Complaints and Representations

Complaints

A complaint may generally be defined as an expression of dissatisfaction or disquiet in relation to an individual child or young person, which requires a response. Children and young people often express complaints as 'problems not being sorted out'. A common theme amongst children and young people is the need for complaints procedures to be both fast and effective: complaints procedures should 'get it sorted' straight away.

Representations

Representations may not always be complaints; they might also be positive remarks or ideas that require a response from the local authority' (Getting the Best from Complaints).

A representation or complaint may be made by:

• The child;
• A parent or person with Parental Responsibility;
• Any local authority foster carer (including those caring for children placed through independent fostering agencies);
• Children leaving care;
• Special Guardians;
• A child or young person (or parent of his) to whom a Special Guardianship Order is in force;
• Any person who has applied for an assessment under section 14F(3) or (4);
• Any child or young person who may be adopted, their parents and guardians;
• Persons wishing to adopt a child;
• Any other person whom arrangements for the provision of adoption services extend;
• Adopted persons, their parents, natural parents and former guardians; and
• Such other person as the local authority consider has sufficient interest in the child or young person's welfare to warrant his representations being considered by them.

Complaints made on behalf of a Child or Young Person

Where a complaint is received from a representative acting on behalf of a child or young person, the local authority should normally confirm where possible that the child or young person is happy for this to happen and that the complaint submitted reflects their views.

The local authority has the discretion to decide whether or not the representative is suitable to act in this capacity or has sufficient interest in the child's welfare. If the Complaints Manager considers that the representative does not have sufficient interest, they should notify the representative in writing, explaining that no further action should be taken. The Complaints Manager should discuss this decision with relevant operational managers, as appropriate.

Complaints relating to a Child

The Local Authority is also likely to receive complaints by adults that relate to a child or young person but are not made on the child's behalf. The Children Act 1989 gives discretion to local authorities to decide in cases where eligibility is not automatic whether or not an individual has sufficient interest in the child's welfare to justify their own complaint being considered by them. In reaching a decision, where possible the local authority will check with the child or young person, if of sufficient age/maturity, that they are happy with the person making the complaint.

Anonymous Complaints

Anonymous complaints should always be recorded and referred to the Complaints Manager in the same way as other complaints. Anonymous complaints fall outside of the scope of the statutory procedure and it is for the local authority to decide what action, if any it should take. The fact that the complaint is from an anonymous source should not in itself justify a decision not to pursue the matter, nor should it rule out referral to other procedures as relevant.

Complaints relating to more than one Authority

Where a complaint relates to more than one local authority, the complaint should be considered by the authority which is looking after the child or young person or in any other case by the authority within whose area the child or young person is ordinarily resident. There is a duty on the other local authorities to co-operate (under Section 27 of the Children Act, 1989).

Translation services will be made available as required.

A complaint may arise as a result of many things relating to statutory children's social care functions such as:

• An unwelcome or disputed decision;
• Concern about the quality or appropriateness of a service;
• Delay in decision making or provision of services;
• Delivery or non-delivery of services including complaints procedures;
• Quantity, frequency, change or cost of a service;
• Attitude or behaviour of staff;
• Application of eligibility and assessment criteria;
• The impact on a child of the application of a local authority policy; and
• Assessment, care management and review.

This, and the list that follows, are indicative only and should not be used as a means of restricting matters about which a complaint can be made and responded to. Where there is any uncertainty about the validity of a complaint  the Complaints Manager should seek legal advice as necessary.

Specifically, a complaint may be about the following:

• The decision by the local authority to initiate Care Proceedings;
• The effect of a Care Order and the local authority's actions and decisions where a Care Order is made;
• Issues relating to contact between parents and children subject to Care Orders;
• How supervisors perform their duties where a Supervision Order is in force;
• Actions of the local authority regarding applications for and duties in relation to Child Assessment Orders;
• Matters relating to applications for Emergency Protection Orders and decisions relating to the return of children who have been removed;
• The quality or accuracy of social work information or a social work report provided to a Court.

In relation to adoption, a complaint may be about the following:

• The provision of Adoption Support Services insofar as these enable adoptive children to discuss matters relating to adoption;
• Assessments and related decisions for adoption support services;
• Placing children for adoption, including Parental Responsibility and contact issues (see Placement for Adoption Procedure);
• Removal of children who are or may be placed by adoption agencies;
• Removal of children in non-agency cases;
• The carrying out by the local authority of its duties on receipt of a notice of intention to adopt;
• The carrying out by the local authority of its duties in respect of:
  • Considering adoption for a child or young person;
  • A proposed placement of a child or young person with prospective adopters;
  • Adoptive placements and reviews;
  • Adoption Case Records;
  • Contact; and
  • Parental Responsibility prior to adoption abroad.

