Complaints and Compliments Policy

Introduction
1st Care’s ethos – which underpins its entire business operation – is to strive to continually enhance and improve its service delivery – keeping people who use our services at the heart of our business model. Complaints about service provision are just one way in which we can learn and also develop service provision and practice. How we deal with and manage complaints is a critical part of our business strategy.

As an Organisation, it is an expectation that, on occasions, mistakes and errors in judgement will be made. At the heart of the Organisation is a culture of openness and transparency, a willingness to learn from mistakes and the candour to acknowledge, accept and take ownership when mistakes happen – with the resolve to “put things right” when something goes wrong. In an effort to achieve this end we will investigate all complaints.

Policy statement
1st Care Limited takes all complaints raised very seriously.
All complaints made to the care home by residents or persons acting on residents’ behalf will be appropriately investigated within a maximum of 28 days, and the complainant will be kept informed during the investigation process. On conclusion of the investigation, they will inform of any action taken.

Aims and Objective
At 1st Care Limited it is our aim and objective to ensure
• Any user of our service, their family, friends or advocate are aware of how to complain, if there is something about our service they are unhappy with
• They understand their complaint will be listened to and it will be investigated.
• The person raising the complaints will be kept informed.

Responsibilities
All staff employed by 1st Care Limited are require to read and understand the duties laid down for them within this Policy and to adhere to them at all times. The duties for the various roles within 1st Care are outlined below.

The Nominated Individual;
Will oversee the complaints procedure. They will ensure the Care Manager does;
• Adhere to the contents of the Complaints Policy at all times.
• Investigates all complaints as per the Complaints Policy
• All complaints are concluded, where possible within the policy time scales of 28 days
• Monitor the number of complaints and analyse trends.

The Home Manager
The Home Manager is responsible for the following;
• All residents are aware how to complain, by displaying posters throughout the home.
• To ensure all staff know and understand what constitutes a complaint, their responsibilities and what they should do if they receive a complaint.
• Keep the Nominated Individual informed of any complaints and the status of the complaints.
• The Nurse in charge is aware what is expected of them on receipt of a complaint.
• To investigate all complaints thoroughly and within the given time frames
• To keep the complainant informed of the progress that is being made.
• To inform the complainant in writing of the outcome and what they can do if they are unhappy with the conclusion.
• To maintain the complaints folder and ensure all relevant documentation is stored in the folders.
• To complete the conclusion form and attach to the complaint.
• To keep the complaint, log up to date.
• To ensure the complaint is recorded on the weekly KPI.

The Nurse in Charge
Are responsible for the day to day running of the home and therefore overseeing any complaints. They are responsible for the following;
• To ensure, through handovers, supervisions etc., staff understand what constitutes a complaint and what they should do when they receive a complaint.
• To listen to residents who voice a complaint and ensure the complaint is recorded.
• To begin the investigation into the complaint
• To keep the home Manager informed of any complaints you receive in your shift.
• To advise any relatives, friends or advocates who wish to complain of the complaint’s procedure.

All Staff
On a daily basis staff must ensure;
• They are aware of their responsibilities.
• They understand what constitutes a complaint.
• They know what to do if they receive a verbal complaint and they will report it immediately to the person in charge of the shift.
• They listen to all complaints from residents and explain the complaints procedure to them. This includes helping them to log a complaint.

Definitions
A Concern
A concern is an issue of interest, importance or unfavourable experience raised with any member of 1st Care staff who can immediately respond, answer any questions and resolve issues by clarification with the person. A concern does not need to be recorded as a complaint but should be entered into the individual’s daily notes. Any concerns should be raised with the home Manager.

A Complaint
A complaint is an expression of dissatisfaction, disappointment or discontent about an act, omission or decision in respect to any 1st Care provides, which requires a response and action. All complaints will be investigated, concluded and recorded in the complaints folder.

A Compliment
A compliment is an expression of satisfaction about a service the customer has received. Compliments are positive feedback received either verbally or in writing. They can include expressions of praise, admiration, or congratulation and provide valuable information and provide encouragement and a feeling of staff satisfaction. The Manager should ensure they capture compliments and share the learning with the staff at the home.
Compliments will be stored in the compliments folder.

Confidentiality
All complaints will be handled in the strictest confidence. Only those managers who are leading, or staff who are in other ways involved in the management of the complaint, will have access to details of the case.
Anyone disclosing information to others who are not directly involved could be subject to disciplinary proceedings.

Investigations into complaints we receive
When conducting any complaints investigation 1st Care will establish the facts in a systematic way. We will do this by;
• Collecting and assessing evidence surrounding the complaint
• Conducting interviews with all relevant parties, including residents, relatives, staff etc.,
• We will check documents, such as daily record sheets.
• We will take expert advice as required.

Once the evidence has been gathered, we will begin the investigative process, in order to decide what is fair and reasonable surrounding the circumstances of each complaint.
If the investigation into a complaint result in a disciplinary procedure then the complaints process will be continued to its conclusion. The disciplinary matter will be handled separately and independently to this investigation.
The person who has made a complaint will be informed their complaint has led to evoking disciplinary procedure. However, the complainant will not be given details of the outcome or on-going investigation.

