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DCW14-Receiving and Acting on Complaints Policy

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Receiving and Acting on Complaints Policy

This policy is also available in Welsh on request.

1. Purpose

The purpose of this policy is to establish clear, fair, and transparent procedures for receiving, handling, and resolving complaints efficiently within {{org_field_name}}. It ensures that any complaint, concern, or feedback from service users, their families, advocates, or staff is taken seriously, investigated thoroughly, and resolved promptly. We are committed to a culture of openness and accountability in line with our legal duties. This policy aligns with the Regulation and Inspection of Social Care (Wales) Act 2016 and the Social Services and Well-being (Wales) Act 2014, as well as the latest Care Inspectorate Wales (CIW) guidance and regulatory requirements (including the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017). By following this policy, {{org_field_name}} meets CIW’s expectations for regulated services and upholds principles of person-centred care, timely and fair complaint handling, and continuous learning for service improvement.

2. Scope

This policy applies to all individuals who may wish to raise a concern or make a complaint about any aspect of services provided by {{org_field_name}}. This includes people receiving care and support from us (our service users), their family members, advocates or representatives acting on their behalf, and any other stakeholders such as visiting healthcare professionals or external agencies who provide feedback on our service. It also covers complaints or concerns reported internally by our staff members. In essence, anyone who experiences or witnesses an issue related to our care provision can use this policy to have their concern addressed. All parts of the organisation – from frontline care workers to management – are expected to adhere to this policy when handling complaints.

3. Principles of Effective Complaint Handling

At {{org_field_name}}, we follow best-practice principles to ensure that our approach to complaints is effective and compassionate:

These principles guide all stages of our complaint handling. By adhering to them, we ensure that people feel confident to voice their concerns, knowing they will be treated with dignity and that their feedback will lead to real improvements.

4. Complaint Handling Process

Our complaint handling process is designed to be clear and straightforward, guiding everyone through each step from raising a concern to reaching a resolution. We recognise that some issues can be resolved quickly and informally, while others may require a formal investigation. The following sections describe how {{org_field_name}} manages complaints at each stage:

4.1 How Complaints Can Be Made

We accept complaints in multiple ways to ensure the process is accessible to all. A service user or their representative can choose the method that is easiest for them:

Regardless of the way a complaint is made, all staff are trained to recognise and respond to a complaint. Even if the person raising an issue doesn’t formally call it a “complaint,” staff will treat it seriously. For example, if a service user casually mentions, “I’m not happy that my calls have been late this week,” our staff know to take note and report this as a concern. They will not wait for a written letter of complaint – any expression of dissatisfaction is logged and acted upon under this policy. This proactive approach ensures that small issues are addressed before they grow and that no concern is overlooked.

Informal resolution: We encourage individuals to raise issues as soon as they arise, as some matters can be resolved quickly on the spot without needing a formal process. This is sometimes called an informal resolution stage. For example, if a service user complains to their care worker that their visit was an hour late, the care worker or a supervisor might immediately explain the reason (such as an earlier emergency causing a delay) and apologise, perhaps adjusting the schedule to prevent it happening again. If this response satisfies the person and the issue is resolved, a formal complaint investigation may not be necessary (though the concern and outcome should still be noted for our records). However, if the issue is more serious, cannot be resolved promptly, or if the person is not happy with the quick fix, then we proceed with the formal complaint process described below. At all times, the individual making the complaint has the right to insist that their concern be handled as a formal complaint if that is their preference.

4.2 Acknowledging Complaints

When we receive a complaint, whether it’s verbal, written, or via any other channel, the first step is to acknowledge it promptly. We will acknowledge all complaints within 3 working days of receiving them. This acknowledgement is typically done in writing (for example, by email or letter), or by another preferred method if the complainant has specified one. The purpose is to let the person know that we have received their complaint and that we will be dealing with it. In the acknowledgement, we will:

Acknowledging the complaint quickly serves two main purposes: it reassures the complainant that we have taken up their issue, and it starts a communication channel between the complainant and the organisation. This is especially important if the complainant has been worried or upset – hearing from us promptly can provide comfort that the matter is in hand.

