{{org_field_logo}}

{{org_field_name}}

Registration Number: {{org_field_registration_no}}

---

Receiving and Acting on Complaints Policy

1. Introduction

At {{org_field_name}}, we are committed to providing high-quality supported living 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 supported living settings.

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.

4. Who Can Make a Complaint?

Complaints can be made by:

• Service users receiving supported living services.
• 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.

5. How Complaints Can Be Made

Complaints may be made verbally or in writing. A person does not have to use a particular form or describe their concern as a “formal complaint” for it to be taken seriously.

Complaints should normally be directed to:

Registered Manager: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Email: {{org_field_registered_manager_email}}
Telephone: {{org_field_phone_no}}
Out-of-hours telephone: {{out_of_hours}}

A complaint may also be raised directly with any member of staff. Where this happens, the staff member must listen to the concern, record it accurately and pass it to the Registered Manager without delay.

Complaints may be made:

• verbally in person;
• by telephone;
• by email;
• in writing;
• through the organisation’s website;
• through an advocate, relative, representative or other person acting on the complainant’s behalf; or
• anonymously.

Anonymous complaints will be considered and investigated as far as reasonably possible, although the absence of contact information or sufficient detail may limit the investigation.

5.1 Supporting People to Make a Complaint

{{org_field_name}} will ensure that people are able to raise complaints without disadvantage, discrimination, intimidation or fear that the quality of their care or support will be affected.

Where a person requires support to make or participate in a complaint, we will make reasonable adjustments and provide information in a format appropriate to their needs.

This may include:

• Easy Read information;
• large print;
• pictures, symbols or visual communication;
• British Sign Language or other communication support;
• interpreters or translated information;
• audio or alternative formats;
• additional time to explain concerns;
• support from an advocate;
• assistance from a relative, friend or representative, with the person’s consent where appropriate; and
• other reasonable adjustments based on the person’s communication or disability-related needs.

Communication and information needs will be identified, recorded and met in accordance with the Accessible Information Standard and the Equality Act 2010.

Where the person is autistic and/or has a learning disability, information about the complaints procedure will be adapted to their individual communication and understanding needs. Staff will support the person to understand how to complain, what will happen after a complaint is made and how they will be informed of the outcome.

6. Complaint Handling Process

6.1 Stage 1 – Receipt and Acknowledgement

When a complaint is received, it will be recorded on the Complaints Register and passed to the person responsible for handling it.

The complaint will be acknowledged within 3 working days.

The acknowledgement will:

• confirm receipt of the complaint;
• identify the person responsible for investigating it;
• summarise the issues being investigated;
• explain the next steps;
• provide the expected response timescale; and
• give the complainant a contact point for questions or updates.

Where appropriate, the complainant will be contacted to clarify the complaint, understand the outcome they are seeking and agree how they would prefer to receive communications.

6.2 Stage 2 – Investigation

The complaint will be investigated fairly, objectively and proportionately.

The investigation may include:

• reviewing care plans, daily records, risk assessments, medication records or other relevant documentation;
• reviewing applicable policies and procedures;
• interviewing or obtaining statements from staff;
• speaking with the complainant;
• speaking with the person receiving the service, where different from the complainant;
• consulting relevant professionals or commissioners where appropriate; and
• considering whether the matter also raises safeguarding, Duty of Candour, disciplinary, regulatory or other concerns.

The investigation will normally be completed and a final response issued within 20 working days of receipt.

If the investigation cannot reasonably be completed within 20 working days, the complainant will be informed before that period expires. We will explain:

• why additional time is needed;
• what work remains outstanding;
• the revised expected completion date; and
• how they can contact us for further information.

The complainant will continue to receive reasonable progress updates until the investigation is completed.

6.3 Stage 3 – Outcome and Final Response

At the conclusion of the investigation, the complainant will receive a written final response in an accessible format appropriate to their needs.

