1.3.1 Handling Complaints about Children's Social Care Services |
Contents
1. Introduction and Background
These procedures are informed by and compliant with the then DFES guidance "Getting the Best from Complaints" published in 2006 and Statutory Instrument 2006 No 1738 - The Children Act 1989 Representations Procedure (England) Regulations 2006.
Copies of relevant leaflets, including translations, are available from the PCC Complaints Manager (01733 296331), Insite (the PCC staff internal web page), and through the local authority's web pages.
Any comments questions or concerns about this process must be reported to the PCC Complaints Manager (01733 296331)
Government guidance requires that complaints procedures should be
- Simple, effective and efficient
- Clear and easy to use.
Complaints procedures should also ensure that
- People who use the service must be treated with dignity and respect, are not afraid to make a complaint, and have their concerns taken seriously.
- As far as is possible complaints are handled in a even handed way
- Any concerns about the protection of children are referred immediately to the relevant social services team or to the Police.
- Wherever possible complaints are resolved swiftly and satisfactorily at the local level.
- There is a fair process with adequate support for everyone involved in the complaint.
- The child or young person receives a full response without delay.
- Any local authority purchasing services in the independent sector is enabled to exercise its continuing duty of care.
- Sensible and effective links with other procedures in local government are secured
- The child or young person's rights of access to other means of redress, such as the Local Government Ombudsman are safeguarded
- Local authorities monitor their performance in handling complaints, deliver what they have promised, learn from complaints and use this learning to improve services for everyone who uses them.
- Complaints data are routinely provided to council committees, and contribute to departmental and corporate performance assessments. In this way they contribute to service delivery, and improving outcomes for children and young people.
Because the services we provide every day must improve the life chances of the children and young people we serve. The formal complaints process is there to further protect those interests and ensure their voices of children and young people are heard.
| 'Listening to children keeps them safe and helps protect them from poor practice'. |
These complaints regulations are also consistent with the 'Get It Sorted' guidance (published by the DfES in April 2004) which dealt with effective advocacy.
1.1 What is a complaint?
A complaint is a 'problem not being sorted out' or ' an expression of dissatisfaction... which requires a response'
Please note there is a clear distinction which should be made between an allegation and a complaint. An allegation is when a professional or volunteer is believed to have
- Behaved in a way that has harmed a child, or may have harmed a child;
- Possibly committed a criminal offence against or related to a child; or
- Behaved towards a child or children in a way that indicates s/he is unsuitable to work with children.
Allegations management procedures must be used in these circumstances and a consultation with the Local Authority Designated Officer should take place
1.2 Who can complain?
- Any child In Need and/or Looked After by the local authority
- Their parent, or anyone with Parental Responsibility for such a child
- A foster carer (whether approved by this authority or another or via an independent fostering agency)
- A child leaving care
- A Special Guardian or child (or their parent) who is subject to such a Special Guardianship Order
- Any person applying for a Special Guardian support service or to adopt a child
- Any child who may be adopted or their parent or guardian
- Any person covered by adoption services
- People previously adopted, their parents, natural parents or former guardians
- Anyone the local authority accepts has a sufficient interest in a child's welfare
There is a separate (corporate) procedure for anyone else wishing to complain.
For information contact the Central Complaints Office 01733 296331 or email complain@peterborough.gov.ukAnonymous complaints should be recorded and may be dealt with at the local authority's discretion.
1.3 Local Authority duties where there is a complaint
Where a child wants to complain the local authority must ensure the child knows about and can contact an advocacy service, and that the advocate is fully included in the process while the complaint goes through the statutory procedure.
