DC212-Receiving and Acting on Complaints Policy (LD/A)

Registration Number: {{org_field_registration_no}}

Receiving and Acting on Complaints Policy(LD/A)

1. Introduction

At {{org_field_name}}, we are committed to providing high-quality domiciliary care services that meet the needs of our service users. We recognise that feedback, including complaints, is essential to improving our services and ensuring the safety, dignity, and satisfaction of those we support.

This policy sets out our approach to handling complaints efficiently, fairly, and transparently, ensuring that all concerns raised by service users, their families, or representatives are taken seriously and addressed promptly. It also aligns with Regulation 16 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, which requires us to have an effective system for receiving, investigating, and responding to complaints.

{{org_field_name}} is registered with the Care Quality Commission to carry out the regulated activity of {{org_field_regulated_activity}} for {{org_field_service_users_bands}} in their own homes.

2. Purpose

The purpose of this policy is to:

Provide a clear framework for managing complaints effectively.
Ensure that service users, families, and representatives feel confident in raising concerns without fear of negative consequences.
Maintain transparency and accountability in handling complaints.
Improve the quality of care by learning from complaints and implementing necessary changes.
Ensure compliance with CQC regulations and best practices in complaint handling.

This policy applies to all staff, including care workers, managers, administrative personnel, and volunteers, who must understand and adhere to the procedures outlined.

3. Our Commitment to Handling Complaints

At {{org_field_name}}, we view complaints as opportunities to improve our services. We are committed to:

Listening to concerns with empathy and professionalism.
Providing multiple channels for complaint submission, including verbal, written, email, and online platforms.
Investigating complaints thoroughly, ensuring a fair and objective process.
Keeping complainants informed about the progress of their complaints.
Resolving complaints promptly, within the timeframes set out in our procedures.
Learning from complaints by identifying trends and making improvements to prevent recurrence.

No detriment and support to complain
People who use our services (and those acting on their behalf) can raise a complaint or concern at any time. Making a complaint will not affect the care and support we provide. We do not tolerate any form of unfair treatment, discrimination, or “victimisation” because a person has complained.

Staff must:

treat all complainants with dignity and respect;
support people to express concerns (including where communication needs exist); and
report any complaint received (including verbal complaints) in line with this policy.

{{org_field_name}} is committed to meeting the requirements of Regulation 20: Duty of Candour. This means we will always act with openness, honesty, and transparency when dealing with complaints or when things go wrong in the care we provide.

We will inform the service user, their family, or representative as soon as we become aware of a notifiable safety incident or a significant concern.
We will offer a full explanation of what happened, including any known causes and the steps we are taking to investigate the matter.
Where appropriate, we will provide a sincere apology and ensure this is recorded.
We will keep the person informed throughout the investigation and update them on any actions taken to prevent recurrence.
We will document all Duty of Candour actions in line with our regulatory requirements and maintain records as evidence of compliance.

4. Who Can Make a Complaint?

Complaints can be made by:

Service users receiving domiciliary care.
Relatives, friends, or advocates acting on behalf of a service user.
Staff members who wish to raise concerns about the quality of care.
Healthcare professionals or external organisations with concerns about our service.

Complaints may be made anonymously, though a lack of details may limit our ability to investigate thoroughly.

Complaints made on behalf of a service user (consent and confidentiality)
Where someone raises a complaint on behalf of a service user, we will confirm the service user’s consent to share information and discuss the complaint with them, unless:

the service user lacks capacity to give consent for this decision, or
there is a safeguarding concern where information must be shared to protect the person or others.

If the service user lacks capacity, we will act in their best interests and only share information that is necessary and proportionate to investigate and resolve the complaint.

