Training for Local Authorities Effective Complaint Handling in Adult Social Care

Who are we? we independently investigate complaints about fault by independent care providers and local authorities causing injustice 120 investigators we have the powers of the High Court to obtain information and documents if we find fault, we may make recommendations about how to put things right

2017 – 2018 investigations received 17,452 complaints and enquiries carried out 4020 detailed investigations‒ and published our decisions about them online upheld 57% of complaints against local authorities where we carried out a detailed investigation made 3622 recommendations to put things right (LGSCO’s Annual Review of Local Government Complaints 2017-18)

What kind of complaints? Complaints and enquiries received, 2017-2018

The Social Care Ombudsman we investigate all complaints about adult social care services, whether care is funded privately or provided by local authorities we received 3061 complaints and enquiries in 2016-17 2614 were about councils, 447 about individual care providers 1318 recommendations made 63% complaints upheld

Learning outcomes At the end of the course you will be able to: list five things that are important to people when they complain describe the stages of the complaint-handling process accurately identify, define and summarise complaints list five sources of useful evidence for investigations investigate a complaint and reach evidence-based conclusions identify appropriate and proportionate remedies for injustice write a comprehensive decision letter/response explain how learning from complaints can be used to drive service improvements

Complaint journey Considering a complaint: “I felt confident to speak up.” Making a complaint: “I felt that making my complaint was simple.” Staying informed: “I felt listened to and understood.” Receiving outcomes: “I felt that my complaint made a difference.” Reflecting on experience: “I would feel confident making a complaint in the future.” (“My expectations for raising concerns and complaints”, LGSCO/PHSO/Healthwatch England, Nov 2014.)

Overview of the complaint process Step 1 Accept complaint > analyse > define complaint Resolve the complaint Take action as soon as possible at any stage Step 2 Plan investigation > gather > analyse > evaluate information Step 3 Make decision Step 4 Communicate decision

Analyse and define is it a complaint? is it for me/us? any initial issues? define what has gone wrong from the complainant’s point of view

Planning the investigation is the complainant at risk? if the complainant has a representative, are they a suitable person to represent them? what are your timescales?

The investigation > what is established fact? > what is uncertain? > what needs to be established? > how? > useful sources of information

Evaluating information > reliable > relevant > important

Making a decision > has there been some fault? > what effect has it had on the complainant? > what action does the authority need to take?

Putting things right > if possible, put the complainant in the position they would have been in if the fault hadn’t happened > focus not so much on what went wrong, more on what the consequences were > take account of the complainant’s views, but exercise your own judgement

Putting things right > make the remedy appropriate and proportionate to the harm suffered > if specific action is needed, e.g. provision of a service, ensure the action is taken > if no other way to remedy, consider payment of money > if there is something to apologise for, do it

Putting things right > did the complainant contribute to the harm they suffered? > was the complainant put to a lot of time and trouble in pursuing their complaint? > do you need to change your practices? sometimes, people just want to know the same thing won’t happen again www.lgo.org.uk/information-centre/staff-guidance

Learning outcomes You should now be able to: list five things that are important to people when they complain describe the stages of the complaint-handling process accurately identify, define and summarise complaints list five sources of useful evidence for investigations investigate a complaint and reach evidence-based conclusions identify appropriate and proportionate remedies for injustice write a comprehensive decision letter/response explain how learning from complaints can be used to drive service improvements

Further reading www.lgo.org.uk @LGOmbudsman Weekly emails Annual reports and statistics Reports and subject guidance Decisions Guidance on complaint handling, administrative practice, remedies and unreasonable complainants Manual for link officers Learning resources page for course participants Our own policies and procedures @LGOmbudsman Weekly emails

Ombudsman training team www.lgo.org.uk/training training@lgo.org.uk 0330 403 4042