The independent advocacy provider in Peterborough is
National Youth Advocacy Service (NYAS)
Freephone: 0800 61 61 01
ext: 0777 333 4555 or
e-mail: help@nyas.net;
website:
National Youth Advocacy Service
In addition when a child or young person either
- Makes a complaint themselves,
- Another person makes it on their behalf or
- The subject of the complaint and its outcome has a impact on that child or young person's situation,
He or she should be included in any investigation, interview or consultation wherever and whenever possible - dependent on their age and understanding
Complainants should always have the opportunity (which they are not obliged to take) to talk about and resolve their complaint informally with the team member/manager concerned. If this is not successful or if this something the complainant prefers not to do the complaint will proceed to Stage One
Stage Two involves registration of the unresolved complaint and a formal Independent Investigation being commissioned by the Complaints Manager.
Stage Three allows for a review of the complaint by a wholly Independent Review Panel of three persons.
1.4 What may be complained about?
Children Act 1989 Part 3 functions
- A policy decision, or delay in decision-making
- Service provision - delivery of service, frequency, costs, change or quality
- Staff attitude or behaviour
- Eligibility criteria
- Assessment, management or review
Children Act 1989 Part 4 functions
- A decision to apply for a Care Order or Supervision Order (Section 31 of the Children Act 1989)
- The effect of decisions/actions once a Care Order is made (Section 33 of the Children Act 1989)
- Powers regarding parental contact with a child in care (Section 34 of the Children Act 1989)
- Duties of supervisors where a Supervision Order in place (s35)
Children Act 1989 Part 5 functions
- Local authority actions regarding applications for or duties relating to Child Assessment Orders (Section 43 of the Children Act 1989)
- Actions/duties relating to Emergency Protection Order applications and the return of children previously removed (Section 44 of the Children Act 1989)
- Any information/report provided to a Court which is to be treated as separate and distinct from the actions of the Court,
- Any services regulated by the Care Standards Act 2000
- Any services regulated and provided within or on behalf of a local authority e.g. TACT, NSPCC or Family Welfare Association. Complaints about such services should - with the complainant's consent - be noted and referred to the provider for handling within their own robust complaint procedure. Reference to complaint handling must be included in the local authority's contract with the provider
Complaints concerning a contracted service - the Complaints Manager will share information promptly with the Commissioning Manager (Commissioning and Performance)
Complaints concerning both the local authority and the contracted service - the Complaints Manager will agree with the service provider how to proceed so as to respect both sets of procedures, within the terms specified in the contract with that agency
Adoption Services
- Adoption support (helping children talk about adoption issues)
- Adoption assessments, placements, removals from placements which are non-agency/adoption agencies
- Contact and Parental Responsibility issues
- Placement proposals, planning implementation and reviews
- Adoption and/or contact records
Special Guardianship Support Services
- Assistance or financial support to Special Guardians
- Support groups for children placed, helped with contact, other therapeutic services for the child/young person
- Assistance to ensure the continuation of the relationship between the child/young person and Special Guardian
1.5 Where does the procedure not apply?
- The service complained about is not provided or commissioned by the local authority
- The local authority may decide the complaint process may compromise a procedure already under way. For example:
- Court or tribunal proceedings
- Disciplinary or criminal proceedings
- Where this decision is made it must be conveyed and explained - with its reasons - to the complainant. Thereafter the complainant has 12 months in which to present their complaint again after conclusion of the concurrent proceedings.
