{{org_field_logo}}

{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Receiving and Acting on Complaints Policy

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}}. This policy ensures that all complaints, concerns, or feedback from service users, their families, advocates, and staff are taken seriously, investigated thoroughly, and resolved promptly. It aligns with the Regulation and Inspection of Social Care (Wales) Act 2016【32】, the CIW’s expectations for regulated services, and the Social Services and Well-being (Wales) Act 2014.

2. Scope

This policy applies to:

• Service users receiving care and support from {{org_field_name}}.
• Family members, advocates, and representatives who wish to raise concerns.
• Staff members who report concerns or complaints internally.
• Healthcare professionals and external agencies providing feedback.

3. Principles of Effective Complaint Handling

At {{org_field_name}}, we follow best practice principles when managing complaints:

• Person-centred approach – Ensuring service users and their families feel heard and respected.
• Accessibility – Making the complaints process easy to understand and use.
• Transparency – Ensuring all complaints are documented and acknowledged.
• Timeliness – Responding to and resolving complaints as quickly as possible.
• Fairness – Investigating complaints impartially, without bias or discrimination.
• Continuous improvement – Learning from complaints to enhance service quality.

4. Complaint Handling Process

4.1 How Complaints Can Be Made

Complaints can be submitted in multiple ways to ensure accessibility:

• Verbally – Directly to care staff or the Registered Manager during visits or calls.
• In Writing – Via email or letter to {{org_field_registered_manager_email}}.
• Online Form – Accessible on our website {{org_field_website}}.
• Through Advocates – If a service user lacks capacity, complaints may be raised by a trusted person.
• Anonymous Complaints – These are also accepted and investigated where possible.

All staff must be trained to recognise and record complaints, even if the complainant does not formally label it as a “complaint.”

4.2 Acknowledging Complaints

• All complaints will be acknowledged within 3 working days of receipt.
• The complainant will receive a reference number and the name of the complaint handler assigned to their case.
• If a complaint requires an urgent response (e.g., safeguarding issues), immediate action will be taken.

4.3 Investigating Complaints

Investigations will be impartial, thorough, and evidence-based. The process includes:

• Assigning an investigation officer (not directly involved in the incident).
• Gathering relevant documentation, witness statements, and service records.
• Holding meetings with the complainant to clarify their concerns.
• Assessing whether the complaint is upheld, partially upheld, or not upheld.
• Identifying corrective actions to resolve the issue and prevent recurrence.

Most complaints will be resolved within 28 days. If more time is needed, the complainant will receive regular updates.

4.4 Complaint Outcomes and Resolution

Once an investigation is complete:

• A formal written response will be provided, outlining:
  • Findings of the investigation.
  • Actions taken to resolve the complaint.
  • Any changes or improvements made as a result.
  • Information on how to escalate if the complainant is unsatisfied.
• Where required, mediation meetings may be offered to resolve concerns amicably.

4.5 Escalation Process

If the complainant is unsatisfied with the outcome, they may escalate the matter:

1. Internal Appeal – The complaint is reviewed by a senior manager within 14 days.
2. External Escalation – If the complainant remains unsatisfied, they can escalate to:
   • Care Inspectorate Wales (CIW) – https://www.careinspectorate.wales/
   • Local Authority Complaints Team – {{org_field_local_authority_information_link}}
   • Public Services Ombudsman for Wales – https://www.ombudsman.wales/

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

5.1 Training and Staff Responsibilities

• All care staff receive annual training on:
  • How to recognise and report complaints.
  • Effective communication and de-escalation techniques.
  • How to document and escalate complaints appropriately.
• Managers are trained in conflict resolution and investigation procedures.

5.2 Record Keeping and Confidentiality

• All complaints are recorded securely and stored in compliance with the Confidentiality and Data Protection Policy (DCW34).
• Records include:
  • Nature of complaint.
  • Actions taken and resolution.
  • Lessons learned and improvements made.
• Complaints data is reviewed regularly to identify trends and service improvements.

5.3 Monitoring and Continuous Improvement

• Quarterly audits of complaints are conducted to:
  • Identify common issues.
  • Ensure timely resolution of complaints.
  • Improve service delivery based on feedback.
• Lessons from complaints are shared during staff training sessions.
• Feedback surveys are used to ensure complainants are satisfied with how their issue was handled.

5.4 Learning from Complaints

{{org_field_name}} is committed to learning from complaints by:

• Reviewing policies and procedures based on complaint trends.
• Implementing corrective actions where necessary.
• Sharing learning outcomes with staff, service users, and stakeholders.

6. Related Policies

This policy should be read in conjunction with:

• Dignity and Respect Policy (DCW08)
• Safeguarding Adults from Abuse and Improper Treatment Policy (DCW13)
• Confidentiality and Data Protection (GDPR) Policy (DCW34)
• Whistleblowing (Speaking Up) Policy (DCW29)
• Equality, Diversity, and Inclusion Policy (DCW30)

7. Policy Review

This policy will be reviewed annually or sooner if there are legislative changes, CIW regulatory updates, or service improvements. Staff will be informed of any updates and provided with refresher training where necessary.

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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.