In relation to a Special Guardianship Order, a complaint may be about the following:

• Financial support for Special Guardians;
• Support groups for children and young people to enable them to discuss matters relating to Special Guardianship;
• Assistance in relation to contact;
• Therapeutic services for children or young people; and
• Assistance to ensure the continuation of the relationship between the child or young person and their Special Guardian or prospective Special Guardian.

What is exempt from the Complaints Procedure?

• The complaints procedure does not apply when:
• the person wishing to complain does not meet the requirements of 'who may complain' and is not acting on behalf of such an individual;
• the complaint is not in regard to the actions or decisions of the local authority complained to, or in regard to any body acting on its behalf; or
• the same complaint has already been dealt with at all stages of the procedure.

The Complaints Manager has discretion in deciding whether to consider complaints where to do so would prejudice any of the following concurrent investigations:

• Court proceedings;
• Tribunals;
• Disciplinary proceedings; or
• Criminal proceedings.

If the Complaints Manager decides not to consider or further consider complaints subject to these concurrent investigations, they must write to the complainant explaining the reason for their decision and specifying the relevant concurrent investigation.

Once the concurrent investigation has been concluded the complainant may resubmit their complaint to the local authority.

Local authorities do not need to consider complaints made more than one year after the grounds to make the complaint arose. In these cases, the Complaints Manager should write to advise the complainant that their complaint cannot be considered, explaining the reasons why. This response should also advise the complainant of their right to approach the Local Government and Social Care Ombudsman.

This time limit will be extended at the local authority's discretion if it is still possible to consider the representations effectively and efficiently and/or where it would be unreasonable to expect the complainant to have made the complaint earlier, for example, where the child was not able to make the complaint or did not feel confident in bringing it forward within the one year time limit.

Children must be informed about the Complaints Procedure in a variety of ways suitable to their age  and level of understanding.

Written information should explain the procedure in straightforward terms, and be tailored to meet the needs of children and young people with learning disabilities, sensory impairments, limited mobility and those who do not have English as a first language. They should give details of how to contact the Complaints Manager, and include information on advocacy and how to approach the Local Government and Social Care Ombudsman.

Where children or young people or those acting on their behalf express a wish to make a complaint, they should be given any information or advice they require on how to use the Complaints Procedure. Their options must be carefully explained including information and advice on alternative methods for resolving their dissatisfaction. For all complaints made by or on behalf of children, help must always be offered to obtain an advocate.

Where a child or young person wishes to make a complaint, (they  should be referred to the Complaints Manager, who will ensure that they are offered an advocate.

If the complaint is made by or relates to a child or young person in foster care or residential care, it may also be directed to the Regulatory Authority (Ofsted), although they may not be able to accept the complaint unless the local complaints process has been used first.

Children should be reassured that their complaints will be responded to and treated seriously, and must be helped to understand what has happened as a result of their complaint.

Complaints and representations may be made verbally (face to face or by telephone) or in writing, (including by email, text or letter).

Complaints and representations about services to children and young people should be copied to the Complaints Manager who will ensure that they are recorded and monitored.

In relation to complaints, the emphasis should be on a speedy resolution reached locally wherever possible.

However, where a complaint includes an allegation that a child has been harmed, the matter must be directed to be dealt with under the Child Protection Procedures and must be referred to the relevant team immediately.

Staff may not deal with complaints relating to their own practice and must pass such matters to their own manager.

The Local Authority acknowledges the importance of good communication when dealing with complaints. It is important however to ensure that all information relating to complaints investigations is handled in a sensitive way that ensures confidentiality is maintained. All functions of the Complaints and Representations Procedure must adhere to the requirements of the Data Protection Act 2018. Care should be taken to ensure that any personal information obtained in relation to a complaint is only used for that purpose.

The local authority has a responsibility to work with partner agencies to establish which agency should lead on handling the complaint and to ensure that the complainant is kept informed and receives as comprehensive a reply as possible.

The Complaints Manager of the body receiving the complaint should record the outline of the complaint and seek the consent of the complainant to refer it formally to the other body.

Where a complaint, comment or suggestion is received regarding a commissioned service, this information will be passed on to the Contract Monitoring Team.

There may be occasions where a complaint can be resolved immediately to the complainant's satisfaction and there is no need to invoke the formal complaints procedure. However where a complaint cannot be resolved immediately and to the complainant's satisfaction, this will be considered under stage 1.

The expectation is that the majority of complaints should be considered (and resolved) at Stage 1. However, if the local authority or the complainant believes that it would not be appropriate to consider the complaint at Stage 1, they should discuss this with the complainant. Where both parties agree, the complaint can move directly to Stage 2.