- The person wishing to complain does not meet the 'complainant' criteria as set out in Section 1.2, Who can complain? above
- The event/s complained about occurred more than a year ago and
- A fair investigation is no longer practical e.g. relevant information and individuals are no longer available to the authority
- There is no gain for a truly vulnerable complainant in pursuing the complaint
- The complaint could be presented but was not presented within the normal time limit
2. Procedure/Methodology
2.1 Stage One - Local Resolution - The best chance to put things right
Key Elements
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The process
| 1. | Any expression of complaint - in conversation with staff, by phone, e-mail, text message, online, leaflet or letter - should be forwarded as soon as possible to the Complaints Manager for statutory recording/monitoring/reporting |
| 2. | Independent Advocacy must be suggested and/or offered to any child/young person wanting to complain or pursue a complaint at any stage in the process. |
| 3. | The Complaints Manager will decide if the issue presented as a complaint is best resolved using the statutory complaint procedure. |
Recording and Responding to Complaints |
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| 4. | The Complaints Manager will:
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| 5. | Investigating the complaint The relevant CSCS Manager will:
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| 6. | Providing a written response which will :
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| 7. | Actively Seeking Resolution The statutory timescales allow some flexibility. The regulations allow Stage One timing to be 'suspended' while an advocate is appointed, however they also sets a maximum of 20 working days for that stage. Therefore it is essential to agree any suspension of the timescale with the complainant and demonstrate a movement towards resolution or escalation. Complex or conflicted situations often require a face-to-face discussion with the complainant to supplement any exchange of letters. The Manager should therefore offer to meet with a complainant and/or his or her representative in order to mediate and agree a timely resolution without the need to move onto Stage Two. The complainant may however request moving to Stage Two at any point or where a response has missed the 20 working day deadline or is unsatisfactory. Regulation 10 compels the local authority to respond quickly at each point of the process. This means we can ask the complainant to tell us within 20 working days if they are satisfied or wish to pursue the complaint. However the complainant is not obliged to do so. Complaints about a Care Plan, e.g. a change of placement, may require the implementation of the plan to be 'frozen' while the complaint is considered and resolved, unless doing so would expose a child to risk of harm or neglect. Any agreed resolution should be formally noted and shared with the complainant/their advocate and the Complaints Manager for monitoring/reporting. |
Administration
An electronic copy of all correspondence/e-mails/notes of phone calls etc involving the Complaint Unit is required for the complaint file. The complaint file will include as a front sheet - a page summarising the handling and outcome of the complaint at each stage until resolved. The Complaints Manager will send the complainant a follow up letter, with a feedback form confirming that a final response has been sent to the complainant and inviting the complainant (or their advocate) to reply within 20 working days.
In the absence of a response from the complainant, the Complaints Manager may close the complaint file after 20 working days, and record the number of working days taken to resolve the complaint, from the date the complaint was received to the date the final response was sent.
Reporting
The Complaints Unit will maintain an electronic complaints database to inform regular reporting to CSCMT and the relevant council committee/s.
The data collected will reflect the accessibility of the process and the uses of complaint activity to improve services and outcomes for children and young people.
2.2 Stage Two - Independent Investigation - Who does what
There is an expectation that the majority of complaints should be dealt with at Stage One. If this has not happened the complainant has the right to request consideration of the complaint at Stage Two. There is no time limit within which he must request this but in order to avoid loss of momentum the authority may wish to recommend that the request should be made within 20 working days
Key Elements
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The Complaints Manager is then responsible for a clear, timely and comprehensive report being provided to the head of CSCS
The Complaints Manager then commissions a complaint investigation from the pool of approved Independent Investigators and Independent Persons which is maintained by the Complaints Unit. Alternatively the matter could be investigated by a member of staff from the PCC Corporate Compliance Department
Either independent role may be commissioned from elsewhere if necessary e.g. a particular language requirement.
The Complaints Manager meets the Independent Investigator and Independent Person to share documents from the complaint file and clarify the complaint chronology up to that point.
The Independent Investigator then meets the complainant to discuss the terms of the complaint to be investigated, and the outcomes the complainant seeks from Stage Two of the process. The Independent Person could be included in this meeting if deemed necessary.
The Independent Investigator provides a formal copy of these terms for the complainant's prompt consideration/amendment and agreement.
When this (signed and dated) record is received by the local authority, the Stage Two investigative timescale begins.
The timescale for such investigations is 25 working days, unless complexity and/or the availability of important individuals make delay unavoidable. In that event the Complaints Manager may agree to an extension to 65 working days. Wherever possible this extension should be agreed with the complainant / young person concerned
To enable a fair and thorough investigation the complaint should be copied to any staff member or individual likely to be involved, unless to do so would prejudice the investigation.
Staff will need to take the statutory timescale for the investigation into account when considering their availability for interview.
