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Contents

1. What is a Complaint?
2. Who may make a Complaint?
3. Stage One: Informal Complaints
4. Stage Two: Formal Complaints
5. Stage Three: Reviews

1. What is a Complaint?

A ‘Complaint’ is a written or oral expression of dissatisfaction or disquiet, whilst a ‘Representation’ include enquiries and statements about such matters as availability, delivery and nature of services, and will not necessarily imply a criticism of the service provided.

Ideally, Complaints should be separated out from other representations. 

See the Directorate’s full Manual of Complaints for more guidance on what may constitute a complaint.

2. Who may make a Complaint?

A complaint may be made by:

1. Any child who is Looked After or who, although not Looked After, is a Child in Need
2. A Parent
3. A local authority Foster Carer
4. Such other person as the authority consider has sufficient interest in a child’s welfare to warrant a complaint or representation being considered by them
5. An Eligible Young Person, Relevant Young Person or Former Relevant Young Person (these terms are defined in Keywords Appendix)
6. A young person qualifying for advice and assistance under the Leaving Care procedures
7. A person aged up to 24 who is or was a former relevant young person or qualified for advice and assistance under the Leaving Care procedures and whom the local authority may still assist in connection with education and training

3. Stage One: Informal Complaints

3.1 What is a Stage 1 Complaint?

Stage 1 complaints are complaints which can be dealt with ‘locally’ or informally.

3.2  Who may Deal With Stage 1 Complaints?

Stage 1 complaints may be dealt with by the senior member of staff or manager; who is known as the Lead Officer for the purposes of this procedure. 

The Lead Officer must have the delegated authority to resolve the matter to the satisfaction of the complainant, but may not be the person complained about. 

3.3  Transfer of Complaints to Stage 2

If the lead Officer is unable to satisfy the complainant, or the matter is beyond the remit of the Lead Officer, it must be passed to the Designated Manager (Complaints) who may initiate a Stage 2 Investigation.

In any case, those making complaints at this stage may, at any time, request the matter is dealt with at Stage 2; in which case, the Designated Manager (Complaints) must be notified.

3.4 Timescales for Stage 1 Complaints

The timescales for resolution of Stage 1 Complaints are 10 days from the date the complaint is made to receipt of a written response by the complainant.  Where this timescale cannot be met, the complainant should be notified, and given a rescheduled date for completion,

3.5 Media Involvement

If the media are involved (local or national press, television or radio etc.) the matter must maintain strict confidentiality.  All press enquiries must immediately be referred to the manager, the Directorate’s Public Relations Unit, and the Designated Manager (Complaints).

3.6  Receiving and Recording Stage 1 Complaints

Those wishing to make Stage 1 complaints may approach any member of staff to do so, but matters should be passed to a senior member of staff or manager for resolution. 

Complaints can be received in any form, but if they are not made in writing, the staff member receiving them should accurately record and, preferably, agree the record with the person making them.

The key information that is required is:

1. the ‘complainant’s’ name, address and telephone contact;
2. the date/time the complaint was received, by whom, and who it was passed to;
3. the name of any relevant child(ren);
4. who they are complaining about (if there is a named individual);
5. what team or unit this person belongs to, or where the incident took place;
6. a breakdown of the complaint into its individual points (if possible);
7. what outcome the complainant is seeking;
8. the complainant’s understanding of their own ethnic origin.

All actions relating to the complaint must be recorded on the ‘Complaints Record Sheet’ for the Designated Manager (Complaints) and the resolution put into writing for the complainant.  The Directorate’s full Manual of Complaints contains guidance on writing letters to complainants.

Each manager will record the complaints received by their team on a monthly monitoring sheet, copies of which must be forwarded to the Designated Manager (Complaints) each month.

Matters of special merit (e.g. particularly problematic, with implications for procedures, etc.), even if resolved, must be brought to the attention of the Designated Manager (Complaints).

4. Stage Two: Formal Complaints

This is a summary of the process of receiving and investigating Stage 2 Complaints.  For more detail, see the Directorate’s full Complaints Manual.

4.1 What is a Stage 2 Complaint?

Matters must be transferred to Stage 2 if they could not be resolved at Stage 1 or if the complainant requests the matter be investigated at Stage 2 (which the complainant can request at any stage).

4.2 Receipt of Stage 2 Complaints

Where it appears that a complaint should be dealt with at Stage 2, the Designated Manager (Complaints) must be notified.

If matters have not been resolved at Stage 1, the Designated Manager (Complaints) will liaise with the complainant with a view to resolving matters satisfactorily, if possible.

4.3 Appointment of an Investigating Officer and Independent Person

If a Stage 2 Investigation is required, the Designated Manager (Complaints), in consultation with the Designated Manager (Complaints), will appoint an Independent Investigating Officer and Independent Person (IP).  The Independent Person (IP) is an external person who overseas the entire complaints process.  Whilst the Investigating Officer is responsible for establishing the facts, offering an opinion on the extent to which a complaint is justified, and recommending possible resolution to complaints, the Independent Person confirms whether this work has been fair and complete.

4.4 Notifying the Complainant

The decision to undertake the Stage 2 Investigation will be notified to the complainant within 5 days of the receipt of the Stage 2 Complaint.

4.5 Timescales for the Stage 2 Investigating

The timescale for the investigation of the Stage 2 Complaint will normally be 20 days commencing from the signing of a ‘Statement of Complaint’ formulated by the Investigating Officer. In some circumstances this timescale can be extended up to three months, through consultation with the complainant.

4.6 Recording of Stage 2 Investigations

At the end of the Stage 2 Investigation, the Investigating Officer will produce a report, which must be passed to an Designated Manager (Complaints) for adjudication, via the Designated Manager (Complaints) .

4.7 Adjudicating of Stage 2 Investigations

The Designated Manager (Complaints) adjudicating the complaint will consider the Investigating Officer’s report, and write an Adjudication; then invite the complainant to an Adjudication Meeting to discuss the complaint, the report and possible ways forward.  The Adjudication Meeting must be convened with 20 days of the end of the Stage 2 Investigation.

The complainant must be advised that they have the right to request Stage 3: Reviews within another 20 days.

The Designated Manager (Complaints) will feed back to staff involved in the complaint, and will circulate the Investigating Officer’s report and the Adjudication.

5. Stage Three: Reviews

If the complainant is not satisfied with the outcome of a complaint investigated at Stage 2, s/he has 20 days to ask for the response to be reviewed.  A Review Panel should be set up and meet within 28 days of the complainant’s request being made. 

The aim is to review the investigation and to conclude whether these have been correctly conducted.  The Panel’s role is not to investigate or to consider new matters.  The panel makes recommendations to the Director of Social Services and Culture based upon the review.

The Review Panel must be made up of 3 people.  The Chair of the Panel should be an independent person.

The Review Panel’s recommendations should be recorded in writing within 24 hours of completion of their deliberations and formally sent to the Director of Social Services and Culture and the complainant.

The Director of Social Services and Culture must respond to the recommendations of the Review Panel and make the decisions known to the complainant within 28 days, explaining the authority’s decision and reasons.  The Director, together with the Independent Chair of the Panel, must consider the Panel’s recommendations.

In terms of the Complaints Procedure, there is no further action that the complainant can take to progress a complaint.

Complainants should be advised of their right to make representations to the Local Government Ombudsman if they are still not satisfied.

End