Complaints and representations procedure, adult social work

At Gateshead we are committed to getting things right and providing high quality services to all adults and families in Gateshead to support our vision for adults in Gateshead to live thriving lives, be independent and individual, support themselves and each other, and access personalised quality support when they need it.

We realise we don't always get it right, and if that happens, we want to try and fix any problems you may be experiencing. If you have a complaint about our service, we'd like you to get in touch with us first and we can try and resolve your complaint quickly and informally. 

The complaints that we receive are important to help us improve and develop services, one of the ways in which we can continue to improve our services is by listening to the views of all our people and by responding positively to representations and complaints,  putting any mistakes right at the earliest opportunity.     

Our principles when responding to complaints: 

• We will deal with complaints impartially, objectively, and professionally and all concerns will be taken seriously. 
• We will make sure that as many complaints as possible are resolved swiftly and satisfactorily at the earliest stage of the process and we will ensure adequate support for everyone involved in the complaint. 
• We will keep you informed about the progress of your complaint and will provide a full response without delay. 
• The identity of the person making a complaint will be managed in line with data protection legislation and only shared when it is necessary to do so to enable the investigation of the complaint. 
• We will secure sensible and effective links with other procedures in local government to ensure the effective resolution of complaints. 
• We will safeguard your rights of access to other means of redress, such as the Local Government Ombudsman. 
• We will monitor our performance in handling complaints, and we will learn from our mistakes to improve services for everyone who uses them. 

This document is to outline how we will respond to complaints made about Adult Social Care Services, as defined in the Local Authority Social Services and National Health Service Complaints (England) Regulations 2009 ("the Regulations"). This legislation applies to local authorities, NHS bodies, primary care providers and independent sector providers who are responsible for providing NHS and social care.  

The following legal framework has been considered when producing this document:  

Local Authority Social Services and National Health Service Complaints (England) Regulations 2009 (“the Regulations”) (opens new window)  

Mental Capacity Act 2005 (opens new window)

This procedure applies to all adults over the age of 18 and their representatives who approach the Council in relation to making a complaint or representation about social care provision.

It sits under the Corporate complaints and compliments policy .  

Aspects of the Council's Corporate Complaints Policy, such as the definition of a complaint, time limits for complaining and the approach to vexatious complaints and unreasonable complainants apply to complaints made under this procedure also. 

Gateshead Council has a duty to deal with complaints in relation to its adult social care functions to ensure that:  

• complaints are dealt with efficiently;  
• complaints are properly investigated;  
• complainants are treated with respect and courtesy;  
• complainants receive, so far as is reasonably practical, assistance to enable them to understand the procedure in relation to complaints; or advice on where they may obtain such assistance;  
• complainants receive a timely and appropriate response;  
• complainants are told the outcome of the investigation of their complaint; and  
• action is taken, if necessary, in the light of the outcome of a complaint. 

The Responsible Person and the Feedback and Complaints Manager  

The regulations require that the council must designate a person to be responsible for compliance with the arrangements under the statutory process and ensuring that action is taken on the outcome of any complaint.

In local authorities the Responsible Person is the Chief Executive and at Gateshead Council these functions are delegated to the Director of Adult Social Care.

The Feedback and Complaints Manager under the regulations is responsible for managing our complaints handling procedures. 
 

A complaint under this procedure can be made by a person who:  

• receives or has received services from Adult Social Care
• may be affected by the action, omission or decision of Adult Social Care.

A representative may complain on behalf of a person who:  

• has died
• cannot make a complaint themselves due to mental or physical incapacity
• is a child or young person
• has given consent for the representative to act on their behalf. 

If a representative wishes to make a complaint on behalf of a person who lacks capacity (within the meaning of the Mental Capacity Act 2005 (opens new window)) the council must be satisfied that this is appropriate. If we are unable to accept the complaint on these grounds, we will notify the representative in writing. 