The Independent Investigator will be allowed access to all relevant documents/files and staff. This access may extend beyond that to which the complainant is legally entitled e.g. the local authority is not obliged to allow a complainant access to the file opened to record the handling of their complaint.
The Role of the Independent Investigator and the Independent Person
The Independent Investigator leads the investigation and reports on their findings and any recommendations arising from their investigation.
The Independent Person assists the Independent Investigator in providing an investigation that is open, transparent and fair. The Independent Person works alongside the Independent Investigator to provide an objective report of whether or not the investigation was conducted in a comprehensive and respectful manner.
Good practice dictates any concern of the Independent Person about the investigation be Independent Investigator promptly and the issue clarified and resolved between them, to avoid delay
The Complaints Manager will be available to both the Independent Investigator and the Independent Person in respect of support with resolving any difficulty or obstacle to the investigation and reporting process. Similarly the Complaints Manager will be available to any manager concerned or unclear about any matter seemingly not covered by this guidance.
Further guidance for Independent Investigators and the Independent Persons and Adjudicating Officers is included in the Appendices to the guidance
The Independent Investigator's Report
When the Investigation is completed, the Independent Investigator drafts a report which is discussed with the Independent Person. The signed report is then forwarded to the Complaints Manager.
The Independent Investigator report will
- Be written in plain language,
- Distinguish between facts, personal feelings and opinions.
- Establish the findings, applying the balance of probabilities, supported by evidence e.g. written records.
- Identify the conclusions reached so that complaint could be 'upheld' or 'not upheld'.
- Suggest a remedy for each 'upheld' complaint, to repair any injustice suffered by the complainant as a result.
The Independent Person's Report
The Independent Person will also report on the Independent Investigator report giving an opinion on
- Whether he thinks 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 Independent Investigator's report provides an accurate and complete picture of the investigation;
- The nature of the recommendations or make his own recommendations as necessary.
Adjudication and Resolution
Once the Independent Investigator has finished the report, a senior manager should act as Adjudicating Officer and consider the complaints, the Independent Investigator's findings, conclusions, and recommendations, any report from the Independent Person and the complainant's desired outcomes.
The senior manager should have no management responsibility or other connection with the service which is the subject of the complaintThe purpose of adjudication is for the local authority to consider the reports and identify:
- Its response;
- Its decision on each point of complaint;
- Any action to be taken (with timescales for implementation).
The Adjudicating Officer will prepare a response to the reports, with his decision on the complaint, actions he will be taking with timescales for implementation - this is the adjudication.
The Adjudicating Officer may wish to meet the Complaints Manager, Independent Investigator and Independent Person, to clarify any aspects of the reports. The Adjudicating Officer should also consider liaising with the Complaints Manager in drafting the adjudication.
The Adjudicating Officer may wish to meet the complainant, child or young person as part of the adjudication process or afterwards to explain the details of the adjudication i.e. the outcome of the complaint and any actions that he proposes.
The purpose of this meeting will be:
- To allow the complainant every chance to ask any questions about the investigation, the reports, or the local authority's response
- To resolve any outstanding issues
- To allow the complainant opportunities to question the investigator's findings and report
- To satisfy the complainant that the service management will learn from any mistakes that may have led to the complaint
The local authority should then write to the complainant with their response containing:
- A complete copy of the investigation report;
- Any report from the Independent Person; and
- The adjudication.
This response must contain details of the complainant's right to have the complaint submitted to a Review Panel if s/he is dissatisfied and that s/he has 20 working days to make this request to the local authority / Complaints Manager.
Monitoring of 'lessons' learned from Stage Two investigations
The Adjudication Officer will check that any general recommendations from their adjudication are put into practice. These actions will also be monitored and reported on as part of the Complaint Manager's six-monthly report to the Director.
The Adjudicator, Complaints Manager and any Service or Team Manager involved in the complaint will meet to agree exactly how and when the adjudication is to be implemented.