5. How Complaints Can Be Made

At {{org_field_name}}, we recognise that some people may find it difficult to make a complaint without support. We are committed to ensuring that everyone has equal access to the complaints process. To support this:

We will provide information about how to complain in clear and simple language, and in alternative formats such as large print, easy-read, or translated documents, if required.
Where English is not the complainant’s first language, we will arrange for translation or interpreting services to help them communicate their concerns effectively.
Service users with disabilities or communication difficulties will be supported by staff who are trained to listen patiently and assist them in expressing their concerns.
People who require independent help will be offered details of advocacy services or support organisations in their local area, and we will make referrals if requested.
Relatives, friends, or advocates can raise complaints on behalf of service users if they have permission or if the individual is unable to do so themselves.

This ensures that nobody is disadvantaged or prevented from raising a concern because of language barriers, disability, or any other factor.

Supporting Autistic People and People with a Learning Disability to Make Complaints

{{org_field_name}} recognises that autistic people and people with a learning disability may communicate dissatisfaction, concerns or complaints in different ways.

The organisation will make reasonable adjustments to ensure that no person is prevented or disadvantaged from raising a complaint because of their disability or communication needs.

Staff must follow the procedure below:

Identify the person’s preferred communication methods by consulting their communication assessment, care plan or communication passport and asking the person directly wherever possible.
Explain the complaints procedure using accessible information appropriate to the individual, including Easy Read, pictures, symbols, communication aids, simple spoken language or other suitable methods.
Allow sufficient time for the person to understand information, express concerns and ask questions. Staff must not rush, pressure or discourage the person.
Recognise that complaints may be communicated verbally, in writing, through gestures, communication aids, changes in behaviour or other individual methods of expression.
Where a person communicates distress or dissatisfaction without making a formal complaint, staff must seek to understand the concern and offer appropriate support to raise it.
Offer support from an independent advocate, trusted person or communication professional where appropriate and in accordance with the person’s wishes and relevant legal requirements.
Record the complaint accurately, including the person’s own words or communication where possible, the support provided and any reasonable adjustments required.
Refer the complaint to the Registered Manager in accordance with the organisation’s existing complaints procedure.
Ensure acknowledgements, progress updates, investigation findings and outcomes are communicated in the person’s preferred accessible format.
Check that the person has understood the outcome and knows how to request further review or escalation if dissatisfied.

Staff must not assume that a person lacks capacity to complain because they are autistic, have a learning disability or use non-verbal communication.

No person will receive less favourable care or treatment because they have raised a concern or complaint.

The Registered Manager must monitor whether reasonable adjustments are being implemented and address any barriers identified through complaints, feedback or quality assurance.

Where complaints should be sent to
The main point of contact for complaints at {{org_field_name}} is the Registered Manager: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}.

Complaints can be sent to:

Email: {{org_field_registered_manager_email}}
Telephone: {{org_field_phone_no}}
Out of hours: {{org_field_out_of_hours}}
Post: {{org_field_name}}, {{org_field_door_no}} {{org_field_building_name}} {{org_field_street_line_01}}, {{org_field_street_line_02}}, {{org_field_city_town}}, {{org_field_county}}, {{org_field_post_code}}

If a person does not want to contact the Registered Manager directly, they can ask any member of staff to pass the complaint to the Registered Manager the same day, or they can contact a Director (see Section 6.4).

We ensure that our complaints process is accessible and straightforward. Complaints can be made through various channels:

Verbally to the Registered Manager or Safeguarding Lead

Inform the Registered Manager: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}} by email: {{org_field_registered_manager_email}}

Call the office and inform the Registered Manager or Safeguarding Lead: {{org_field_phone_no}}
Out of hours phone number: {{org_field_out_of_hours}}

All complaints will be acknowledged within three working days.

If your complaint concerns the Registered Manager, it will be handled by the Nominated Individual or a Company Director. If the complaint concerns the Nominated Individual, it will be handled by another Director or an independent reviewer. Where the Registered Manager and Nominated Individual are the same person, complaints are escalated to another Director or, if necessary, an external independent professional.