The following complaints are examples of matters that will not be dealt with under this procedure:  

• a complaint made by another local authority 
• a complaint from an employee of Gateshead Council concerning their employment  
• a complaint which is made orally and is resolved satisfactorily within 24 hours  
• a complaint about a matter that has already been investigated under these procedures  
• a complaint in respect of a case that is currently subject to an investigation as a result of a Safeguarding Adult Review or is being investigated by the Local Government and Social Care Ombudsman  
• a complaint resulting from a failure to comply with a request for information under the Freedom of Information Act 2000 (opens new window) or the Data Protection Act 1998 (opens new window) (or any subsequent replacement legislation or guidance)  
• anonymous complaints  
• a complaint that has been investigated by a local commission, other legal process or judicial review  
• a complaint relating to a court decision or where a remedy to any issues is through an appeal to court  
• where there are separate arrangements to appeal a professional decision, or a special statutory procedure already exists for dealing with a particular issue (such as a tribunal)  
• a complaint on behalf of a group of service users or the same complaint is received from a number of individuals in such a way as to suggest an organised campaign  

Where the decision is taken not to investigate a complaint under this procedure, you will be informed of the decision and the reason for that decision. Where possible, you will be advised of the appropriate process to follow. 

Where the council receives a complaint that relates to the actions of more than one agency (for example, police or NHS) the council will liaise and co-operate with those agencies for the purposes of co-ordinating the handling of the complaint and ensuring the complainant receives a co-ordinated approach.

This will include agreeing who will take the lead and communicate with the complainant. The council will ensure that it provides relevant information requested by another agency (where it is lawfully able to do so) and attends any meetings required in connection with you.  

Sometimes a complaint might initially be dealt with under the Adult Social Care Procedure but then referred to the Corporate Complaints Procedure if it involves broader issues. 

The Complaints Manager, or a similar designated role, usually determines whether a complaint falls under the adult social care procedure or the corporate complaints policy. As stated above the adult social care complaints policy primarily handles complaints related to statutory social care services, while the corporate policy may cover other areas of the organisation's operations.  

If a complaint made to Gateshead Council relates to services operated by another authority or agency or has implications for the services operated by another authority or agency, the complaint will be sent to that agency, subject to the complainant agreeing to the release of any confidential information.  

Most letters from councillors and Members of Parliament (MP) are regarded as referrals/requests for information and are dealt with through a separate process. If an MP or councillor wishes to assist their constituent to make a complaint under this policy, the MP or councillor will be informed of the process that will be followed and then, subject to the agreement of the complainant, they will be advised of the outcome once the complaint has been through the complaints process 

Where a complaint received by the council relates to care standards (that is,services provided by an establishment or agency registered under the Care Standards Act 2000 (opens new window)) consent will be sought from the complainant or their representative to share details of the complaint with the Registered Person (that is the person who is registered under Section 11 of the Care Standards Act 2000 as in charge of the establishment or agency complained about) . Once this consent has been received, details will be shared as soon as reasonably practicable.  

Where a complaint relates in part to care standards and in part to matters for the council to consider, the council will confirm to you which parts of the complaint will be dealt with by the Registered Person responsible for the care provision and which elements by the council. The council will cooperate with the Registered Person to ensure a coordinated response is provided to the complainant. 

Where a complaint relates to the actions of a social care provider, consent will be requested from the complainant or their representative to share details of the complaint with the provider.

Once this consent has been received, details of the complaint will be shared with the provider as soon as is reasonably practicable.

Where a complaint relates in part to a social care provider and is in part for the council to consider, the council will confirm to you which parts of the complaint will be dealt with by the social care provider and which elements by the council. The council will also cooperate with the social care provider to ensure a coordinated response. 

Professional disagreements can sometimes lead to complaints, particularly if a service user feels their concerns were not addressed adequately.  In Gateshead joint protocols exist to manage situations where both professional disagreements and complaints are involved.  

Professionals can raise a disagreement with a decision made by Adult Social Care through an Independent Disagreement Resolution process.  

 Gateshead SAB Escalation and Challenge Protocol V2 (PDF, 251 KB)(opens new window) 

Such disagreements are not complaints and will not be dealt with via the Complaints and Representations Procedure.  

Complaints must be made no later than 12 months after:  

• the date on which the matter which is the subject of the complaint occurred 
• if later, the date on which the matter which is the subject of the complaint came to your notice.  

However, the Responsible Person has the discretion to waive this time limit if they are satisfied that:  

• you had good reason for not making the complaint within the time limit, and  
• notwithstanding the delay, it is still possible to investigate the complaint effectively and fairly. 

Complaints are usually received electronically and will be acknowledged within two working days of receipt with a decision on how we intend to proceed or signposting you to another part of the service who can better respond to your issues.

