responded to in writing within 28 days of being made 

• Complaints are dealt with promptly, fairly, and sensitively, with due regard to the upset and worry that they can cause to both Clients and staff 

Our Duty of Candour supports openness and honesty. Candour works only when it is part of a broader commitment to safety, listening, and learning, and to an organisational commitment to continual improvement.  

When things go wrong in health or social care settings, Clients and families will want to know at least these three things: 

• To be honestly told what happened. 

• What can be done to deal with any harm caused? 

• To understand what will be done to prevent a recurrence for someone else. 

Please refer to the separate Duty of Candour policy.  

Children’s Services  

Constantia Care Ltd recognises the rights of children to make complaints and representations and to have their views considered within a clear procedure as defined by law.  

We aim:  

• To ensure that the children and young people our service comes into contact with are aware of how to make a complaint.  

• To ensure all children, young people and adults facing problems or challenges who wish to make a complaint are well supported to do so. 

• To offer advocacy service where appropriate. 

• To provide a sensitive and customer-focused service for complaints and representations by offering help and advice to all complainants, members of the public and other interested parties. 

How to raise a complaint 

The person raising the complaint should include the following details where relevant or possible. However, once the complaint is raised, further information can be collected from the complainant as required by the person carrying out the investigation. 

We have a complaints template available if requested. 

Personal Details 

• Their full name 

• Address and contact details (phone/email) 

• If they are complaining on behalf of someone else:  

• Their name and details 

• Their relationship to them 

• Confirmation of consent (if appropriate) 

Details of the Care Service 

• Name of the domiciliary care provider/agency 

• Location or branch (if relevant) 

• Names of care workers or staff involved (if known) 

Date(s) and Time(s) 

• When the incident(s) happened 

• Whether it was a one-off or an ongoing issue 

Description of the Complaint – Provide a clear, factual account, keep this chronological and specific, including: 

• What happened 

• Where it happened (e.g., at home, during a visit) 

• Who was involved 

• What was said or done 

• Any relevant background information 

Impact of the Issue- Explain how the problem affected the individual: 

• Physical impact (e.g., injury, missed medication) 

• Emotional impact (e.g., distress, anxiety) 

• Practical consequences (e.g., missed visits, unmet care needs) 

Evidence (if available) 

• Care records or logs 

• Photos 

• Emails or messages 

• Witness statements 

Actions Already Taken 

• Whether it has been raised it before 

• Who they spoke to (manager, care coordinator, etc.) 

• Any responses or outcomes received 

Desired Outcome – Clearly stating what they would like to happen, for example: 

• Apology 

• Explanation 

• Staff training or disciplinary action 

• Change of care worker 

• Refund or compensation (if applicable) 

• Service improvement 

 Safeguarding Concerns (if relevant) -If the complaint involves: 

• Abuse or neglect 

• Risk of harm 

This should be clearly highlighted, as it may require urgent safeguarding action and  

referral to the local authority. 

Responsibilities 

The registered manager is responsible for following through with complaints. However, there may be a specific post with responsibility for complaints. Communication between this post and the registered manager should be clear and transparent so that the registered manager can demonstrate evidence of compliance. 

When the complaint concerns the registered manager who is also the nominated individual  

Another manager or director from the senior management team will address it.  

When the complaint is about the manager, the complaint will be investigated by the nominated individual  

When the complaint concerns the nominated individual, the complaint will be investigated by the registered manager 

Complaints From A Representative 

If the Client directly affected does not want to complain themselves, they can ask someone else to make the complaint on their behalf and represent them throughout the process.  

 A representative can be anyone such as:  

• A family member  

• A friend  

• An advocate  

• A legal representative 

There is no restriction on who may act as a representative and this list is not exhaustive.  

Our organisation will support them by signposting Clients to an advocate if they do not have any other representation and are not happy to raise the complaint themselves. 

Our organisation can only accept complaints from a representative In certain situations. These are; 

• Where it is known that the Client has consented, either verbally or in writing (and this includes the willingness for us to share personal information with the representative) 

• Where the Client cannot complain unaided and cannot give consent because they lack capacity in line with the Mental Capacity Act 2005, and the representative is acting in the Client’s best interests  

If the Client does not consent to us discussing the complaint with their representative then we take this into account.  We will explain to the person making the complaint that only the issues that directly affect them can be investigated. If we do not have consent to share personal information about the Client we will not be able to investigate any matters relating to the Client or share personal information about the Client which may leave some of their concerns unanswered. 