Time Frames
The home will endeavour to investigate and conclude all complaints within 28 working days. However, in more complex cases, or where the complaint is dependent on another outcome. Such as a Police investigation or an internal disciplinary action the process may take longer to reach the final conclusion.

Time Restraints
Because of the complexity of complaints and the reliant on witnesses all complaints are time limited. A complainant must register their complaint within 7 days of the incident occurring. It is only in exceptional circumstances will a complaint be investigated outside of this time frame. This will be at the discretion of the home Manager and in consultation with the Nominated Individual.

Who can make a complaint?
Complaints can be made by any person who has come, or comes into contact with; has been, is, or is likely to be affected by; has been, or is aware through direct experience or observation, of an action, omission or decision made by 1st Care.

Complaints can be made on behalf of service users but must be made with their full consent.

• If a complaint is raised by a relative or friend, the resident must give their written consent, unless the person who has made a complaint is an advocate.
• If a customer is unable to consent, due to physical incapacity or lack of capacity within the meaning of the Mental Capacity Act 2005, consent is not required.
• Where consent is required, this must be received before the complaint can be investigated

How to make a complaint
There are many ways residents, relatives or advocates can make a complaint. They are;
• Verbally to the person in charge
• In writing to the care home
• Electronically, via email or text

Concluding a Compliant
The complainant will be advised in writing of the outcome of the investigation. This may include a verbal feedback session to ensure the complainant fully understand the outcome and the reasons for this conclusion.
A copy of the outcome will be attached to the original complaint, and this will be stored together in the complaints folder.

Appeals
In the event of the complainant feeling aggrieved about the outcome of the complaint they may wish to take this further. They can contact the Nominated Individual (see Appendix One). Or they may wish to contact their Social Worker or the Care Quality Commission (See appendix One). In either case the member of staff in charge will, if necessary, assist the resident to take the complaint further.

Persistent Complaints
1st Care are committed to the investigation of all complaints. Where a resident, relative or advocate are not happy with some element of the service provided by any of the 1st Care Homes, they should be able to express their views and receive a response through the investigatory process. The investigation of complaints is time consuming. 1st Care are sometimes subject to excessive amounts of complaints or inappropriate complaints. Examples of these are;
• Refusing to specify the grounds of a complaint, despite offers of assistance.
• Refusing to co-operate with the complaints investigation process while still wishing their complaint to be resolved.
• Refusing to accept that certain issues are not within the scope of a complaint’s procedure.
• Insisting on the complaint being dealt with in ways which are incompatible with the adopted complaints procedure or within good practice.
• Making what appear to be groundless complaints about the staff dealing with the complaints and seeking to have them replaced.
• Changing the basis of the complaint as the investigation proceeds and/or denying statements they have made at an earlier stage.
• Introducing new information, at a late stage, which the complainant expects to be taken into account and commented on, or raising large numbers of detailed, but unimportant, questions and insisting they are all fully answered.
• Covertly recording meetings and conversation
• Refusing to accept the outcome decision of a complaint – repeatedly arguing the point and complaining about the decision, with no new evidence.

If 1st Care Limited feel any of the above apply to a complaint and the complaints received from one person are unreasonable, they will take further action. The complainant will be advised in writing that;
• There complaints are excessive or unreasonable.
• 1st Care will not continue to investigate excessive amounts of complaints.
• They are advised not to send in any more complaints.

Appendix One – Contacts for Complaints

Complainants may approach the Care Quality Commission (CQC) directly at any state during this process.

In the first instance of a complaint, this should be addressed to the Home’s Manager.

Should the complaint be about the Home Manager, or should the complainant feel that the matter has not been resolved satisfactorily, the complaint can be forwarded to:

Mrs Jagruti Patel
1st Care Ltd.
90b Handsworth Wood Road
Birmingham B20 2PL
T: 0121 554 5024
F: 0870 705 9966

Without prejudice, and at any point, the complainant can contact the CQC, whose details are:
CQC West Midlands
Citygate
Gallowgate
Newcastle upon Tyne
NE1 4PA
T: 03000 616161
F: 03000 616172
Email: enquiries.westmidlands@cqc.org.uk

Should the complainant still feel that the matter has not been resolved the complaint can be forwarded to:

The Local Government Ombudsman
PO Box 4771
Coventry
CV4 0EH
T: 0300 061 0614
F: 024 7682 0001

Appendix Two – The Complaint Investigation

Listen carefully to what the resident has to say, so you can give an accurate record of the complaint.
A complaint is received either verbally or in writing.
You should

The Manager will;
• Notify the nominated Individual
• Carry out the investigation themselves or
• Inspect all the data and make a ruling based on the evidence
• Notify the complainant in writing of the outcome
• Advise them of the appeal process if appropriate
• Conclude the complaint by completing the outcome form
• Where appropriate commence action, such as disciplinary action
Any lessons learnt from this complaint are shared with all staff and where appropriate an action plan is formulated to ensure this does not happen again.
The person in charge should begin the investigation. This should include;
• Speaking to the complainant
• Taking statements
• Checking files, documentation
• Making a report
• The findings should be shared with the Manager
• Enter the complaint onto the complaint log sheet
• Place the complaint in the complaint file

Report this matter immediately to the most senior person on duty
Regardless of the action taken by the person in charge you should record the conversation in the daily log