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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Receiving and Acting on Complaints Policy

1. Introduction

At {{org_field_name}}, we are committed to providing high-quality domiciliary care services that meet the needs of our service users of all ages. We deliver personal care and support in a variety of settings, including individuals’ homes and community locations such as parks, libraries, leisure centres, places of worship, clinics, youth groups, and during travel to and from such settings. 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. It applies equally to adult service users and to children and young people (0–18 years) who use our services. We take all concerns raised by service users, their families, or representatives seriously and address them promptly. The policy 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. It also reflects our obligations under Regulation 20 (Duty of Candour) to be open and honest when things go wrong, and incorporates principles from Working Together to Safeguard Children 2018 to ensure that our approach is suitable for handling complaints involving children and young people.

2. Purpose

The purpose of this policy is to:

• Provide a clear framework for managing complaints effectively.
• Ensure that service users (including children and young people), as well as their families and representatives, feel confident in raising concerns without fear of negative consequences.
• Maintain transparency and accountability in how we handle and respond to complaints.
• Improve the quality of care by learning from complaints and implementing necessary changes.
• Make the complaints process accessible and inclusive, offering support, adjustments, or communication aids as needed so that no one is prevented from complaining due to disability, language, age, or other factors.
• Acknowledge the role of parents, carers, or advocates in supporting individuals – especially children or others who may not be able to complain on their own – and ensure their involvement is welcomed and facilitated.
• Ensure compliance with all relevant legal, regulatory, and safeguarding requirements (including Care Quality Commission (CQC) regulations and child protection guidance) and uphold best practices in complaint handling.

This policy applies to all {{org_field_name}} staff, including care workers, managers, administrative personnel, and volunteers. Everyone must understand and adhere to the procedures outlined here.

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, professionalism, and respect for the perspective of the complainant (whether an adult or a child).
• Providing multiple channels for submitting complaints, including verbal, written, email, telephone, and online options.
• Investigating each complaint thoroughly and impartially, ensuring a fair and objective process.
• Keeping complainants informed about the progress of their complaint.
• Resolving complaints promptly within the timeframes set out in our procedures.
• Responding in a person-centred way – for children and young people, this means using age-appropriate language, involving their parent or carer where appropriate, and providing additional support to help them express their concerns.
• Learning from complaints by identifying trends and making improvements to prevent issues from recurring.

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

• We will inform the service user, their family, or representative as soon as we become aware of a notifiable safety incident or serious concern. (For a child, we will ensure their parent or legal guardian is informed as appropriate.)
• We will offer a full explanation of what happened, including any known causes, and outline the steps we are taking to investigate the matter.
• Where appropriate, we will provide a sincere apology (which will be documented).
• We will keep the person informed throughout the investigation and update them on any actions taken to prevent recurrence.
• We will document all actions taken under our Duty of Candour obligations, maintaining records as evidence of compliance.

4. Who Can Make a Complaint?

Complaints can be made by:

• Service users receiving care from us. This includes adults and also children or young people who use our services (with support from a parent/guardian if needed).
• Relatives, friends, or advocates acting on behalf of a service user. For example, a parent or legal guardian can make a complaint on behalf of a child, or a family member or advocate can do so for an adult who is unable to complain independently. (We do ask that anyone complaining on someone else’s behalf has the individual’s permission where possible, unless the person is unable to give it.)
• Staff members who wish to raise concerns about the quality of care or any aspect of our service delivery.
• Healthcare professionals or external agencies (such as social workers, commissioners, or regulators) who have concerns about our service.
• Anonymous individuals. Complaints may be made anonymously. We will investigate anonymous complaints as far as possible, although a lack of detail can limit our ability to fully address the issue.

5. How Complaints Can Be Made

At {{org_field_name}}, we recognise that some people – including children or others with specific needs – 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, simple language. Alternative formats (such as large print, easy-read versions with symbols or pictures, and translated materials in other languages) will be made available 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, communication difficulties, or those who need extra help (for example, very young service users) will be supported by staff who are trained to listen patiently and assist them in expressing their concerns.
• People who would prefer independent assistance will be offered details of advocacy services or support organizations in their local area, and we can help with referrals if requested.
• Relatives, friends, or advocates can raise complaints on behalf of service users if the individual is unable to do so themselves or needs support. (This includes parents or carers acting on behalf of a child.)
• These measures ensure that nobody is disadvantaged or prevented from raising a concern because of language barriers, disability, age, or any other factor. We take our responsibilities under the Equality Act 2010 and the NHS Accessible Information Standard seriously, making reasonable adjustments so that the complaints process is inclusive for all.