The Team/Service Manager/s concerned will share all relevant information revealed through the investigation, report or adjudication with individual staff and any team involved. Thus any staff involved at Stage One or Two will understand the outcome of the investigation and the authority's response to the complaint.
The Complaints Manager will attend CSCS Management Team meetings half-yearly, to provide and discuss complaints data (amended to respect complaints' confidentiality).
The Complaints Manager will report annually direct to staff teams on complaint activity, provide briefings and training on the Complaints Procedure and Regulations.
The CM will provide training and development events to the maintained pool of Independent Investigators/Persons
2.3 Stage Three - Complaints Review Panel
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The Independent Complaint Review Panel - Principles
The Regulations require the complainant to set out their reasons for requesting a Panel. Where the complainant does so verbally, the Complaints Manager will meet the complainant/their representative and agree these reasons in writing.
The Panel is a review by 3 independent persons. The Review Panel must be wholly independent and may not include any Independent Person appointed at Stage Two or previously known to the complainant. The Panel Chair will direct the Panel away from attempting a re-investigation of the complaint or hearing any complaints not presented by the complainant at Stage Two.The Panel process is in place to ensure all parties are heard by considering whether the Stage Two process was adequately followed. The complainant may be represented by a lawyer who should bear in mind that the Panel is an independent problem and dispute solving mechanism. The Panel Chair will direct everyone attending towards a resolution.
The Panel must therefore look carefully at the complaints presented for review along with the complainant's desired outcomes. The Panel must make findings in respect of each item and make recommendations to the Director for any action to be taken in response. Where any complaints are upheld and an injustice is recognised by the Panel it must recommend an appropriate practical remedy to the Director.
Arrangements for the Review Panel
On receiving the request for a Panel, the request must be acknowledged within 2 working days, and a Panel held within 30 working days at a time and venue practical and convenient for the complainant.
The Complaints Manager has 10 working days from accepting the complainant's request for a Panel to do the following:
- Appoint the Independent Panel Chair
- Confer with the Panel Chair and agree arrangements for the Panel
- Confirm the Independent Panelists
- Agree with the Chair the content of any Panel papers
The Panel's arrangements should be clearly respectful to the complainant's sometimes limited resources. The local authority representatives may therefore be limited to a workable minimum so that the Panel process remains 'customer-focussed'.
Particular care will be taken where a young person is to attend a Panel. The Chair will ensure the Panel is conducted clearly and sympathetically to respect their wishes and - as a priority - their best interests.
Panel Papers
These will normally include:
- The complaints presented at Stages One and Two
- The Stage Two Independent Investigator and Independent Person reports
- The local authority's letter of adjudication and notes of any meeting/s with relevant regulation procedure or guidance
- Any correspondence to the Panel submitted by the complainant
The papers will be circulated to all attendees at least 10 working days before the Panel.
Any document circulated to the Panel will also be provided to the complainant.
Conducting the Panel
The Panel meeting will comprise a pre-meeting, presentations and deliberation.
The pre-meeting will allow the Chair and Panel to meet with their administrative support and the Complaints Manager to confirm the order of business and take any legal advice they may require. The Chair will pre-empt any discussion at this point of the merits of the complaint etc.
The Chair will meet the complainant on arrival and outline the order of business the Panel will follow. An independent administrator will assist the Independent Chair by making a note of the Review Panel order of business, the presentations and deliberations.
The complainant (with their representative advocate or supporter) and other attendees (the Independent Investigator, Independent Person and Adjudication Officer from Stage Two) will then join the Chair and Panel. The Chair will then begin the Review Panel meeting by reiterating the terms of the Stage Two complaint and the complainant's desired outcomes.
The presentations will then follow, keeping to a time limit set beforehand by the Panel. The complainant (or their representative), and then the local authority, will use their presentations to explain the key points and desired outcomes they wish the Panel to consider. The Panelists may ask questions arising from each presentation as they wish. The Chair will also allow the complainant and the local authority the same opportunity. The Chair will then bring the presentations and questions to a formal conclusion. The complainant and other attendees will then withdraw.