Local Authority Adult Safeguarding Teams: {{org_field_local_authority_authority_name}}, Link: {{org_field_local_authority_information_link}} for concerns related to abuseor neglect.
{{org_field_local_authority_authority_email}} I {{org_field_local_authority_phone_number}} I {{org_field_local_authority_out_of_hours_phone_number}}
The Care Quality Commission (CQC) – Call03000 616161, though they do not investigate individual complaints.

Easy Read Complaints Guide

The organisation will maintain a separate Easy Read Complaints Guide alongside this policy.

The guide will explain, in accessible language supported by appropriate pictures or symbols, what a complaint is, how to make a complaint, who can provide support, what happens after a complaint is received and how to seek further assistance if dissatisfied.

Staff must offer the guide to people who may benefit from Easy Read information and provide additional communication support where required.

The guide must be reviewed when the complaints procedure or relevant contact details change. The Registered Manager is responsible for ensuring that the guide remains accurate, accessible and available to people using the service.

6. Complaint Handling Process

Stages and timescales (working days)

We manage complaints in stages, so people know what to expect. Timescales may be extended only where necessary (for example, if key information is unavailable). If we need more time, we will explain why and agree a revised timescale.

Stage 1 – Acknowledgement and initial review: acknowledgement within 3 working days of receipt, confirming next steps and who is dealing with the complaint.
Stage 2 – Investigation and response: we aim to complete the investigation and provide a written outcome within 20 working days of acknowledgement.
Keeping people updated: we provide progress updates at least every 7 working days during Stage 2, or sooner if there are significant developments.
Stage 3 – Internal escalation review (if dissatisfied): a Director/senior leader not previously involved will review the complaint and respond within 20 working days of the escalation request (or sooner where possible).
External review: if still dissatisfied after Stage 3, we will explain how to contact the Local Government and Social Care Ombudsman (see Section 6.5).

6.1 Acknowledging the Complaint

Upon receipt of a complaint, we will:

Acknowledge it within three working days, confirming receipt and outlining the next steps.
Start the investigation.

6.2 Investigation Process

Immediate safety and safeguarding
If a complaint suggests a person is at immediate risk of harm, or there are concerns about abuse or neglect, we will take immediate protective action and follow our safeguarding procedures. This may include contacting the Local Authority safeguarding team and/or other relevant professionals without delay, in line with our legal duties.

A fair and impartial investigation will be conducted, which may include:

Reviewing care records and policies relevant to the complaint.
Speaking with involved staff members to understand the circumstances.
Engaging with the complainant to clarify concerns and expectations.

Investigations will be completed within 20 working days, unless further time is required, in which case the complainant will be informed.

Throughout the investigation, we will keep the complainant informed of progress. Updates will be provided at least every 7 working days, or sooner if there are significant developments. These updates may be given in writing, by telephone, or in a format that best suits the individual’s communication needs. If it becomes clear that more time is required to complete the investigation, we will explain the reasons for the delay, confirm the new timescale, and continue to provide regular updates until the matter is resolved.

6.3 Response and Resolution

Following the investigation:

A formal response will be provided in writing, outlining findings, actions taken, and any remedial measures.
If the complainant is satisfied, the case will be closed.
If further concerns remain, the complainant will be informed of their right to escalate the issue.

When the investigation is complete, we will provide the complainant with a clear explanation of the findings, the actions taken, and any improvements made as a result of their complaint. This response will normally be provided in writing; however, we will ensure that the outcome is communicated in a format that meets the individual’s needs, in line with the Accessible Information Standard. This may include large print, easy-read versions, translation into other languages, or verbal explanation if preferred. We will also offer the complainant an opportunity to discuss the outcome in person or by telephone, should they wish to do so.

6.4 Escalation of Complaints

If the complainant is dissatisfied with the outcome, they may escalate the complaint to:

Senior management or directors ({{org_field_company_director_first_name}} {{org_field_company_director_middle_name}}) within {{org_field_name}}: Email – {{org_field_company_director_email}}
Local Authority Adult Safeguarding Teams: {{org_field_local_authority_authority_name}}, Link: {{org_field_local_authority_information_link}} for concerns related to abuseor neglect. {{org_field_local_authority_authority_email}} I {{org_field_local_authority_phone_number}} I {{org_field_local_authority_out_of_hours_phone_number}}
The Care Quality Commission (CQC) – Call03000 616161, though they do not investigate individual complaints.