If we receive a complaint where the Client directly affected does not have the capacity to consent to the complaint being made on their behalf, we first determine if the person making the complaint on their behalf has a legitimate interest in the person’s welfare and that there is no conflict of interest. We also need to determine if the person making the complaint has a right of access to the personal information of the Client directly affected. E.g. are they an attorney with authority to manage the property and affairs of the individual or are they a person appointed by the Courts to make decisions about such matters. 

Complaints Procedure 

Verbal complaints 

• Clients can initially talk to their carer or care team, as many issues can be rectified quickly by raising the matter directly with the carers/care team. 

• Staff must make a record of verbal concerns, including any verbal concerns about themselves and report them to their manager. 

• If the matter is more serious or about an individual or individuals in the care team, then contact the office and report the complaint to the Registered Manager or senior person in charge. 

• If the complaint concerns the Registered Manager or Nominated Individual, then speak to the senior manager, company director. 

• The organisation accepts that all verbal complaints, no matter how seemingly unimportant, must be taken seriously 

• Front-line care staff who receive a verbal complaint are expected to seek to solve the problem immediately 

• If they cannot solve the problem immediately, they should offer to get their line manager to deal with the problem 

• Staff are expected to remain polite, courteous, sympathetic, and professional to the complainant. They are taught that there is nothing to be gained by adopting a defensive or aggressive attitude 

• At all times in responding to the complaint, staff are encouraged to remain calm and respectful 

• Staff should not make excuses or blame other staff 

• After discussing the problem, the manager or member of staff dealing with the complaint will suggest a means of resolving it 

• If this course of action is acceptable, the member of staff should clarify the agreement with the complainant and agree on a way in which the results of the complaint will be communicated to the complainant (i.e. through another meeting or by letter) 

• If the suggested plan of action is not acceptable to the complainant, the member of staff or manager will ask the complainant to put their complaint in writing to the registered manager 

• The complainant should be given a copy of the company’s complaints procedure if they do not already have on 

• Details of all verbal and written complaints must be recorded in the complaints spreadsheet, the Client’s file, and the home records 

Serious or Written Complaints Procedure 

Preliminary steps: 

• When we receive a written complaint, it is passed to the designated lead manager, who records it in the complaints spreadsheet and sends an acknowledgement email within 3 working days to the complainant 

• The manager includes either a copy of this policy or details of the organisation’s procedure for the complainant in this email 

• The designated lead is the named person who deals with the complaint throughout the  process  

• If necessary, further details are obtained from the complainant. If the complaint is not made by the Client but on the Client’s behalf, the consent of the Client, preferably in writing, must be obtained from the complainant where required 

• If the complaint raises potentially serious matters, advice could be sought from a legal advisor. If legal action is taken at this stage, any investigation by the organisation under the complaints procedure ceases immediately 

Investigation of the complaint by the organisation: 

• Immediately on receipt of the complaint, the complaints manager will start an investigation and, within 14 days, should be in a position to provide a full explanation to the complainant, either in writing or by arranging a meeting with the individuals concerned 

• If the issues are too complex for the investigation to be completed within 28 days, the complainant will be informed of any delays 

• Where the complaint cannot be resolved between the parties, an arbitration service will be used 

• This service and its findings will be final to both parties. The cost of this will be borne by the organisation 

Meeting: 

• If a meeting is arranged, the complainant will be advised that they may, if so desired, bring a friend, relative, or a representative, such as an advocate 

• At the meeting, a detailed explanation of the results of the investigation will be given, in addition to an apology, if deemed appropriate (an apology is not necessarily an admission of liability) 

• Such a meeting allows the management to show the complainant that the matter has been taken seriously and investigated thoroughly 

Follow-up action: 

After the meeting or if the complainant does not want a meeting, a written account of 

the investigation will be sent to the complainant.  

• If the complainant is not happy with the response they receive or if they have not received an answer within a reasonable time, they can complain to the Local Government & Social Care Ombudsman. 

• The Ombudsman believes that up to 12 weeks is a reasonable time for a council or care provider to look at a complaint and reply to the complainant 

• The outcomes of the investigation and the meeting are recorded in the complaints book and any shortcomings in company procedures will be identified and acted upon 

• The company management formally reviews all complaints at least every six months as part of its quality monitoring and improvement procedures to identify the lessons learned 

All records are kept, stored and shared in accordance with the UK GDPR and the Data Protection Act 2018. 