The deliberation by the Panel then begins. The Complaint Manager will arrange and provide administrative support to the Panel, ensuring no conflict of interest arises.
The Panel will discuss and seek to agree their findings and recommendations. The Panel's deliberations conclude with the drafting of a report to be sent to the Director of Children's Services within 5 working days of the meeting, noting if any Panelist disagrees with the majority recommendation or findings. The report will include the Panel's order of business concerning the particular complaint/s and detail the panel's findings and reasons for those findings, as well as any recommendations the panel may wish to make.Panel Findings and Recommendations
If the Panel finds in the complainant's favour, its recommendations for corrective action may include a financial payment. Any such recommendation should:
- Put the complainant back to where they would be had the injustice not happened
- Consider a financial remedy as an alternative
- Consider the complainant's wishes
- Consider if the complainant contributed to the injustice
- Refer to the Ombudsman's website when considering a financial remedy
Concluding Stage 3 - the local authority's response Director
The Director (Children's Services) has 15 working days within which to respond to the Panel's report. The complainant will be reminded in that response of their right of appeal to the Ombudsman. The response will explain how the local authority's response to the Review Panel findings and list any steps for further action that will be taken in response to the complaint. The Director must explain any change of direction or emphasis from the Panel findings the local authority indicates in that response.
Findings and recommendations from Stage 3 Panels will be included in the Complaint's Team half-yearly reports for the CSC Senior Management Team meeting
Any complainant dissatisfied with the Director's response is free to appeal to the Local Government Ombudsman, whose contact details and leaflets will be available to the any complainant from the Complaints Manager or Ombudsman's website.
3. Stage Two Complaint Adjudication - Children's Social Care Services Form
Click here to view Stage Two Complaint Adjudication - Children's Social Care Services Form
4. Staff Ready Guide - The Complaints Process (2006 Regulations)
Stage One - Local Resolution - If an informal approach has not succeeded
Key Elements
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Stage Two - Independent Investigation - Who does what
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Stage 3 - Independent Complaints Review Panel
Key Elements
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Appendix A - Guidance Note for Independent Complaint Review Panel Chairs
Children's Social Care Services Statutory Complaints Process - Stage 3
A Guidance Note for Independent Complaint Review Panel Chairs
This note is to support the effective conduct and delivery of Stage 3 Panels.
The complaints function within this authority is to 'support and challenge'. Accordingly we are committed to appointing Independent Chairs of Panels whose autonomy is actively respected and their contribution given a clear context.
This note is to support local and fair interpretation of the complaint regulations via discussion and improvement through training and development.
The Independent Chair makes a critical contribution to this delivery. A clearly focussed discussion will ensure complainants receive a fair hearing of their unresolved complaints, and the local authority has equal opportunity to explain what it can and cannot offer as a means of resolution.The statutory role of the Chair is to
- Confer with the Complaints Manager about the specific needs of the complainant i.e. take full account of any impairment, minority language, access to the building requirement etc
- Agree who will attend as the local authority representative and request the attendance of any other persons who may assist in understanding the complaint and its context;
- Chair the Panel meeting by ensuring that the complaint is heard in full;
- Operate flexibly in response to the individual needs of each Panel member
- Ensure that the Panel runs smoothly and that each participant is given an opportunity to contribute appropriately;
- Ensure that all participants are treated with respect throughout the process;
- In consultation with the other Panelists, ensure that the pre-meeting, presentations and deliberations are of proportionate length to ensure appropriate consideration of the complaint and to enable the Panel to reach its conclusions;
- Manage the Panel's deliberations to produce a timely and full response to the complainant and local authority within five working days of the Panel meeting;
- Ensure that any disagreements of position among the Panelists are recorded and seek to reach a majority decision where necessary;
- Be available to meet local authority staff, if needed, after the Panel meeting to discuss any recommendations arising.
- Direct the conduct of the Panel (with administrative or advisory support from the Complaints Manager where requested).