6.5 Referral to the Local Government and Social Care Ombudsman

If you remain dissatisfied after exhausting all stages of our internal complaints process and have not been able to resolve your complaint, you have the right to refer your complaint to the Local Government and Social Care Ombudsman (LGSCO). The Ombudsman is an independent service that investigates complaints about adult social care services in England.

{{org_field_name}} is committed to full cooperation with any independent reviews or external investigations into complaints. This includes working openly with the Local Government and Social Care Ombudsman, local authority safeguarding boards, the Care Quality Commission, or any other authorised body. We will provide all relevant records, respond promptly to requests for information, and implement any recommendations made by these organisations. Our priority is to ensure transparency, accountability, and continuous improvement in how complaints are handled.

You can contact the Ombudsman at:

Website: www.lgo.org.uk
Advice Line: 0300 061 0614
Text: ‘call back’ to 0762 481 1595
Email: advice@lgo.org.uk
Address: The Local Government and Social Care Ombudsman, PO Box 4771, Coventry CV4 0EH

6.6. Special Circumstances

At {{org_field_name}}, we recognise the importance of ensuring that complaints about senior staff, including the Registered Manager or Nominated Individual, are handled fairly and impartially.

Complaints about the Registered Manager

If a complaint is about the Registered Manager, it should be directed to the Nominated Individual, {{org_field_nominated_individual_first_name}} {{org_field_nominated_individual_last_name}}, who will manage the complaint fairly and ensure that the complaint is investigated by an appropriate person who has not been involved in the matter. Complaints about the Registered Manager can be made by email, telephone, or in writing by post.

Contact details (Nominated Individual):

Email: {{org_field_nominated_individual_email}}
Telephone: {{org_field_nominated_individual_phone}}
Post: {{org_field_name}}, {{org_field_door_no}} {{org_field_building_name}} {{org_field_street_line_01}}, {{org_field_street_line_02}}, {{org_field_city_town}}, {{org_field_county}}, {{org_field_post_code}}

Where the Registered Manager and Nominated Individual are the same person, any complaint about them will be handled by the Company Director, {{org_field_company_director_first_name}} {{org_field_company_director_last_name}}, to ensure independence and fairness. These complaints can be made by email, telephone, or in writing by post.

Email: {{org_field_company_director_email}}
Telephone: {{org_field_company_director_phone_number}}
Post: {{org_field_name}}, {{org_field_door_no}} {{org_field_building_name}} {{org_field_street_line_01}}, {{org_field_street_line_02}}, {{org_field_city_town}}, {{org_field_county}}, {{org_field_post_code}}

Where the Registered Manager is the Nominated Individual and the Company Director, please raise your complain to our Independent Reviewer:

Independent Reviewer Name:

Contact Details
Email Address:
Telephone Number:

In all cases, complainants will be reassured that their concerns will be taken seriously, investigated thoroughly, and resolved without bias.

This approach safeguards the integrity of our complaints system and provides assurance that all complaints, regardless of who they are about, will be dealt with openly, honestly, and in line with Regulation 16 and Regulation 20 (Duty of Candour).

7. Learning from Complaints

We view complaints as valuable feedback and use them to drive continuous improvement. To ensure lessons are learned, we:

Analyse complaint trends to identify recurring issues.
Review policies and procedures to prevent future occurrences.
Provide additional staff training where necessary.
Communicate learning outcomes across the organisation to strengthen service delivery.

Recording and reviewing complaints
All complaints (including verbal complaints and low-level concerns) are recorded in a Complaints Log. The log will include:

date received and method (verbal/written/email/telephone);
who raised the complaint and their relationship to the service user (where relevant);
the service user’s details (where applicable) and any consent considerations;
a summary of the issues and desired outcomes;
immediate actions taken (including any safeguarding action);
investigation steps and evidence reviewed;
outcome decision, learning points, and actions taken;
dates of updates provided and date the complaint is closed; and
whether the complainant was satisfied at closure and any follow-up required.

