Content
Page
1. Introduction 1
2. The Complaints Process 2
2.1 What is a complaint?
2.2 Stages in the process
3. Monitoring and Operation of the Complaints System 3
3.1 Compliments
3.2 Publicity and Information
3.3 Independent Persons Service
3.4 Advocacy and Special Needs
3.5 Training and Staff Development
3.6 Reviewing the complaints Procedure
4. Overview of Complaints Received 5
4.1 How complaints are received
4.2 Stage under which complaints were investigated
4.3 Services generating complaints
5. Stage 1 – Informal Complaints 9
5.1 Reasons why customers complained
5.2 Response/investigation timescales
5.3 Outcomes of investigations
5.4 Actions Taken
6. Stage 2 – Formal Complaints 12
6.1 Reasons why customers complained
6.2 Response/investigation timescales
6.3 Outcomes of investigations
6.4 Actions Taken
7. Stage 3 – Complaint Review Panel/Complaints and
Appeals Committee 15
8. Local Government Ombudsman Complaints 16
9. Diversity Monitoring 16
10. School Complaint Enquiries 17
11. Compliments 18
How compliments are received
Services generating compliments
12. Summary 20
13. Objectives for 2007/08 22
*All percentage figures have been rounded up or down to the nearest whole figure. This means that percentages may not necessarily add up to 100%.
1. INTRODUCTION
This is the second Report on Comments, Compliments and Complaints produced by Children, Families and Learning (CFL) Department.
There are two separate sets of complaint procedures applicable to the CFL Department; the Council’s own procedures for services previously in the Education Service and national legislative procedures for social care.
The national legislative procedures for social care were amended and The Children Act 1989 (2006) Regulations and Procedures was published and came into effect on 1st September 2006. Corporate procedures have also been revised and new procedures came into effect from 5th February 2007.
The purpose of this report is to inform the public, members of the Council and staff about the effectiveness of the Department’s procedures for managing representations (including complaints) and the way it discharges these functions. The CFL Department welcomes comments, compliments and complaints, as they are essential to the continuous improvement of service delivery to children, young people and their families.
The Department’s policy is to make the process for service users to pass on their comments and complaints as easy as possible. Their views will be heard and responded to promptly, in a confidential and sensitive manner. If service users are unhappy with a decision, they can challenge and ask for a review without question.
The primary aim, therefore, of the complaints procedure is for those who use our services (or their carers or supporters) to have their problems resolved as quickly and effectively as possible.
The law outlines the procedure for the management of complaints; how people qualify to use the representation system and the timescales that must be met, in addressing the complaint.
This report provides information about how the procedure operates in Middlesbrough and the number and type of comments and complaints made by the public.
2. THE COMPLAINTS PROCESS
2.1 What is a complaint?
The Council’s definition of a complaint is derived from the Local Government Ombudsman’s definition.
“Any form of communication that requires a response and which expresses dissatisfaction about any aspect of the Council, the standard of service delivered, the behaviour or attitudes or staff, a racist incident or a refusal, failure, delay or lack of service by the Council or its staff”.
2.2 Stages in the process
The Department has a three-stage approach to dealing with complaints or expressions of dissatisfaction:
· Stage 1
The Manager of the involved service takes up a complaint locally. The aim is to resolve the complaint and agree a mutually acceptable course of action.
The timescale for Stage 1 complaints is 10 working days, with an option of extending this to 20 days where we are unable to provide a complete response.
Corporate Complaints must be resolved within 20 working days.
When a complaint is completed at Stage 1, complainants are advised of their right to proceed to Stage 2 of the Complaints Procedure if they remain dissatisfied.
· Stage 2
Every attempt is made to deal with problems at Stage 1. Qualifying complainants are advised of the process and their right to proceed to Stage 2 if they remain dissatisfied.
On receipt of Stage 2 complaints, they are registered and an Investigating Officer is appointed. This is usually a Senior Manager who is independent from the service involved but an Independent Investigating Officer can also be used. If a complaint is received regarding the Vulnerable Children/Family Services, an Independent Person is also appointed to oversee the investigation of the complaint. The Investigating Officer and Independent Person both submit reports to the Adjudicating Officer, who then writes the final outcome letter with recommendations.