Conduct of the Panel
- A 'fair' process at Stage 3 will be accessible, transparent and open to appeal.
- The Panel should be conducted as informally as possible, but in a professional manner and in an atmosphere that is accommodating to all attendees. The Panel will not be as formal as a Magistrates Court or Employment Tribunal - it is a guided conversation. This is particularly important where the complainant might be a child or young person. The need for other support in response to diversity and disability issues should be catered for, including (but not limited to) provision for sensory impairment, translation and interpretation.
- Panels should normally be structured in three parts: pre-meeting; presentations and deliberation.
- The pre-meeting and presentations should centre on the documents submitted. This emphasis risks a more formal process whilst - more importantly - allowing the complainant a more transparent basis for review in the event the complainant wishes to appeal to the Ombudsman when stage is exhausted.
- The Review meeting should last from one to three hours, allowing the Panel to begin its deliberations immediately afterwards, over a working lunch. The basis for the first draft of the panel's findings and reasons must be agreed before the Panel depart.
Pre-meeting
- This is an opportunity for the Panelists and the Complaints Manager to meet in closed session to discuss the order of business and any other relevant issues (e.g. taking legal advice). The Chair will test the Panelists' understanding of the submissions received from the complainant and the local authority. Panelists will begin to plan the questions they may wish to put to Panel attendees. The Complaints Manager will provide any advice or clarification required on procedure.
- No deliberations on findings or recommendations in relation to the complaint will commence at this meeting.
- The Panel should carefully consider the complainant's written submission - explaining their request for the Review - and its comparative emphasis on dissatisfaction with
- The conduct of the Stage 2 Investigation
- The Investigator's report or findings
- The local authority's adjudication and response
- The complainant's submission should comprise a written statement, saying which aspect/s of the complaint is not resolved to their satisfaction.
These items should be consistent with the complainant's stated 'desired outcomes' at Stages One and Two. As with complaints presented at Stage One, where the complainant has difficulty in setting out this information, the Complaints Manager will provide or arrange assistance for them to do so.
This submission takes on particular significance if there is a perceived risk of the Review becoming a re-investigation of the whole complaint. As well as Panel members, the Chair may wish to clarify this point with the complainant before and at the start of review meeting: Stage Three is a Review of those aspects of the complaint which are unresolved from Stage Two.
Similarly, the local authority will provide a (usually) short written report to the Panel (and the complainant) as the basis of their presentation to the Panel.
This statement will be submitted to the Complaints Manager by the Head of CSCS - at least 10 working days prior to the Panel date, and distributed to the Chair, the complainant and Panel attendees.
Panel and Presentations
Once all attendees are present, the Chair should commence the Review by explaining its purpose and the need for confidentiality. The Chair should advise the complainant of the respective roles and responsibilities of those present and address succinctly any questions or concerns that the complainant may have about Stage Three of the process.
The Chair should ensure that the Panel's focus is on the agreed complaint and the complainant's desired outcomes from the Stage Two investigation. The purpose of hearing the presentations is to understand each party's opinion of the complaint rather than an opportunity to cross-examine attendees. The Chair should also indicate how long the Panelists anticipate that the presentations should last.The full Panel meeting should begin with presentations on the points of complaint and desired outcomes by the complainant and the local authority. Again, to enable the Panel to be accurately informed about the complainant's specific areas of dissatisfaction following Stage Two, the complainant's presentation should clearly conform to those areas referred to in their written submission to the Complaints Manager.
Normally, the first presentation should be by the complainant (or his advocate/representative) who should be invited to 'talk' to the complaint and expand upon any relevant themes that should aid the Panel's deliberation. The Chair should ensure that this presentation is reasonable and relevant, exercising discretion in limiting its scope, substance or duration.
Panelists should then have sufficient opportunity to ask questions of all present and seek clarification on the issues being discussed so they are in a position to make recommendations regarding the outcome. Panelists must adhere to the order of business preferred by the Chair, so that the areas of dispute and/or emerging resolution are clear to all.