If a complaint indicates a potentially serious or urgent issue, we do more than just acknowledge – we act immediately. For example, if the complaint involves an allegation of abuse or a significant risk to a service user’s safety (which is a safeguarding issue), we will take urgent steps right away to ensure the person is safe. This might involve contacting the safeguarding authorities or taking emergency action while the full investigation is planned. In such cases, our acknowledgement to the complainant will note that we are treating the matter with urgency. The key point is that urgent complaints trigger immediate action on our part, even as we follow the usual procedures. We don’t wait 3 days to acknowledge if something is critical – we jump into action and let the complainant know we are doing so.

Throughout the acknowledgement stage, respectful and clear communication is maintained. The complainant should feel that their concern is already being taken seriously from the way we respond at the outset.

4.3 Investigating Complaints

After acknowledging the complaint, we move into the investigation stage, where we examine the issues in depth and gather information. Our approach to investigating complaints is methodical, impartial, and focused on finding out what happened and what we can do to put things right. The steps we take include:

It’s important to note that regardless of the outcome, we treat the complainant with respect. Even if a complaint is not upheld, we appreciate the feedback and will explain our findings openly.

We aim to complete most investigations and provide a full response within 28 days – our record-keeping system allows us to compile that information accurately. However, some complex complaints might take longer to investigate – for example, if multiple agencies are involved or if key staff are temporarily unavailable (due to leave or illness). If we find that we cannot send a final response within 28 days, we keep the complainant updated regularly on our progress. For instance, at the 28-day mark (or earlier if we anticipate a delay), we would write to the complainant explaining that the investigation is still ongoing, provide an update on what has been done so far, and give a revised expected timeframe. We will continue to update them at reasonable intervals (e.g. weekly or bi-weekly) until the matter is resolved. Keeping the lines of communication open in this way helps maintain trust – the complainant isn’t left wondering what’s happening or feeling forgotten.

Throughout the investigation stage, our focus remains on being thorough, fair, and compassionate. We understand that a complaint can be stressful for the person who made it (and sometimes for those being complained about), so we handle all involved with sensitivity. By the end of the investigation, we aim to have a clear understanding of the events and how we will address any problems identified.

4.4 Complaint Outcomes and Resolution

Once the investigation is complete, we move to formally resolving the complaint and communicating the outcome. The complainant will receive a formal response from {{org_field_name}} that summarizes the investigation and explains our findings. Here’s what the resolution stage involves:

Throughout the resolution stage, we remain professional and empathetic. Whether the outcome is in favour of the complainant or not, we strive to make our explanation clear and respectful. If the complainant receives a thorough response and sees that we have taken their concerns to heart (through apologies and actions), they are more likely to feel satisfied that bringing the complaint was worthwhile.

4.5 Escalation Process

While we do our utmost to resolve complaints to everyone’s satisfaction, there may be times when a complainant remains unhappy with the outcome. Our policy provides clear pathways for escalation in such cases, both within {{org_field_name}} and to external authorities. We ensure people are informed of these options so they can seek further review if needed.

When providing information about external escalation, we do so in a supportive manner. We never retaliate or become defensive if someone chooses to go to CIW, the local authority, or the Ombudsman. In fact, retaliation is strictly forbidden – a person’s services will not be discontinued or diminished because they complained externally. Our aim is to ensure the individual is fully informed of their rights and options. We often include pamphlets or refer to the websites of these external bodies in our correspondence.

In summary, {{org_field_name}}’s escalation process is about offering a clear route for further action if the complainant feels their issue hasn’t been resolved. We handle internal appeals earnestly, as a second chance to satisfy the concern. And we respect the role of external agencies, cooperating with them to the fullest to address and learn from any shortcomings. By being transparent about these escalation routes, we reinforce confidence in our willingness to be held accountable and to continuously improve.

5. Efficient Management of Complaints at {{org_field_name}}

In addition to handling individual complaints, {{org_field_name}} takes a systematic approach to managing complaints effectively across the organisation. This involves preparing our staff through training, maintaining proper records, monitoring trends, and ensuring that we learn from every complaint. The subsections below outline how we embed efficient complaint management into our daily operations and governance.