In the case of corporate Stage 2 complaints the Investigating Officer’s report and recommendations are final.
Stage 3 Review Panel
If the complainant remains dissatisfied they can request the matter be heard by either a Review Panel for Family Services complaints, or the Complaints & Appeals Committee for corporate complaints.
Stage 3 forms the end of the statutory requirement and if the complainant still remains dissatisfied, the complainant is referred to the Local Government Ombudsman.
2.3 Non-Qualifying Complaints
A complaint may be registered as non-qualifying, these are complaints that do not fall within the remit of the complaints procedure. A few examples are below, but detailed lists are available in the Children, Families & Learning Complaints Procedure and Corporate Complaints Procedure:
o the person complaining does not meet the requirements of ‘who may complain; and is not acting on behalf of such an individual
o the complaint is not in regard of the actions or decisions of the local authority
o the same complaint has already been dealt with at all stages of the complaints
3. MONITORING AND OPERATION OF THE COMPLAINTS SYSTEM
Complaints are monitored and administered by the Children’s Complaints and Access to Records Officer, who is part of the Commissioning & Resources Service.
3.1 Compliments
The statutory nature of this annual report means it will inevitably focus on the process of dealing with complaints. However, it is important to note that compliments also form an important part of our performance monitoring.
The Complaints and Access to Records Officer continually raises awareness of compliment monitoring and reporting.
3.2 Publicity and Information
Publicity and information continues to be provided routinely in several formats, encouraging and facilitating access to the Complaints Procedure. All front line workers are encouraged to give leaflets to service users when first contact is made. All reception staff have been made aware of the name and location of the Complaints and Access to Records Officer.
In Family Services, new service users receive a copy of the appropriate leaflet in their information pack at assessment. Complaints leaflets are also available in the receptions of all Social Care offices as well as libraries, information centres, and other public buildings.
An online form has been implemented and is available on the Middlesbrough Council website. There is also an email address, which has been established for members of the public to email any comments, complaints or compliments.
To ensure the procedure is easily accessible to children and young people a texting service was introduced in October 2006.
3.3 Independent Persons Service
The Department provides an Independent Person for all Stage 2 Social Care complaints that involve a child or young person in accordance with the ‘Getting the Best from Complaints’ DfES guidance. The Department has a contract with Elsi Hampton Consultancy to provide Independent Persons.
3.4 Advocacy and Special Needs
Children who wish to have an Independent Advocate can access the National Youth Advocacy Service. If they make contact with the Complaints and Access to Records Officer, an information leaflet and advice about the Advocacy Service is provided. The DfES ‘Get it Sorted’ guidance states that more robust procedures are put in place to ensure children and young people are aware of the advocacy service and that it is easy to access. The Department is committed to these principles.
3.5 Training and Staff Development
‘Effective Complaints Handling in Social Care’ training sessions by the Local Government Ombudsman have been provided for Senior and Team Managers in 2006 and 2007.
The Children’s Complaints Officer provides daily support to Managers and staff with regards to complaints.
Due to staff changes within the Department, staff briefing sessions will be carried out throughout the year to raise awareness of the complaints procedure.
3.6 Reviewing the Complaints Procedure
Local authorities are required by statute to have a complaints procedure, which relates to ‘social service’ arrangements for children, young people and their families. New government guidance and regulations were introduced on 1st September 2006 and the Department reviewed its processes and systems to ensure compliance.
The complaints procedure will be reviewed over the next year to incorporate lessons learnt from complaints.
4. OVERVIEW OF COMPLAINTS RECEIVED
4.1 How Complaints Are Received
The Corporate Complaints IT System (CCITS) is a database that all complaints information is stored on, with data input by Service Area Co-ordinators/Complaints Officers.
A reporting function on CCITS produces comprehensive statistical information on complaints and compliments. This system is constantly being reviewed and improved. The following table shows the source of complaints during the last 3 years.
