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Contents

1. Objectives of the Procedure 
2. Informing Children about the Complaints Procedure  
3. Informal Complaints  
4. Formal Complaints  
5. Guidance for Investigating Officers
6. Departmental Response  
7. Support to Staff   

1. Objectives of the Procedure

1. Children, and particularly disabled children, are among the most vulnerable groups that the local authority try to support.  Complaints procedures should be seen in a proactive light as a way of enabling or empowering the most vulnerable in society to receive the best possible service.  Most complaints can, however, be resolved informally and without reference to the more formal procedures.
2. In a culture of a needs-led service, the local authority should listen to the opinions of and consider the questions from service users.  In so doing, the local authority empowers the service users.
The Representations and Complaints Procedure for children therefore attempts to:
3. 1. Promote the welfare of children who are Looked After or otherwise In Need;
   2. Defend their interests and mitigate the worst effects of corporate care;
   3. Alert Children’s Services to the possible failure to meet needs;
   4. Promote the positive development of user-led services including the development of ethnically sensitive services.

Although the procedure is intended primarily to protect the interests of children, it is not intended to act as a device to apportion blame to front-line service providers.  Nor should it be developed as a device to abandon the necessary concern for acknowledging resource constraints.  Rather, the procedure should enable an examination, evaluation and debate of how services are best delivered and to ultimately defend children who are Looked After or otherwise In Need from unavailable, inconsiderate or damaging services from the local authority.

2.Informing Children about the Complaints Procedure

Children must be informed about the Complaints Procedure in a variety of ways suitable to their needs and level of understanding.  Copies of relevant leaflets should be provided, for example the Children’s Guide which is given to children before or upon admission to a children’s home.  Such information must include an explanation of the role of an advocate and provide contact details for advocates to make complaints on children’s behalf.  .

Where children 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 (see Representations and Complaints Procedures).  They must also be advised of their right to appoint an advocate - for procedures relating to advocacy services, see Advocacy and Children’s Rights Procedure.

Their options must be carefully explained including information and advice on alternative methods for resolving their dissatisfactions and the option to go straight to a Stage Two Formal Investigation if the complaint is serious, complex or, at any time, if the complainant wishes to.

In these circumstances, where a child insists that they wish to make a formal complaint, s/he should be referred to the Designated Complaints Manager. 

If the complaint relates to a child in foster care or residential care, it may also be directed to the Regulatory Authority.

3. Informal Complaints

Dealing with informal complaints or representations will pose in some circumstances difficulty for staff and carers.  Deciding whether a complaint is informal or that it should be regarded as formal can create conflicts for all concerned. 

At every stage of the Complaints Procedure the emphasis is placed upon problem solving.  Whereas this is proper and well meaning, it is necessary to balance this with the need to promote the best interests of the child.  The objective of the procedure is not to convince a child or others on their behalf to accept a less than adequate service. 

In dealing with complaints, the following people should be consulted as appropriate:

1. The Child
2. The Parents
3. Carers and others with a significant interest in the child
4. The child’s social worker and manager
5. The child’s Independent Visitor, if appointed
6. The child’s advocate

Being mindful of the need to protect children’s interests, it is also necessary to have regard to the ability of those concerned with the child to contribute adequately to the objective of defending their needs.  For example, a parent may be unable to contribute adequately to the positive promotion of a child’s welfare; however, this should not prevent them from being consulted or informed of a complaint.

Should there be doubt as to whether a complaint or representation should be regarded as informal or formal, the Designated Complaints Manager must be consulted to help determine the most appropriate manner of dealing with the matter.

4. Formal Complaints

For ‘Who may make a Complaint under the Children Act procedure’, see Representations and Complaints Procedures.

The Designated Complaints Manager will determine whether or not a formal complaint is accepted and determine whether the ‘adult’ or ‘child’ procedure applies to each complaint.

 The appointment of the Investigating Officer will take account of:

• The Investigating Officer’s qualifications and ability to conduct the investigation, including any equal opportunities’ aspect to the complaint (for example race, culture, religion, disability or language).

5. Guidance for Investigating Officers

Approach

The Investigating Officer needs to acknowledge the objective of the procedure, including the need to avoid unnecessary criticism and defence of front-line service providers and managers.  A process of problem solving should be the primary objective notwithstanding the need to protect and defend the interests of children.