The Chair should also invite the complainant, the local authority and other attendees to ask questions and raise points of information and opinion as relevant to the unresolved areas of the complaint.
The Panelists should:
- Read Panel papers in advance of the meeting;
- Attend for the entirety of the Panel and contribute to the consideration of the complaint through the Chair;
- Support the Chair by taking an active part in the decision making process;
- Contribute to deliberations and the wording of the Panel's findings; and
- Provide relevant opinion based on any specialist skills, knowledge and awareness that they have in respect of the presenting complaint.
The Chair should signal the approaching conclusion of the meeting by asking the complainant if they have any further points to make to the Panel, and finally if the complainant is satisfied their complaint has been fairly heard by the Panel.
Deliberations
The Panel should then go into closed session to deliberate on their findings and conclusions. The Panel may need administrative support at this stage, but this should not unduly influence the Panel's deliberations and no conflict of interest should arise.
The Panel is required to produce a written report containing a brief summary of the representations and their recommendations for resolution of the issues (regulation 20(1)).Financial redress
If upholding a complaint which has resulted in a quantifiable financial loss for the complainant, the panel should consider the appropriateness of financial redress
Different reasons for financial redress include:- Compensation;
- Quantifiable loss;
- Loss of a non-monetary benefit;
- Loss of value;
- Lost opportunity;
- Distress; and
- Time and trouble.
When considering financial redress, the local authority should also consider the following issues:
- Whether it is appropriate to offset compensation in instances where the complainant owes money to the authority. This would apply for any costs owed to the authority as a whole, rather than to a single service;
- Where the complainant has incurred expenses or suffered financial loss, the authority should also consider whether it is appropriate to pay for loss of interest as well. The Local Government Ombudsman recommends the standard rate set by the County Court; and
- It may also be appropriate to calculate a financial remedy as a formula which takes into account all known factors.
The Local Government Ombudsman provides helpful advice on a wide range of issues relating to redress on its website: Ombudsman.
Additional time should be set aside by the Chair over the ensuing days to discuss and finalise the report, usually by exchanging drafts with Panelists by e-mail. Terms or points of law requiring clarification to enable the Panel to adjudicate can be referred to the Complaints Manager for local authority legal advice.
They must send this to the complainant, the local authority, the Independent Person from Stage Two and any other person with sufficient interest within 5 working days of the Panel meeting (regulation 20(2)).
The written record should set out simply and clearly a brief summary of the representations; their practical and specific recommendations for the resolution of the issues and the reasons for them. If a Panelist disagrees with the majority recommendation, this should also be recorded and the reason for it given.
After the Panel
The local authority must send its response to the Panel's recommendations to the complainant (and other participants as necessary) within 15 days of receiving the Panel's report (regulation 20(3)). The response should be developed by the relevant Director / Director of Children's Services setting out how the local authority will respond to the recommendations and what action will be taken. If the Director deviates from the Panel's recommendations he should demonstrate his reasoning in the response. In developing his response he should invite comment from all the attendees including the Independent Person from Stage Two (Regulation 20(3)).
The complainant should be advised of his right to refer his complaints (if still dissatisfied) to the Local Government Ombudsman (Regulation 20(3)).
Appendix B - Complaints Regarding Clare Lodge
Clare Lodge provide services every day to young women placed there by other local authorities. Complaints from these young women must be handled through this procedure and those other authorities kept regularly informed of progress with the complaint at any time.
Otherwise, staff will be expected to resolve the complaint according to this procedure
Clare Lodge staff will continue to involve and make full use of Independent Advocacy services available through regular visits to Clare Lodge, provided by Voice who can be contacted from Clare Lodge direct or through the Voice website.
Any complaint not resolved following a written response (provided on time) to the complainant from a Clare Lodge Manager will be discussed at a special meeting. No complaint will move to Stage 2 of the procedure without such a meeting being held. That meeting must involve the complainant.
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