Where a complaint is being considered at stage 1, it will be recorded and monitored by the Complaints Manager:

• The complaint will be acknowledged within 2 working days, including details of who is dealing with the complainant  and the timescale for a response. Details of the advocacy service will be included where appropriate;
• The complaint will be allocated for investigation and a response will be sent within ten working days where possible.

If it is not possible to respond within ten working days - e.g. where files or records need to be checked or a key member of staff is not available - the complainant will be informed of the delay and the reasons for this. The maximum period for a complaint to remain at Stage One is 20 working days, unless the complainant has agreed to an extension of time.

If the matter cannot be resolved to the complainant's satisfaction within 20 working days, the complainant must be advised that they have a right to proceed to Stage Two and given assistance to do so as necessary. The complainant may, however, agree to extend the timescale for the Stage One process.

The Stage 1 response must include details of how the complainant can progress their complaint to Stage 2, and the timescale in which this should be done.

Consideration of complaints at Stage 2 is normally achieved through an investigation which is conducted by an investigating officer and an independent person. Stage 2 commences either when the complainant requests it or where the complainant and the local authority have agreed that Stage 1 is not appropriate.

Action on Receipt of Complaint

Upon receiving a request for a Stage 2 investigation, the Complaints Manager will:

1. Arrange for a full and considered investigation of the complaint to take place without delay. They may also request (in writing) any person or body to produce information or documents to facilitate investigation, and consideration should be given to matters of disclosure and confidentiality. Consideration of the complaint at Stage 2 should be fair, thorough and transparent with clear and logical outcomes.
2. Ensure that the authority appoints an Investigating Officer (IO) to lead the investigation of the complaint and prepare a written report for adjudication by a senior manager. The IO may be employed by the local authority or be brought in from outside the authority, appointed specifically for this piece of work. The IO should not, however, be in direct line management of the service or person about whom the complaint is being made.
3. Ensure that a copy of the complaint is sent to any person who is involved in the complaint, unless doing so would prejudice the consideration of the complaint. Where this may be the case, the Complaints Manager should advise senior management, who should inform staff of the details of the complaint through normal line management.
4. Appoint and prepare terms of reference for an IO (who is not involved in the management of the services to the child concerned) and an Independent Person (IP) (who cannot be an employee or an elected member of the authority) to the investigation. The IP is appointed to shadow the IO. Under the arrangement, the IP accompanies the IO throughout the investigation. The IO and IP may see the child concerned if this is considered necessary.
5. Confirm the complaint is being dealt with at Stage 2 and advise the complainant of how the complaint is being dealt with, the timescales and the name of the IO and IP.

The Complaints Manager and the relevant Senior Manager should consider whether it is necessary to halt a particular aspect of the case pending investigation, for example where there are ongoing Court proceedings.

The Investigation

Upon being appointed, the IO will:

1. Contact the IP to arrange a meeting with the complainant;
2. Meet with the complainant and the IP and agree the complaint and the desired outcomes;
3. Conduct an investigation, interviewing the complainant and staff, and reading the relevant files as appropriate, ensuring the IP accompanies her/him to all meetings;
4. Produce a report setting out the findings of the investigations and making recommendations on how to remedy any injustice to the complainant as appropriate;
5. Send a copy of the report to the Complaints Manager and IP bearing in mind that this, together with the local authority's response, needs to be sent to the complainant within 25 working days of the receipt of the complaint. If this timescale is not possible, the IO should consult with the Complaints Manager and agree a timescale for extension which must not exceed a full response to the complaint within 65 working days.

Where there is likely to be a delay, the Complaints Manager will inform the complainant of the reason and  wherever possible obtain the complainant's agreement to the new timescale.

Staff and carers need to be aware that it is a legal requirement upon the authority to undertake investigations when a complaint is made. It is therefore essential that they cooperate with the investigation and provide information to the IO and IP through their verbal responses to questions and access to written material.

The IP should also provide a report to the local authority once they have read the IO's final report. They may wish to comment on:

• Whether they consider the investigation has been conducted entirely in an impartial, comprehensive and effective manner;
• Whether all those concerned have been able to express their views fully and fairly;
• Whether the IO's report provides an accurate and complete picture of the investigation; and
• The nature of the recommendations or make their own recommendations as necessary.