A complaint may have been made as a result of poor communication rather than any sinister actions or inefficiencies in the provision of services.

Problem solving must not detract from applying a fresh and impartial appraisal of the complaint.  Investigating Officers need to achieve the unenviable task of reaching a reasonable balance.  Hopefully, the non-involvement of the Investigating Officer with the management of the case will continue to contribute to the constructive resolution of achieving a balanced outcome.

Conduct of the Investigation

It is sometimes impossible to avoid complaints being directed at individual staff.  Whatever the circumstances, the Investigating Officer must ensure that the investigation is as objective as possible.

It is important to establish what exactly a complainant hopes to achieve by making the complaint.  Clearly this should be the focus of the investigation but regard should also be given to any other issues that may arise.  The recommendations must address the complaint (and any other issues which become apparent) but should also be mindful of the agreed policies and eligibility criteria of Children’s Services. 

A suggestion for Investigating Officers is that:

1. The complainant should first be interviewed and the child, if different, should be consulted.  A child may not wish to formalise a complaint even though a complaint has been made on his or her behalf.  This must be balanced with establishing whether a formal complaint is within the child’s ability to accept or comprehend (for example, a black child’s ability to relate to the effects of being placed trans-racially).
2. The relevant staff should be interviewed.
3. Reference should be made to relevant reports, files and other sources of information.
4. Consultation should be made as necessary with the Designated Complaints Officer and/or any possible individual or group who may provide advocacy either directly or indirectly to the individual at the centre of the complaint.
5. Feedback should be given to the complainant and, if possible, a satisfactory way identified to resolve the complaint.

It is essential to keep every-one involved of the developments of the complaint, especially if the complaint is made against an individual or the complainant is particularly anxious.

It may be necessary to hold more than one interview with each of the parties, although the effect of the complaint on all concerned and its investigation need to be borne in mind.  It may also be necessary for those involved themselves to have an advocate (for staff:  a colleague, trade union representative, supervisor etc and for complainants:  a friend, individual advocate or other person) to help in dealing with the investigation.

Under no circumstances should the lodging of a complaint be the reason for the withdrawal or suspension of services to the complainant or to the person on whose behalf the complaint is made. 

Complaint investigations need to be conducted in a manner that is mindful of the time limits set out in the procedure.  These may be extended by negotiation with the Designated Complaints Manager but there should be no undue delay.  A problem-solving objective requires speedy resolution.  Notwithstanding the need to promote the thorough investigation of a complaint, the Investigating Officer  should determine with the complainant the details of the complaint and establish what they see as the pertinent issues.

Establishing what is paramount and essential to the complaint will help in determining what would be in the complainant’s mind as a satisfactory outcome to the complaint.  This will target the investigation to the scope and possible resolution of the complaint.

However, whilst problem solving is an important aim of the procedure, the Investigating Officer needs to balance this with the importance of promoting the welfare of children.  Investigating Officers should take full advantage of groups or organisations that may offer an independent service commensurate with the interests of the complainant.

The need to balance ‘needs-led’ demands with resource availability requires to be considered.  Demanding unreasonable resource provision or undervaluing the demands of service users will eventually lead to dissatisfaction.  If the complaint is about a shortfall in resources, the role of the Investigating Officer is to determine whether or not the procedure to determine eligibility has been correctly followed.

The difficulties associated with service provision together with establishing a ‘needs-led’ service is acknowledged as a difficult balance for Investigating Officers to address.  Problem solving is therefore often the most that an Investigating Officer and Independent person can hope to achieve.

The Investigation Report

The report should reflect the concerns of the complainant (and child, if different), the means of resolving the concerns and any other matter that should be brought to the attention of the local authority. 