How we use complaints to improve our service
We will:

identify themes and trends (for example, missed calls, communication issues, medication issues);
agree an improvement plan with clear actions, responsible persons and deadlines;
share learning with staff through supervision, team meetings and training; and
update relevant risk assessments, care plans, and policies where needed.

How we check the complaints system is working well
The Registered Manager will complete periodic checks to make sure the process is effective, including:

a quarterly audit of complaints handling (timescales, quality of responses, learning/action completion); and
monitoring key measures such as response times, repeat complaint themes and outcomes.
Any gaps identified will be addressed through management action plans and monitored at governance review.

Board oversight of learning from complaints
A quarterly complaints and compliments report summarising themes, actions and outcomes will be presented to the {{org_field_nominated_individual_first_name}} {{org_field_nominated_individual_last_name}} (Nominated Individual) and discussed at management review. This assures ongoing compliance with Regulation 16 and embeds service improvement.

8. Staff Responsibilities

8.1 Care Workers

Care workers play a key role in ensuring complaints are managed effectively. They are responsible for:

Listening to complaints with empathy and documenting them accurately.
Reporting complaints immediately to the appropriate manager.
Cooperating fully in investigations to provide accurate information.

8.2 Managers and Supervisors

Managers are responsible for:

Overseeing complaint investigations and ensuring timely responses.
Supporting staff and complainants throughout the process.
Implementing corrective actions to address concerns.

8.3 Directors and Senior Leadership

Senior leadership ensures:

A culture of openness and transparency, where complaints are welcomed.
Oversight of serious complaints and governance of improvements.
Compliance with CQC regulations and best practices in complaint handling.

9. Confidentiality and Data Protection

All complaint records will be managed in line with the UK GDPR and the Data Protection Act 2018. We will ensure lawful bases for processing, apply data minimisation and retention controls, and provide complainants with appropriate privacy information. Access to complaint files is restricted to those directly involved in handling or overseeing the complaint, and any data sharing will be strictly necessary and documented.

Our Data Protection Officer (DPO) is {{org_field_data_protection_officer_first_name}} {{org_field_data_protection_officer_last_name}}.

Email: {{org_field_data_protection_officer_email}}
Telephone: {{org_field_data_protection_officer_phone}}

We will keep complaint records securely and only for as long as necessary in line with our retention schedule. People can request access to their personal data in line with data protection law.

10. Monitoring and Review

This policy is reviewed annually or sooner if required to reflect changes in legislation or best practices. Regular audits of complaints and feedback will be conducted to ensure compliance and continuous service improvement.

11. Compliance and Legal Framework

This policy is guided by:

Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 – Regulation 16 (Receiving and Acting on Complaints).
Care Act 2014 – Supporting service user rights and well-being.
General Data Protection Regulation (GDPR) – Ensuring confidentiality in complaints handling.
Local Government and Social Care Ombudsman Guidelines – Best practices for complaint resolution.
Regulation 20: Duty of Candour – our commitment to openness, honesty, and providing explanations and apologies when things go wrong.
The Accessible Information Standard – ensuring information is provided in a way service users can understand.
The Equality Act 2010 – ensuring fairness, non-discrimination, and reasonable adjustments for all service users.
Data Protection Act 2018

At {{org_field_name}}, we are committed to ensuring that our complaints process is accessible to everyone. In line with the Accessible Information Standard, we will make sure that people who have a disability, impairment, or sensory loss receive information in a format they can easily understand. This may include large print, easy-read versions, audio formats, or the use of interpreters and communication aids.

We also comply with the Equality Act 2010, which places a duty on us to make reasonable adjustments so that no individual is treated less favourably when raising a complaint. This includes supporting people with protected characteristics such as age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, and sexual orientation.

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.