Complaints Procedure Plus Form

Scope

• Policy Statement
• The Policy
• Aim of the Complaints Procedure
• Children’s Services
• Responsibilities
• 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
• Relevant Contacts
• Related Policies
• Related Guidance
• Training Statement

Policy Statement

This organisation’s policy is intended to comply with Regulation 16 of the Fundamental Standard Regulations.

This organisation 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.

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

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.

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.

If the complaint is concerning the registered manager then another manager or

director on the senior management team will handle the complaint. Information on

where to send the complaint or whom to speak to, if it involves the registered

manager is included in the complaints procedure in the Client guide.

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

• 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

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

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.

Relevant Contacts

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 Policies

Accessible Information and Communication

Adult Safeguarding

Consent

Dignity and Respect

Duty of Candour

Good Governance

Grievance

Whistleblowing

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:                                       20.10.2025

Date of review:                        19.02.2026