We strive to make the complaints process straightforward. Complaints can be submitted through various channels:

• Verbally – You can speak directly to the Registered Manager or the Safeguarding Lead about your complaint (or you may tell any member of staff, who will then escalate your concerns to management).
• By Email – Send a message detailing your complaint to the Registered Manager, {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}, at {{org_field_registered_manager_email}}.
• By Telephone – Call our office at {{org_field_phone_no}} to inform the Registered Manager or Safeguarding Lead. (For urgent issues outside of normal office hours, an out-of-hours number {{out_of_hours}} is available.)
• Online – Submit a complaint via our website at {{org_field_website}}.

All complaints will be acknowledged by us within three working days of receipt.

6. Complaint Handling Process

6.1 Acknowledging the Complaint

Upon receipt of a complaint, we will:

• Acknowledge it within three working days, confirming that we have received the complaint and outlining the next steps.
• Start the investigation process promptly.

If a complaint is made by or on behalf of a child, our acknowledgement will be communicated in a manner the child can understand (for example, by speaking with the child at their level of understanding), and we will also confirm the details of the complaint with their parent or guardian.

6.2 Investigation Process

A fair and impartial investigation will be conducted for every complaint. This may include:

• Reviewing care records, communication logs, and any policies or guidelines relevant to the issues raised.
• Speaking with involved staff members (and others, as appropriate) to understand the circumstances surrounding the complaint.
• Engaging with the complainant (or their representative) to clarify their concerns and what outcome they are seeking.

We will ensure the investigation approach is sensitive to the needs of the individual. When a complaint involves a child or young person, the investigation will be carried out in a child-centred manner – for instance, by involving a parent or trusted adult in discussions with the child (as appropriate) and by choosing settings or communication methods that help the young person feel comfortable. Our priority is to make sure the child feels safe and supported throughout the process.

Investigations will normally be completed within 20 working days. If more time is required (for example, due to the complexity of the issues), the complainant will be informed of the delay and given a revised timeline. Throughout the investigation, we will keep the complainant (and/or their representative) informed of progress. Updates will be provided at least every seven working days, or sooner if there are significant developments. These updates may be given in writing, by telephone, or in whatever format best suits the individual’s communication needs. If it becomes clear that additional time is needed to reach a conclusion, we will explain the reasons for the delay, confirm the new expected timescale, and continue to provide regular updates until the matter is resolved.

(Please note: If at any point a complaint indicates that a service user – whether an adult or a child – may be at risk of abuse or serious harm, we will immediately invoke our safeguarding procedures. This means notifying the appropriate authorities (such as the Local Authority Safeguarding Team for adults or for children) without waiting for the complaint investigation to conclude, in accordance with our safeguarding policies and the principles of Working Together to Safeguard Children (2018).)

6.3 Response and Resolution

Following the investigation:

• A formal response will be provided to the complainant, outlining the investigation’s findings, any actions taken, and any remedial measures or service improvements resulting from the complaint. This response will typically be in writing.
• If the complainant is satisfied with the outcome, the complaint will be considered resolved and the case closed.
• If the complainant remains dissatisfied, they will be informed of their right to escalate the issue to the next stage (see section 6.4 below).

When the investigation is complete, our written response will include a clear explanation of what we found, what we have done (or will do) to address the issue, and what improvements or changes we have made as a result of the complaint. We will ensure that the outcome is communicated in a format that meets the individual’s needs, in line with the Accessible Information Standard. For example, we can provide the response in large print, in an easy-read summary, translated into another language, or we can explain it verbally if that is preferred. In the case of a child or young person who was directly involved in the complaint, we will, wherever possible, explain the outcome to them in age-appropriate language (with a parent or guardian present to support them as needed). We will also offer the complainant (or their representative) an opportunity to discuss the outcome and any further concerns in person or by telephone, if they wish to do so.

6.4 Escalation of Complaints

If a complainant is dissatisfied with the outcome of their complaint or how it has been handled, they may escalate the matter to:

• Senior Management or Directors of {{org_field_name}}: You can request a review of your complaint by a senior manager or company director (for example, {{org_field_company_director_first_name}} {{org_field_company_director_middle_name}}). They can be contacted via email at {{org_field_company_director_email}}.
• Local Authority Safeguarding Team: {{org_field_local_authority_authority_name}}, Link: {{org_field_local_authority_information_link}} (for complaints involving potential abuse or neglect of an adult or child – the local authority will involve the appropriate Adult or Children’s Safeguarding services as needed).
• Care Quality Commission (CQC): You may contact the CQC (the independent regulator for health and social care services) to report your concern. Call 03000 616161 or visit the CQC’s website. Please note that the CQC does not investigate individual complaints, but they do welcome feedback and may use the information when inspecting our service.