The response will:

• summarise the complaint;
• explain how it was investigated;
• set out the findings for each significant issue raised;
• state whether the complaint is upheld, partly upheld or not upheld, where appropriate;
• explain any action already taken;
• identify any further remedial or improvement actions;
• provide an apology where appropriate;
• explain any learning identified; and
• tell the complainant what they can do if they remain dissatisfied.

Where Regulation 20 – Duty of Candour applies, the requirements of that regulation will be followed in addition to the complaints procedure.

6.4 Stage 4 – Internal Review

Where the complainant remains dissatisfied with the final response, they may request an internal review by a senior person who was not directly involved in the original investigation wherever practicable.

The request for review should normally be made within 20 working days of the final response.

The reviewer will consider whether:

• the complaint was investigated fairly and sufficiently;
• relevant evidence was considered;
• the conclusions were reasonable;
• appropriate remedies and improvement actions were identified; and
• the complaints procedure was followed correctly.

The outcome of the internal review will normally be provided within 20 working days. If more time is required, the complainant will be told why and given a revised completion date.

6.5 Escalation of Complaints

Once {{org_field_name}} has completed its complaints procedure, a complainant who remains dissatisfied may be entitled to refer the matter to the Local Government and Social Care Ombudsman (LGSCO).

The LGSCO provides a free and independent complaints service for adult social care. It can consider complaints about privately arranged adult social care and, in appropriate circumstances, social care arranged or funded by a local authority.

{{org_field_name}} will provide complainants with current LGSCO contact information in its final complaint response where appropriate.

Where a complaint relates to care commissioned or arranged by a local authority, the complainant may also be advised of the relevant local authority complaints procedure.

Where a complaint raises concerns about abuse, neglect or safeguarding, information about the relevant Local Authority Adult Safeguarding Team will also be provided:

Local Authority: {{org_field_local_authority_authority_name}}
Report online: {{org_field_local_authority_information_link}}

The Care Quality Commission (CQC) does not normally investigate individual complaints on behalf of complainants. However, people may provide CQC with information about the quality or safety of a regulated service. Where appropriate, the complainant will be given information about how to contact CQC.

{{org_field_name}} will cooperate fully and openly with any lawful independent review or investigation undertaken by the Local Government and Social Care Ombudsman, a commissioning authority, CQC or another competent statutory body. We will provide relevant records and responses promptly, subject to applicable confidentiality and data-protection requirements, and will act on recommendations or findings where required.

6.6 Complaints About the Registered Manager or Senior Leaders

A person must be able to complain about the Registered Manager without being required to submit the complaint to the person who is the subject of the complaint.

Where a complaint concerns the Registered Manager, it should be directed to:

Nominated Individual: {{org_field_nominated_individual_first_name}} {{org_field_nominated_individual_last_name}}

or, where appropriate:

Company Director: {{org_field_company_director_first_name}} {{org_field_company_director_middle_name}}
Email: {{org_field_company_director_email}}

The person handling the complaint must be sufficiently independent of the matter complained about and must not have been directly involved in the events under investigation wherever practicable.

Where the Registered Manager and Nominated Individual are the same person, any complaint about that individual will be referred to a Director, another suitably senior person who is independent of the matters complained about, or an appropriately appointed external investigator.

Where there is no suitable independent person within the organisation, {{org_field_name}} will arrange for an external person with appropriate competence and independence to investigate or review the complaint.

The complainant will be informed who is dealing with the complaint and how that person’s independence from the matters complained about has been ensured.

7. Recording, Learning and Improvement

All complaints, including verbal complaints and complaints resolved at an early stage, will be recorded appropriately.

{{org_field_name}} will maintain a Complaints Register containing, where appropriate:

• the date the complaint was received;
• the complainant’s details;
• the person using the service concerned;
• the nature and category of the complaint;
• the person responsible for investigation;
• acknowledgement date;
• investigation actions;
• outcome;
• response date;
• whether the complaint was upheld, partly upheld or not upheld;
• remedial action taken;
• lessons learned;
• improvement actions and responsible persons;
• target completion dates; and
• confirmation that improvement actions have been completed.