Action following Investigation

Upon receiving the report from the IO and the report from the IP, the Complaints Manager will:

1. Ask the relevant senior manager for their adjudication, in consultation with others as necessary, and what action the local authority will be willing to take in relation to the investigation's recommendations;
2. Send a copy of the IO's report and the IP's report with the local authority's response to the report(s) to the complainant. This must be sent within a maximum of 65 working days of receipt of the complaint;
3. Advise the complainant of the right to submit a request to the Complaints Manager within 20 working days that the complaint proceed to Stage Three - the Review Panel;
4. Monitor the outcome of the complaint process and the eventual outcome, and the implications for future service delivery and training, ensuring accepted recommendations are implemented and reported on.

If the complainant is not satisfied with the outcome of the complaint at Stage 2, they have 20 working days to ask for the response to be reviewed by a Review Panel. The request should be made to the Complaints Manager and acknowledged in writing within 2 working days. The Complaints Manager must ensure a Review Panel is convened within 30 working days of the complainant's request being made.

The Review Panel must be made up of 3 independent people, who must not be:

1. 1. Employees of the authority;
   2. Elected members of the authority;
   3. A spouse or partner of either of the above.

One member will be appointed as the Panel Chair. It is good practice that the Chair should not have been employed by or have been an elected member of the authority within the last 3 years.

The complainant should be notified in writing of the date and location of the Panel Meeting at least 10 working days before the Review Panel meets and be invited to attend. The complainant should also be informed of their entitlement to be accompanied by another person and that this person can speak on their behalf.

Those persons involved with the investigation at Stage 2 (e.g. the IP, and the IP) should also be invited to attend.

The Chair should make the final decision on attendees (including asking the local authority to make specific members of staff available to provide specialist advice or opinion).

Panel papers should be sent to the complainant, Panel members and other attendees as soon as these have been agreed by the Chair and no later than 10 working days before the date of the Panel. These should normally include: information on Stage 1 (as relevant), the Stage 2 investigation report(s), the local authority's adjudication, any policy, practice or guidance information relevant to the complaint, and any comments that the complainant has submitted to the Panel. The papers should also include information on any local practice around Panels, such as conduct, roles and responsibilities.

The Review Panel's recommendations should be recorded in writing and copies sent to the Head of Children's Social Care and the complainant within 5 working days.

The Head of Children's Social Care must respond to the recommendations of the Review Panel and make the decisions known to the complainant within 15 working days, explaining the authority's decision and reasons.  This letter must also include details of the right to approach the Local Government and Social Care Ombudsman if they remain dissatisfied.

There is no further recourse to the Local Authority's Complaints Procedure after the conclusion of Stage 3.

If the complainant is not satisfied with the outcome of the Review panel, they can make further representation to the Local Government and Social Care Ombudsman. The complainant retains the right to approach the Local Government and Social Care Ombudsman at any point during the complaint process.

The Local Government and Social Care Ombudsman investigates complaints regarding local authorities and certain other bodies. They can investigate complaints about how the local authority has done something, but they cannot question what a local authority has done simply because a person does not agree with it. In most instances the Ombudsman will give the local authority opportunity to investigate and respond to the complaint.

The complainant must put their complaint to the Ombudsman by completing the Local Government and Social Care Ombudsman Complaint ' Form. The Complaints Manager will assist with this process if required.

The Local Government and Social Care Ombudsman can be contacted via the website.

There is a helpline number 0300 061 0614, open 10 am – 4 pm Monday – Friday. This is for people who cannot go online, need help to do so or who want general advice about the complaints process.

The Local Authority is committed to providing a high quality service to complainants, and ensuring that complaints are dealt with in a way that is fair and impartial.

However, there are a small number of complainants who, because of the frequency of their contacts with the Local Authority hinder consideration of their or other people's complaints. The Local Authority refers to such complainants, as 'unreasonably persistent complainants' and will take action to limit their contact with staff and offices. The relevant Senior manager, together with the Complaints Manager are responsible for determining whether a complainant is unreasonably persistent and will make appropriate decisions.

In order to ensure that the Children's Services learns from, and initiates where appropriate improvements to service delivery as a result of complaints and representations received, monitoring and recording systems are in place to capture information regarding complaints handling.

In addition to this an annual report is produced which includes information regarding numbers, natures and outcomes of complaints. It is important that details of any improvements to services as a result of complaints and representations are evidenced and recorded.

To assist in ensuring the information held regarding complaints and representations is accurate and up to date, staff across Children's services should ensure the Complaints Manager is notified of all formal complaints and representations (including compliments) that are received. This will ensure that information is put onto the appropriate systems for monitoring purposes.

Actions from lessons learnt are monitored by the Complaints Manager.

Good Practice Guidance

Effective Complaint Handling for Local Authorities (Local Government & Social Care Ombudsman)

Children's Statutory Complaint Process: Guide for Practitioners (Local Government & Social Care Ombudsman)