If a complaint raises very serious issues (for example, allegations of abuse or criminal behavior), we will not wait for our internal process to finish before taking action. We will immediately report such concerns to the relevant external authorities (such as the local Safeguarding Team or the police) in line with our safeguarding obligations, ensuring that protection of individuals is paramount.

6.5 Referral to the Local Government and Social Care Ombudsman

After exhausting all stages of our internal complaints process, if you remain dissatisfied and we have not been able to resolve your complaint, you have the right to refer the matter to the Local Government and Social Care Ombudsman (LGSCO). The Ombudsman is an independent service that investigates unresolved complaints about adult social care services in England. (In some cases, the LGSCO can also consider complaints about services for children and young people, particularly if those services are provided or commissioned by a local authority.)

{{org_field_name}} is committed to full cooperation with any independent review or external investigation into a complaint. This includes working openly with the Local Government and Social Care Ombudsman, local authority safeguarding partners/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 organizations. Our priority is to ensure transparency, accountability, and continuous improvement in how complaints are handled.

Contact details for the LGSCO:

• Website: www.lgo.org.uk
• Advice Line: 0300 061 0614
• Text (SMS): Send “call back” to 0762 481 1595 (and the LGSCO will call you back)
• Email: advice@lgo.org.uk
• Postal Address: The Local Government and Social Care Ombudsman, PO Box 4771, Coventry, CV4 0EH

6.6 Special Circumstances: Complaints About Senior Staff

{{org_field_name}} recognises the importance of ensuring that complaints about senior staff, including the Registered Manager or the Nominated Individual, are handled fairly and impartially. In such cases:

• If a complaint is made about the Registered Manager, it will be investigated by the Nominated Individual or a Company Director. This person will take responsibility for overseeing the process to ensure objectivity and that the Registered Manager has no involvement in handling the complaint.
• If a complaint is made about the Nominated Individual, it will be handled by another Director of the company or by an independent external reviewer appointed for that purpose.
• If the Registered Manager and Nominated Individual are the same person, any complaint about them will be escalated to another Director or, if necessary, to an independent external professional, ensuring transparency and fairness.

In all cases, complainants will be reassured that their concerns are being taken seriously and will be investigated thoroughly and without bias. This approach safeguards the integrity of our complaints system and provides assurance that all complaints, regardless of whom they are about, will be dealt with openly, honestly, and in line with our regulatory obligations (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 in our services. To ensure lessons are learned, we:

• Analyse complaints (and compliments) to identify any recurring issues or trends.
• Review our policies, procedures, and practices in light of complaints to determine if changes are needed to prevent future occurrences.
• Provide additional staff training or guidance where a complaint has highlighted a gap in knowledge, skills, or process.
• Communicate the outcomes and lessons from complaints across the organisation, so that all staff are aware of improvements and the importance of learning from feedback.
• Ensure management and governance oversight of complaints. For example, a quarterly report summarising themes from complaints and the actions taken is presented to the {{org_field_nominated_individual_first_name}} {{org_field_nominated_individual_last_name}} (Nominated Individual) and discussed at management review meetings. This helps to assure ongoing compliance with Regulation 16 and embeds a culture of 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 or concerns raised by service users (or their representatives) with empathy and without judgment, and documenting the details accurately.
• Reassuring the person that their concern is taken seriously and that they did the right thing by speaking up.
• Reporting complaints immediately to the appropriate manager (especially if the issue is urgent or involves any potential safeguarding concern, so that prompt action can be taken).
• Cooperating fully in investigations by providing honest, accurate information about the matter in question.
• Being open to feedback and willing to learn from complaints to improve their practice.

8.2 Managers and Supervisors

Managers and supervisors are responsible for overseeing the complaints process and supporting both the service user and staff through it. They are responsible for:

• Overseeing complaint investigations and ensuring that responses (findings and outcomes) are provided within the expected timeframes.
• Supporting staff and complainants throughout the process – for example, ensuring that the person who raised the complaint receives updates and that staff involved in the complaint are treated fairly and given guidance.
• Implementing corrective actions or service changes to address the concerns raised, and following up to ensure those actions are effective.
• Making safeguarding referrals if a complaint suggests that a child or adult may be at risk of harm, in line with our safeguarding policies and multi-agency procedures (e.g. contacting the local Safeguarding Children Partnership or Safeguarding Adults Board as appropriate).
• Monitoring all complaints within their service area for any significant issues or patterns, and escalating serious matters to senior management as needed.