ALL CFL COMPLAINTS / 2005/6 / 2006/7 / 2007/8Complaint Form / 14 / 5 / 15
Letter / 30 / 32 / 18
Fax/Email/Website / 2 / 4 / 3
Telephone Call / 3 / 5 / 18
Children’s/Young Person’s Complaint Form / 0 / 0 / 0
Carbonated Pad / 0 / 0 / 0
In Person / 2 / 2 / 3
Text / 0 / 0 / 0
Ombudsman / 0 / 0 / 3
MP / 0 / 0 / 1
TOTALS
/ 51 / 48 / 61There has been a noticeable increase in the number of complaints received via telephone call; the Complaints Officer received 15 of these calls. This shows that staff are aware of who they should direct complaints to. The other obvious increase is the number of complaint forms received, this has trebled over the last year, reflecting the availability of the complaint forms.
The text service has still not received any comments, the leaflets with the online details and text service are widely distributed throughout the Department. Other neighbouring authorities who have the text service also have a poor response.
Work will be carried out with children/young people over the next year on how accessible they find the complaints procedure and look at redesigning the children and young people’s complaints leaflet.
4.2 Stage/Procedure Under Which Complaints Were Investigated
2005/6 / 2006/7 / 2007/8Stage 1
Social Care
Corporate / 32
3 / 26
8 / 29
5
Stage 2
Social Care
Corporate / 8
3 / 4
2 / 6
6
Stage 3
Social Care
Corporate / 2
0 / 3
1 / 2
0
Non-Qualifying / 3 / 4 / 13
TOTAL
/ 51 / 48 / 61There has been a clear increase in the number of Stage 2 complaints we have received. This could be for a number of reasons; the timescale for Stage 1 complaints has been reduced and the guidance for this stage is around resolution of the complaint and so it does not involve an investigation. Therefore, complainants may not get the outcome they would wish at this stage.
In some instances complaints move directly to Stage 2. This is in agreement with the Complainants and Local Authority; this is for complex complaints or where resolution could not be achieved at Stage 1.
Due to the change in guidance for Stage 1 complaints, 8 out of the 12 complaints went directly to Stage 2. This was either due to the complexity of the complaint or they were a contracted service and the provider had already carried out Stage 1 of the process.
Out of the 7 Family Services complaints, 4 were resolved at Stage 2 and satisfactory outcomes were met for the complainant.
There has been a noticeable increase in the number of Stage 2 corporate complaints received. One of the complaints was withdrawn before the investigation commenced and 3 of the complaints concerned Family Services but had no involvement with children/young people. Therefore these were registered as Corporate Complaints.
4.3 Services Generating Complaints
Family Services / 2006/7 / 2007/8Initial Assessment / 1 / 7
Children with Disabilities / 2 / 7
Locality Team 1 / 4 / 3
Locality Team 2 / 1 / 5
Locality Team 3 / 9 / 8
Locality Team 4 / 7 / 5
Families First / 1 / 0
Family Resource Team / 0 / 0
Fostering Team / 3 / 6
Permanence Team / 1 / 1
Looked After Children / 4 / 6
Pathways / 1 / 2
Vulnerable Children
General / 2 / 0
Review and Development Unit / 0 / 0
CAF/Locality Team / 1 / 0
Sure Start / 3 / 1
Pupil Support
SEN Provision & Planning / 1 / 1Hearing Impaired Service / 1 / 0
Complementary Education / 4 / 1
Community Education Service
Youth Service / 1 / 1
Adult Education / 0 / 0
Learning Partnership / 0 / 2
Voluntary Sector & Grants / 0 / 1
Youth Offending Service
Youth Offending Service / 1 / 0
Commissioning & Resources
Contracted Service / 0 / 2
Other / 0 / 2
Trends
The table above clearly indicates that Locality Team 3, Initial Assessment and Children with Disabilities Teams have received the most complaints. The main reason for this is the sensitive nature of Social Care work, which is very different to the other services within the Department.
The Initial Assessment Team have had an increase in the number of complaints received but it is important to note that 2 were non-qualifying complaints and a further 2 complaints went to Stage 3.
Out of the 51 Family Services complaints received, 13 were non-qualifying, 3 were withdrawn and the remaining 35 complaints related to 8 teams.
The recent change of regulations has enabled parents/carers to complain about social work reports, for example quality or accuracy, distinct and separate to the subsequent actions of the court. Since this change there has been a noticeable increase in the number of complaints received regarding court reports.