Complaints will be reviewed individually and collectively to identify themes, trends, repeated concerns and opportunities for improvement.

Learning may result in:

• changes to care plans or risk assessments;
• revisions to policies or procedures;
• staff supervision or competency assessment;
• additional staff training;
• changes to staffing, communication or operational arrangements;
• safeguarding actions;
• changes to quality assurance or audit activity; and
• wider service-improvement actions.

Significant themes and learning from complaints will be reviewed through governance meetings and shared with relevant staff while maintaining confidentiality.

Where appropriate, people using the service will be informed about improvements made as a result of feedback and complaints.

7.1 Monitoring the Effectiveness of the Complaints System

The Registered Manager and senior leadership will monitor the effectiveness of the complaints system through regular quality assurance and governance review.

This will include reviewing:

• the number and type of complaints received;
• whether complaints were acknowledged and responded to within the stated timescales;
• overdue complaints;
• quality and completeness of investigations;
• whether complainants received appropriate updates;
• whether final responses addressed all issues raised;
• recurring themes and trends;
• safeguarding or Duty of Candour issues arising from complaints;
• whether agreed actions were completed;
• whether changes made as a result of complaints were effective; and
• feedback about people’s experience of the complaints process.

A formal complaints audit will be undertaken at least quarterly, or more frequently where complaint volumes, risks or trends indicate this is necessary.

Findings will be reported through the organisation’s governance arrangements and any identified improvements will be recorded, assigned to a responsible person and monitored to completion.

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. Duty of Candour

Complaints may identify an incident or circumstance to which the statutory Duty of Candour under Regulation 20 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 applies.

Where a complaint identifies or relates to a notifiable safety incident, {{org_field_name}} will follow its Duty of Candour procedure in addition to the complaints process.

This includes, where applicable:

• notifying the relevant person as soon as reasonably practicable;
• providing a truthful account of what is known about the incident;
• explaining what further enquiries or investigations will be undertaken;
• providing an appropriate apology;
• keeping the relevant person appropriately informed; and
• providing the required written notification and records.

An apology or open acknowledgement of something that has gone wrong will not prevent a fair investigation of the complaint.

10. Confidentiality, UK GDPR and Data Protection

Complaints will be handled confidentially, and personal information will be processed in accordance with UK GDPR and the Data Protection Act 2018.

Information relating to a complaint will only be collected, used and shared where there is an appropriate lawful basis and where it is relevant to investigating, resolving, reviewing or learning from the complaint.

Complaint records will:

• be accurate and appropriately detailed;
• be stored securely;
• only be accessible to authorised people who require access for a legitimate purpose;
• be retained in accordance with the organisation’s retention schedule; and
• be disposed of securely when no longer required.

Where information needs to be shared with external organisations, including safeguarding authorities, commissioners, the Ombudsman, CQC or other statutory bodies, information will be shared lawfully and proportionately.

The confidentiality of staff, people using the service and complainants will be respected throughout the complaints process. However, absolute confidentiality cannot be promised where information must lawfully be disclosed to protect a person from harm, comply with safeguarding duties, comply with a legal obligation or cooperate with an authorised investigation.

11. Compliance and Legal Framework

This policy supports compliance with:

• Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 – Regulation 16: Receiving and acting on complaints;
• Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 – Regulation 20: Duty of candour;
• Care Act 2014;
• Accessible Information Standard;
• Equality Act 2010;
• UK General Data Protection Regulation (UK GDPR);
• Data Protection Act 2018;
• relevant safeguarding legislation and local safeguarding procedures; and
• current guidance issued by the Care Quality Commission and Local Government and Social Care Ombudsman concerning adult social care complaints.

12. Monitoring and Review

This policy will be reviewed at least annually, or earlier where required following changes to legislation, regulations, statutory guidance, CQC requirements, Ombudsman guidance, recognised best practice, complaint trends, safeguarding concerns, audit findings or learning from the operation of the complaints procedure.

---

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.