Registration Number: {{org_field_registration_no}}

Receiving and Acting on Complaints Policy

1. Purpose and Scope

The purpose of this policy is to establish a clear, transparent, and accessible process for receiving, investigating, and resolving complaints regarding the care and services provided by {{org_field_name}}. This policy applies to all service users, their families, advocates, staff and external stakeholders, and sets out how {{org_field_name}} meets the requirements of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, Regulation 16: Receiving and acting on complaints, and Regulation 17: Good governance.

It is also aligned to the Care Quality Commission’s Single Assessment Framework quality statement on listening to and involving people, including feedback and complaints, which expects providers to make it easy for people to raise concerns and complaints, involve them in decisions about their care, and show what has changed as a result. This policy applies to all complaints and concerns, whether made verbally or in writing, formally or informally, including those made anonymously or by a representative.

2. Commitment to Open and Transparent Complaint Handling

{{org_field_name}} is committed to maintaining an open and transparent culture regarding complaints. We ensure that:

Service users, their families, and advocates know how to make a complaint and feel safe doing so without fear of discrimination or adverse effects on their care.
Complaints are treated with seriousness, respect, and sensitivity.
Investigations are thorough, impartial, and aim for timely resolution.
Lessons learned from complaints contribute to continuous service improvement.

We will ensure that making a complaint, or someone complaining on a person’s behalf, will never result in the person being treated differently, refused a service, or disadvantaged in any way in relation to their care, treatment or support.

3. Accessibility of the Complaints Process

We ensure that our complaints process is easily accessible through multiple channels:

Verbally report the concern immediately to a staff member.
Send an email detailing the concern to the Registered Manager at: {{org_field_registered_manager_email}}.
Call the office to inform the Registered Manager at {{org_field_phone_no}}.
If the concern arises out of office hours, call the out-of-hours phone number: {{out_of_hours}}.
Website: {{org_field_website}} – using the form provided
Information about how to make a complaint is available in accessible formats on request, for example large print, easy read or alternative languages, to meet the communication needs of the people who use our service.
Advocacy support is available for those who need assistance in raising a complaint, including people with disabilities, communication needs or language barriers. We will provide information about independent advocacy services where appropriate.
People may choose to raise concerns or complaints anonymously. Where this happens, we will still review and act on the information as far as possible, in line with this policy and our safeguarding responsibilities.

Staff are trained to receive complaints with empathy and to escalate them promptly to the appropriate manager for action.

4. Procedure for Handling Complaints

4.1 Acknowledgement:

Every complaint, whether verbal or written, will be acknowledged no later than the third working day after receipt. The acknowledgement will:

Confirm that we have received the complaint.
Offer the complainant the opportunity to discuss how they would like their complaint to be handled, including their preferred method of communication and what they are hoping will change.
Outline the next steps, who will be investigating, and the expected timescale for our response.

4.2 Investigation:

Complaints will be investigated promptly by a designated senior staff member or manager. The investigator will:
- Review all relevant documentation and evidence.
- Speak with the complainant and other involved parties.
- Ensure confidentiality and impartiality throughout the process.
Where a complaint raises safeguarding concerns, it will be referred immediately to the local authority safeguarding team in accordance with our safeguarding policy.

4.3 Resolution and Response:

We will investigate and respond to complaints without undue delay. Our aim is to provide a full written response within 20 working days of the complaint being acknowledged. Where a complaint is complex and this is not possible, we will:

Agree an alternative realistic timescale with the complainant.
Provide regular updates on progress, at intervals agreed with the complainant.

The written response will include:

The scope of the investigation and information considered.
Our findings and conclusions in clear, plain language.
Any actions taken, or planned, to address the issues raised and to prevent recurrence where applicable.
An apology where appropriate.
Details on how to escalate the complaint if the complainant remains dissatisfied.

4.4 Escalation:

If the complainant is dissatisfied with the initial outcome, they may request a review by the Registered Manager or another senior manager not previously involved, wherever possible.

If, after our local process is complete, the complainant remains unhappy, they will be informed of their right to refer their complaint to the Local Government and Social Care Ombudsman (LGSCO), who is the final stage for complaints about adult social care providers, including privately funded care.

People can also share concerns with the Care Quality Commission (CQC) at any time. CQC does not investigate or resolve individual complaints on people’s behalf, but uses information about concerns and complaints to monitor services and decide when, where and what to inspect. We will cooperate fully with any investigation or enquiries from the LGSCO, CQC or other relevant bodies.

4.5 Duty of Candour and Serious Incidents

Where a complaint relates to an incident that meets the threshold of a notifiable safety incident under Regulation 20: Duty of Candour, {{org_field_name}} will follow its Duty of Candour Policy. This includes:

Being open and honest with the person (and/or their representative) about what has happened.
Providing a timely apology, both verbal and written.
Explaining what is known at the time, and any further enquiries that will be made.
Providing the findings of those enquiries and actions taken to prevent recurrence.

This duty applies alongside, and not instead of, the complaints process. Where a complaint also raises safeguarding concerns, we will follow our Safeguarding Policy and refer to the local authority safeguarding team without delay.

5. Recording and Monitoring Complaints

All complaints will be recorded in a central complaints log, which will include:

The date the complaint was received.
Details of the complainant (where not anonymous).
Nature of the complaint.
Investigation findings and actions taken.
The date of resolution and the complainant’s response.
Where no action is taken in response to a complaint, the reasons for this decision will be clearly recorded.

The complaints log will be reviewed monthly by senior management to identify patterns and trends. This review will inform quality improvement initiatives.

6. Confidentiality and Data Protection

All complaints will be handled with strict confidentiality, in line with data protection legislation, including the UK GDPR and Data Protection Act 2018. Information about a complaint will be shared only with those who need it to investigate and respond, or where we are under a legal or professional obligation to disclose it (for example, to local authority safeguarding teams, the police, professional regulators, the LGSCO or CQC). We will ensure that people understand how their information will be used and stored, and we will respect their privacy throughout the process.

7. Learning from Complaints

We view complaints as valuable opportunities for learning and continuous improvement. Once a complaint is resolved:

Any identified areas for improvement will be incorporated into staff training and service delivery processes.
Where systemic issues are identified, they will be addressed through our governance and quality assurance framework.

We will routinely share anonymised “you said, we did” examples with people who use the service, families and staff, to show how feedback and complaints have led to improvements. This supports the CQC Single Assessment Framework quality statement on feedback and complaints, by demonstrating that people are listened to, involved and can see what has changed as a result of speaking up.

8. Responsibilities

All Staff: Ensure awareness of the complaints process and direct any complaints to the appropriate manager.
Registered Manager: Oversee the complaints process, ensuring adherence to policy and timely resolution.
Senior Management: Monitor complaint trends, oversee quality improvement, and ensure CQC compliance.

9. External Reporting and CQC Compliance

Reporting to CQC: If requested, {{org_field_name}} will provide CQC with a summary of complaints, responses, and outcomes within 28 days.
Annual Review: This policy will be reviewed annually or sooner if legislation changes, ensuring it remains aligned with CQC requirements and best practices.

Failure to provide this information to CQC within 28 days of a request may constitute a breach of Regulation 16(3) and could lead to regulatory action.

Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.

CH14-Receiving and Acting on Complaints Policy