In constructing the Report, the Investigating Officer should set out the following information:

1. The date the complaint was received.
2. The name of the person making the complaint and on whose behalf the complaint has been made
3. An outline of the complaint, including the background to the complaint, circumstances leading to it and the requested outcome of the complainant
4. The persons interviewed together with the dates of the interviews
5. The records or sources of information consulted
6. The criteria used and how the complaint was evaluated, including any references to relevant policies, procedures or legislation
7. An assessment of the complaint and conclusion, including a chronology of the relevant facts, the views and findings of the Investigating officer
8. The recommendations

The Report should

1. Be as concise as possible
2. Identify all those (other than the complainant and those directly involved) who should have regard to any particular areas of service provision or management responsibility for individual staff when considering the implications of the investigation
3. Not include any reference to any form of compensation that may be made, either financially or otherwise.  (This is a matter to be considered by the local authority with its insurers.)

In completing the Report, the Investigating Officer should consult and have regard to the views of the complainant (or child, if different) but the Report must contain in essence the Investigating officer’s view of the validity of the complaint, and any recommendations made.

The Report should be sent to the Designated Complaints Manager together with notes/records of interviews.

The Report is confidential and should be filed on the relevant case record or management record as appropriate.

The Designated Complaints Manager will then circulate copies of the Report to the relevant parties and take action in accordance with the Representations and Complaints Procedures.

6. Departmental Response

The response to any complaint investigation will be a matter for the appropriate senior manager according to the recommendations of the report.

7. Support to Staff

By the very nature of our work, it is inevitable that from time to time, we will receive complaints about the decisions we have made and the action we have taken.  Although it is difficult, complaints should not be seen as negative and we must try to ensure that we do not adopt a defensive stance.

However, being the subject of a complaint can be very stressful and managers of those staff involved, whether directly (as the subject of the complaint) or indirectly (where their practice or action has been queried) should ensure that support and/or counselling are available.  Staff should feel able to request such assistance in recognition of the stress engendered by a complaint.

The following guidelines have been prepared with the aim of helping staff understand the context within which complaints are made.

What is the Council’s role in dealing with complaints?

The Council are required to have a Complaints Procedure; the aim of the Procedure is to resolve complaints or problems as quickly as possible at the point of service delivery.  Stage 1 (Problem Solving) is an attempt to resolve the complaint or the problem informally.  However, if the service user remains dissatisfied the complaint can progress to Stage 2.

Who can complain? 

See Representations and Complaints Procedures

What types of things can be complained about?

• Time scale to receive a service
• Lack of service
• Quality of service
• Disagreements about decisions taken by service providers
• The method and/or outcome of Assessments
• Care Plans
• Discrimination/unfair treatment

What may be required of staff at the problem solving stage?

Members of staff involved in providing a service may be asked for their comments on the service provided, the nature of the child’s Care Plan or about their involvement or actions.

What happens in the Stage 2 investigation?

An External Investigating Officer will be appointed to carry out the investigation. 

The Designated Complaints ManagerSee also the HIV/AIDS Procedure and HIV/AIDS Guidance will inform senior managers of the arrangements and any other relevant details of the investigation process.

The Service Manager or another delegated manager will inform staff affected by the complaint of the details.

Staff will be expected to co-operate with the investigation, by attending their interview or providing documents and files requested by the Investigating Officer.

Staff should be given time to prepare and seek appropriate support in advance of any interviews which the Investigating Officer needs to set up.

The Investigating Officer will usually write to staff to inform them of the investigation and give details of the interview arrangements.

If you are asked to attend an interview you may arrange for a colleague or a Union representative to attend with you.

Your comments will be recorded in writing.  You will be asked to sign the statement either immediately or on the return of a typed copy.

At the conclusion of the investigation, the Investigating Officer will write a report.  A senior manager will make the Council’s formal response to the complaint and inform the complainant of the Investigating Officer’s conclusions and recommendations.

The Designated Complaints Manager will liaise with senior managers and offer advice or information to staff involved in the investigation.

An appropriate manager will inform you of any relevant issues, action to be taken and the outcome of the investigation.

If you are uncertain about the process you can seek information from the Designated Complaints Manager.

Complaints and Human Resources

Some complaints are about the following areas, or allegations are made during the investigation:

• Child Protection
• Adult Protection
• Audit/Finance irregularities
• Staff Conduct

If any of the above issues are found to be part of a complaint, the managers concerned will consult with Human Resources and Legal Services and the relevant investigation procedures will be applied.

Where you can go for advice or support

• Your Line Manager
• The Designated Complaints Manager
• Your Trades Union
• Human Resources

End