5.1 Training and Staff Responsibilities

Our commitment: We are committed to equipping all staff with the knowledge and skills they need to handle complaints confidently and competently. Every team member, from care staff to office staff and managers, has a role in creating a responsive culture where feedback and complaints are handled professionally.

Key roles and responsibilities include:

Staff training: All care staff receive training on complaint handling as part of their induction, with regular refreshers (at least annually) thereafter. This training covers how to recognise a complaint, how to respond in the moment, and how to report it so that it gets addressed. For example, a care worker is trained that if a service user starts to express unhappiness about something (even informally), they should pay attention, ask questions to clarify the issue, and reassure the person that they will help address it. Staff learn not to become defensive or dismissive, but rather to view complaints as important feedback.

Communication skills are a big part of the training. We teach effective communication and de-escalation techniques, since the way a staff member reacts to a complaining person can greatly influence the outcome. This includes active listening, showing empathy (“I’m sorry you’re experiencing this; let’s see how we can fix it”), and remaining calm even if the person is upset or angry. De-escalation might involve apologising on the spot if something is clearly wrong (like a missed visit), or simply assuring the person that the issue will be looked into. Role-playing exercises are often used in training so staff can practise handling different scenarios – such as an angry phone call from a family member, or a service user complaining during a visit that a care worker rushed their care. Through these scenarios, staff learn to stay professional and kind, to gather the facts, and to avoid making any hasty excuses or promises.

Another crucial element is knowledge of procedures: staff are trained on how to document and escalate complaints. They learn the internal steps, like filling out a complaint form or logging the issue in our system, and notifying the right person (e.g. the manager) in a timely way. They also learn what not to do – for instance, not to ignore a complaint or try to handle serious issues on their own without reporting it.

Management and specialist training: Our supervisory and management staff (including the Registered Manager and any team leaders) receive additional training focused on investigating and resolving complaints. This covers how to conduct a fair investigation (as described in section 4.3) and how to write a clear response. It also includes training in conflict resolution – practical ways to resolve disagreements or dissatisfaction, and mediation skills to bring about mutual understanding. Managers learn how to deal with complaints objectively, without bias toward their team, and how to uphold the organisation’s values throughout the process. For example, a manager might be trained in techniques to interview staff or service users as part of an investigation, or how to compile an investigation report that gets to the root cause of the issue.

We ensure managers are familiar with relevant regulatory guidance and legal aspects too. They stay updated on CIW’s expectations, the Social Services complaints procedure (if applicable), and any other frameworks so that our internal process aligns with external standards. If there are changes in the law or best practice around complaints (for instance, new CIW guidance or a new Ombudsman power), we update our management training accordingly.

Ongoing responsibilities: Training is not a one-off event. We expect all staff to continuously uphold good practice in their daily work. Every staff member has a responsibility to be alert to dissatisfaction, even unspoken. For example, if a care worker notices a service user seems unhappy but hasn’t said anything, it’s their responsibility to gently ask if everything is alright. We encourage an environment where staff welcome feedback and do not fear it. In team meetings and supervisions, staff are encouraged to share any minor concerns or complaints they heard, so that these can be followed up. Managers have the responsibility to support their teams in this – for instance, if a staff member is upset because someone complained about them, the manager should coach that staff member on how to learn and improve, rather than the staff member feeling blamed or discouraged.

By providing thorough training and clear expectations, {{org_field_name}} ensures that staff at all levels know what to do when a complaint arises. This preparedness leads to complaints being handled promptly and effectively right from the first interaction. It also empowers staff to feel confident in dealing with challenging situations, which improves the overall quality of service and the experiences of our service users and their families.

5.2 Record Keeping and Confidentiality

Maintaining proper records of complaints and ensuring confidentiality are fundamental to effective complaint management. {{org_field_name}} treats all complaint information with care, keeping a clear trail of what happened while also respecting privacy.

This comprehensive record means that if CIW or another authority asks for a summary of complaints and actions taken (which they can request), we can provide it readily. In fact, under regulation, if CIW requests a report on complaints, we must send it within 28 days – our record-keeping system allows us to compile that information accurately.