If the complaint has been received via another organisation (for example, NHS), the complainant will be notified within two working days of receipt of the complaint from that agency that their complaint details have been received by the council.

The acknowledgement may be made verbally or in writing and will contain details of the way in which the complaint will be handled and the response timeframe.

You will also be offered the opportunity to discuss your complaint issues. 

Complaint investigations will be appropriate and proportionate, aiming to resolve the issue quickly and efficiently. During the investigation as far as reasonably practical, you will be kept informed of progress.  

Following the investigation, you will receive a written response signed by the Responsible Person containing an explanation of how the complaint has been considered; the conclusions reached; and any remedial action Gateshead Council considers necessary.

The response will also contain details of the your right to refer your complaint to the Local Government and Social Care Ombudsman should you continue to be dissatisfied (see paragraph 18 for contact details) and any further recourse you may have in the case of a complaint which also concerns the NHS.  

Gateshead Council has a maximum of six months from the receipt of a complaint to provide a written response. Should a longer period be required, they will notify you in writing explaining why and send the response as soon as reasonably practicable thereafter.  

It is important to note that care providers will have their own processes and timescales for dealing with complaints, and it may be necessary for those processes to conclude before the council can fully deal with your complaint. 
 

The Responsible Officer will ensure that information relating to the arrangements for making a complaint is available to the public.

This information will include relevant contact details, and the process followed when investigating a complaint. 

Unreasonable behaviour or persistent complaints will be treated in accordance with the provisions set out in our Corporate Complaints Policy. 

When we don't get things right, we will act to:  

• accept responsibility  
• explain what went wrong and why  
• put things right by making any changes required  
• we will tell you what we are going to do and when we expect to have completed the work  

The action we take to put matters right (that is, redress) in response to a complaint, can include any combination of remedies which will normally include an explanation and apology. The general principle we follow is that you should, so far as possible, be put in the position you would have been in, had things not gone wrong. The remedy should also be appropriate and proportionate to the circumstances and to any injustice caused.  

It will take account of your views and desired outcomes and the effect of your own actions, such as delay on your part.  Where the remedy takes the form of a payment, it is often a modest amount whose value is intended to be largely symbolic, rather than purely financial.

The council takes careful consideration of the LGSCO guidance on good practice and remedies: Guidance on remedies - Local Government and Social Care Ombudsman (opens new window) 
 

In most cases, compensation will not be offered. If it is evident at the outset of a complaint that you are seeking compensation, consideration will be given whether the matter should be referred to the Council's Risk and Insurance Team. Alternatively, you may be advised to seek independent legal advice.  

A financial remedy will only apply in cases where fault has been found during the investigation, and it is considered that there has been some loss or suffering. Where a complainant has suffered an injustice and/or hardship, resulting in direct financial loss, we will complete an investigation to consider whether a financial remedy is appropriate. In determining this, the council will refer to the LGSCO guidance on remedies, as detailed above.  

The council also has a Corporate Complaints Policy that addresses potential maladministration in place, which aims to offer fair remedy, but not compensation payments comparable to what a court might order. A court would consider detailed evidence in relation to liability, causation and mitigation; considerations which are beyond the scope of the council's policy. We will always be clear and transparent about the reason for any decisions we make, and it will be recorded by the decision maker and included in our response. 
 

Once the council has dealt with the complaint, the complainant may refer it to the Local Government and Social Care Ombudsman (LGSCO) and ask for it to be reviewed. The LGSCO provides a free and independent service.  

Complaints may be registered with the LGSCO using their complaint form or by phone or post.  

The contact details are:  

The Local Government and Social Care Ombudsman (opens new window)

0300 061 0614  

The Local Government and Social Care Ombudsman

PO Box 4771

Coventry

CV4 0EH  

The LGSCO will not normally investigate a complaint until the council, or the provider has had an opportunity to respond and resolve matters. 
 

You may want to report concerns, provide feedback, ideas or comments about the care or service you have received or you are receiving.

If you do then it's best to first speak with a member of staff involved in your care or service.

If you find that staff are unable to help you, or you are not comfortable speaking with them, contact the Customer Feedback Team.

If you find that your concerns or problems have not been resolved, you may wish to make a formal complaint.

If you do not agree with the final response you can refer your complaint to the The Local Government and Social Care Ombudsman (opens new window).