8.3 Directors and Senior Leadership

Senior leadership ensures that the entire organisation fosters a positive approach to complaints. Directors and senior leaders are responsible for:

• Promoting a culture of openness and transparency, where feedback and complaints are welcomed as opportunities to improve rather than viewed negatively.
• Providing oversight of serious or complex complaints, including ensuring that any necessary external notifications (to CQC, safeguarding authorities, etc.) are made in a timely manner.
• Ensuring the service remains in compliance with CQC regulations and all relevant laws and standards related to complaint handling (for both adult and child-focused complaint handling). This includes allocating sufficient resources for managing complaints, regularly reviewing this policy, and keeping the team updated on best practices.
• Reviewing trends from complaints at a governance level (e.g., in Board or management meetings) to ensure that systemic issues are addressed and that learning from complaints leads to tangible improvements in service quality.

9. Confidentiality and Data Protection

All complaint records will be managed in line with the UK General Data Protection Regulation (UK GDPR) and the Data Protection Act 2018. Information related to a complaint will be kept confidential and shared only with those directly involved in investigating or resolving the issue (or with external authorities as required, such as CQC or safeguarding teams, when a complaint involves those bodies). We will ensure that we have an appropriate lawful basis for processing personal data during the complaints process, and we will adhere to data protection principles such as data minimisation and secure storage.

Complaint files and correspondence will be stored securely and access will be restricted. We will retain complaint records in accordance with our retention policy, which reflects legal requirements and best practice guidance. Complainants (and people complained about) will be provided with information about how their data will be used and their rights, including the right to confidentiality and the right to access information we hold about them.

10. Monitoring and Review

This policy is reviewed at least annually, or sooner if required to reflect changes in legislation, regulations, or best practice guidance. For example, if there are updates to the Health and Social Care Act regulations, the Working Together to Safeguard Children framework, or other relevant guidance, we will update our policy accordingly.

We also continuously monitor how complaints are handled within {{org_field_name}}. Regular audits of complaints and feedback are conducted to ensure that we are complying with this policy and to identify areas for improvement. These audits, along with input from service users and staff, help us refine our complaints handling process and ensure it remains effective, fair, and accessible.

Sources (Legal and Regulatory Frameworks)

This policy is guided by the following legal and regulatory frameworks and best-practice guidance:

• Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 – Regulation 16: Receiving and Acting on Complaints. Requires care providers to have an effective system in place for handling complaints.
• Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 – Regulation 20: Duty of Candour. Establishes a duty on providers to be open, honest, and transparent with service users (and their families) when things go wrong.
• Working Together to Safeguard Children (2018). Statutory guidance from HM Government on inter-agency working to safeguard and promote the welfare of children. Relevant to our complaints handling as it emphasizes listening to children, ensuring their protection, and coordinating with safeguarding partners when children’s safety is concerned.
• Care Act 2014. Sets out the framework for adult social care in England, including principles of wellbeing and safeguarding. It reinforces the importance of responding to complaints and feedback to uphold individuals’ rights and improve care quality.
• Local Government and Social Care Ombudsman (LGSCO) Guidance. Guidance on effective complaint handling in social care. The LGSCO is an independent ombudsman that can investigate complaints about adult social care (and certain children’s services) if not resolved internally.
• Accessible Information Standard (2016). A standard requiring health and social care providers to communicate with service users in a way they can understand. We adhere to this by providing complaints information and responses in accessible formats (e.g. easy-read, large print, alternative languages) as needed.
• Equality Act 2010. Legislation requiring providers to make reasonable adjustments and ensure no discrimination on the basis of protected characteristics (e.g. age, disability, race, religion, sex, etc.). We apply this by making our complaints process fair and accessible to all, and by supporting everyone – including children and those with disabilities – to voice their concerns.
• Data Protection Act 2018 (UK GDPR). Laws governing the use of personal data. We comply with these laws when handling information related to complaints, ensuring confidentiality and data security.

In line with the Accessible Information Standard, we will ensure that anyone with a communication need (due to disability or language preferences) receives information about the complaints process – and responses to their complaints – in a format they can easily understand. In addition, in line with our duties under the Equality Act 2010, we strive to make reasonable adjustments so that no person is treated less favorably when making a complaint. Because we provide services to children as well as adults, we also follow the principles of Working Together to Safeguard Children (2018) – meaning that if a complaint involves a child, we will always consider the child’s welfare, listen to their views (taking their age and understanding into account), and promptly involve the appropriate authorities if there are any child protection concerns.

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