Example of confidentiality in practice: Suppose a family member complains that a specific caregiver was rude to their elderly parent. We investigate and take action (say, we found the caregiver was indeed abrupt and we provided coaching to that caregiver). We would not publicise this outcome to other staff or service users. Internally, we document it and perhaps share the general lesson (e.g., a reminder on courteous communication tone at a staff meeting) without naming the people involved. The family who complained would be given the resolution details, but we wouldn’t share that caregiver’s personal history or any disciplinary actions with other clients. This way, the matter is kept appropriately private.

By maintaining rigorous record-keeping and confidentiality, {{org_field_name}} ensures that complaints are handled in a professional manner that respects everyone’s privacy and dignity, while still enabling oversight and improvement through proper documentation.

5.3 Monitoring and Continuous Improvement

Handling complaints case-by-case is important, but so is looking at the bigger picture. {{org_field_name}} actively monitors all complaints collectively to identify trends, address systemic issues, and drive continuous improvement in our services. We treat our log of complaints as a rich source of feedback on our performance.

All these monitoring activities ensure that we are not just solving individual issues, but also strengthening our service and preventing future complaints. By being proactive and looking at complaints collectively, {{org_field_name}} demonstrates a commitment to quality assurance and to delivering the best possible care. This approach also satisfies regulatory expectations that providers must analyse information relating to complaints and concerns and identify areas for improvement. We see complaints not as headaches, but as a crucial feedback mechanism that drives us to do better.

5.4 Learning from Complaints

A key message in our organisation is: “Every complaint is a learning opportunity.” This section of the policy emphasizes how {{org_field_name}} turns the experience of managing complaints into meaningful improvements and shared knowledge.

In summary, learning from complaints at {{org_field_name}} is a continuous cycle: Receive feedback → Reflect and analyse → Implement changes → Share and educate → Monitor outcomes. This cycle helps ensure we do not make the same mistake twice and that our service evolves with the needs and expectations of those we care for. It also fosters an organisational culture that is not defensive, but rather proactive and person-centred, always striving to improve the quality of care.

6. Related Policies

This Complaints Policy should be read in conjunction with several other related policies that support and complement our approach to handling complaints. These documents provide additional guidance on specific areas that often intersect with the complaints process:

By consulting these related policies, staff can gain a fuller understanding of how to handle complex situations that might arise during complaint handling (such as confidentiality dilemmas or concurrent safeguarding investigations). All these policies interconnect to create a robust framework that supports high-quality, person-centred care and continuous improvement.

Cross-references: For example, if a complaint involves a breach of privacy, staff should refer to the Confidentiality Policy for guidance on managing that aspect. If a complaint suggests potential abuse or neglect, the Safeguarding Policy steps in. When closing a complaint, if the issue was about a staff member’s misconduct, the outcome might involve actions outlined in our disciplinary procedures (which are part of our internal staff policies). Understanding the web of related policies helps ensure that our response to any complaint is comprehensive and in line with all professional and legal standards.

7. Policy Review

To remain effective and up-to-date, this Receiving and Acting on Complaints Policy is subject to regular review. {{org_field_name}} will review this policy at least annually. The annual review checks that the policy still reflects current laws, regulations, and best practices in complaint management, and considers any feedback from staff or service users about the process. We also commit to reviewing the policy sooner than the annual date if certain events occur, such as:

When a review leads to an updated policy, all staff will be informed of the changes. We communicate updates through staff meetings, email bulletins, or training sessions (depending on the significance of the change). For major changes, we may provide targeted refresher training to ensure everyone understands the new or revised procedures. Staff are often asked to re-read the policy and sign to acknowledge they understand it whenever there’s a significant update.

We also make sure that service users and other stakeholders are aware of any changes that might affect them. For instance, if we change how people can submit complaints or adjust the timeframes, we will update our public-facing materials (like the website, service user guide, or brochures) so that our community always has accurate information about the complaints process.

By diligently reviewing and updating this policy, {{org_field_name}} ensures that our approach to complaints remains current, legally compliant, and aligned with best practice. It also demonstrates to regulators like CIW – and to our service users – that we are committed to self-improvement and responsive management. Each review cycle is another opportunity to reinforce the importance of effective complaint handling and to incorporate any new insights into our procedures.

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.

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