Vexatious Complainers 

This organisation takes seriously any comments or complaints regarding its service. However, some Clients can be treated as ‘vexatious complainers’ due to the inability of the organisation to meet the outcomes of the complaints, which are never resolved. Vexatious complainers need to be dealt with by the arbitration service so that repeated investigations become less of a burden on the organisation, its staff, and other Clients. 

Accessibility  

Policies and procedures are available in accessible formats, well publicised, readily available, and accessible to individuals using the service, their families, significant others, visitors, staff, and others working at the service. 

The Local Government & Social Care Ombudsman (LGSCO) 

Investigate all complaints about adult care services, care provided by a council or care arranged directly with a care provider by: 

• Someone paying with their own or family money 

• Someone using money provided by a council, via direct payment for example 

There is a step-by-step process for making an online complaint on the LGSCO website or a phone number to contact them. 

A complaint should be made within 12 months of the problem. If left any longer the   

Ombudsman may not be able to help. 

The LGSCO works to promote high-quality services for all people who use adult social care services. This is particularly the case where when investigating a complaint the LGSCO  detect service failures by a care provider that may affect its registration status. An information-sharing agreement and memorandum of understanding set out how information is shared. 

Raising a Concern with the Care Quality Commission (CQC) –  (Clients/Members of the Public) 

CQC does not handle complaints about service providers. They cannot make these complaints for the complainant or take them up on their behalf. This may seem confusing, but it is because CQC lacks the legal powers to investigate or resolve these issues. CQC advises that the provider’s complaints procedure should be followed or that one should contact the local authority.  

However, Clients/members of the public and staff can provide feedback about their experience with the care service. CQC will use this intelligence alongside other forms of evidence gathering to determine if they need to take action against the provider. 

If a crime has been committed or someone is in danger, the police must be contacted immediately. 

Local Authority-funded Clients 

Any Client part or wholly funded by their LA can complain directly to the complaints manager (adults) who are employed directly via the LA. 

Quality Management 

As an organisation, we prioritise delivering the highest quality service to all our clients. Our approach is based on the belief that, regardless of how good our current services are, there is always room for improvement. We are dedicated to continuous improvement and maintain a formal quality management system that provides a framework for assessing and improving our performance, including learning from complaints.  

Regularly monitoring and evaluating our service through audits and feedback from service users and other stakeholders is vital for continuous improvement. Data collected from complaints will be analysed for patterns and themes to develop improvement plans that ensure our service users are safe and receive the highest-quality care. 

The complainant will receive written notification of the learning outcomes arising from their complaint. If the complainant is dissatisfied with the result, they will be provided with information about the Local Government & Social Care Ombudsman, where they can pursue their complaint further. If the local authority funds the person who uses the service, the complainant can also be referred to the local authority’s complaints manager. 

Relevant Contacts 

Care Providers Registered Manager: Morag Collier 

Contact Details: morag.collier@constantiacare.co.uk 

Care Providers Director: Emma Coulstock  

Contact Details: emma@constantiacare.co.uk 

Deputy Manager: Claire Morgan 

Contact Details: claire@constantiacare.co.uk 

Citizens Advice Bureau:  

www.citizensadvice.org.uk  

0800 144 8848 

The Parliamentary and Health Service Ombudsman (NHS funded Clients) 

Millbank Tower 

Millbank 

London, SW1P 4QP 

Tel. 0345 015 4033 

The Local Government  & Social Care Ombudsman 

10th Floor, Millbank Tower, 

Millbank, 

London, SW1P 4QP 

Advice Line Tel: 0300 061 0614 [for complainants] 

Related Guidance 

Local Government and Social Care Ombudsman Annual Review of Complaints: 

https://www.lgo.org.uk/information-centre/reports/annual-review-reports   

Local Government and Social Care Ombudsman: How to Complain: 

https://www.lgo.org.uk/make-a-complaint  

How we can help – Local Government and Social Care Ombudsman 

Raising a concern with CQC  

https://www.cqc.org.uk/contact-us/report-concern/report-concern-if-you-are-member-public   

Training Statement 

All staff and self emplyed care asssistants, during induction, are made aware of the organisation’s policies and procedures, all of which are used for training updates. All policies and procedures are reviewed and amended where necessary, and staff are made aware of any changes. Observations are undertaken to check skills and competencies. Various methods of training are used, including one-to-one, online, workbook, group meetings, and individual supervision. External courses are sourced as required.  

This policy will be reviewed by the Registered Manager. 

Signed:  Morag Collier 

Date:    07.07.2026 

Date of review:  06.11.2026