1.7.3 Children's Complaints |
Contents
1. Introduction to Complaints
Getting it Right - Our Motto for Complaints!
The "Getting it Right" Procedure has combined together those statutory requirements which are common to complaints concerning children and young people. These procedures set out how to deal with social care complaints for children and young people under the guidance provided by the Department for Education and Skills and the regulations implemented on 1st September 2006.
The Complaints Team also deal with Corporate Complaints. These complaints cover complaints about services that do not fall under the Children's Act 1989.
Role of the Complaints Team
The Complaints Team is responsible for overseeing the procedure by:
- managing, developing, resourcing and administering the complaints procedure
- overseeing the receipt and investigation of complaints at Stage 1,2 and 3
- appointing Investigating Officers, Review Panelists and Independent Persons
- ensuring that there are no conflicts of interest at any stage between parties involved in delivering the procedure
- cooperating with other people and agencies in order to investigate or resolve complaints
- promoting local resolution
- monitoring the progress of the investigation and ensuring its smooth running;
- making recommendations to management on actions to take following an investigation
- working closely with the Panel Chair of Stage 3 Review Panels;
- monitoring and reporting on time scales
- maintaining a written record of complaints made, the procedure followed and the outcome
- compiling the annual report as well as other performance reports
Maintaining customer focus by:
- providing a sensitive, customer-focused service for complaints, comments and compliments
- providing help and advice to people who may wish to make a complaint so that they understand the options available for resolution, both within the complaints procedure or through alternative routes
- ensuring that independent advocacy is explained, offered and provided, when required
- ensuring the complainant and key people are kept informed at all stages, and offering advice where required, particularly on the final response
- offering advice on the Departments response
- providing practical support to complainants
- promoting the use of an Independent Person where necessary for vulnerable adults
Supporting the Department:
- providing guidance, advice and support to staff
- supporting staff involved in all stages of the complaints procedure
- providing advice on training needs
- overseeing the arrangements for publicity
- evaluating and reporting on the numbers, types, outcomes and trends of complaints to inform practice, development and service planning
- maintaining a pool of people with skills and training needed to conduct investigations
- ensuring that commitments given in responses (including adjudications) are implemented
The Complaints Team is responsible for the
- dissemination of learning from complaints to line managers
- use of the complaints procedure as a measure of performance and means of quality control
- information derived from complaints to contribute to practice development, commissioning and service planning
The complaints team puts together a variety of performance documents like the quarterly reports for the Director and the Assistant Director and an Annual Report for all staff and customers. This is fed back into systems in order to facilitate and improve policy and practice.
2. Introduction to Children's Social Care Complaints
Defining Complaints and Representations
The Children Act 1989 defines the representations procedure as being for 'representations (including complaints)'.
This guidance describes the statutory procedure for a child or young person who may want to make representations, including complaints, about the actions, decisions or apparent failings of Bromley's Children and Young People Social Care Service.
A complaint may be generally defined as an expression of dissatisfaction in relation to an individual child or young person, which requires a response. Children and young people often express complaints as 'problems not being sorted out'. A common theme amongst children and young people is the need for complaints procedures to be both fast and effective: complaints procedures should 'get it sorted' or in our case "get it right" straight away.
Representations may not always be complaints; they might also be positive remarks or ideas that require a response from the Department. Enquiries or comments about the availability, delivery or nature of a service, which are not criticisms, are likely to constitute representations. The complaints team records any such concerns as comments and/or compliments and acknowledges the person making them, in writing. These are then passed onto the relevant Service Manager to note, action or implement accordingly.
Our aim is to ensure that the managers respond to the issues raised, setting out what action should be taken. We also need to make sure that children and young people know how to do this and that they do not have to be complaints. The child or young person has the same right to advocacy whether the representation is a complaint or not.
When the representation is not a complaint and the Department fails to respond to the child or young person's satisfaction, they will then be entitled to make a complaint at Stage 1 about this failure.
What may be Complained About?
All functions of the local authority under Part 3 of the Children's Act may form the subject of a complaint. A complaint may arise as a result of many things relating to statutory social care functions such as:
- an unwelcome or disputed decision
- concern about the quality or appropriateness of a service
- delay in decision making or provision of services
- delivery or non-delivery of services including complaints procedures
- quantity, frequency, change or cost of a service
- attitude or behaviour of staff
- application of eligibility and assessment criteria
- the impact on a child or young person of the application of a local authority policy
- assessment, care management and review.
However, this is not an exhaustive list and for more information contact the Complaints Team.
In addition, the Regulations provide that the following new functions may be the subject of a complaint:
Part 4 of the Children Act 1989
- the decision by the Department to initiate care and supervision orders
- the effect of the care order and the Department's actions and decisions where a care order is made
- control of parental contact with children in care
- how supervisors perform their duties where a supervision order is in force
Part 5 of the Children Act 1989
- matters that do not relate to the Court and which are specifically actions of the Department can be considered, regarding applications for and duties in relation to child assessment orders
- matters relating to applications for emergency protection orders and decisions relating to the return of children who have been removed
Where social work information or a social work report has gone to Court, the child or young person can make a complaint about the report, for example its quality or accuracy, distinct and separate to the subsequent actions of the Court. If this complaint is upheld, the Department will have to advise the child or young person what action it proposes to take with regard to the Court action.
With complaints about regulated services under the Care Standards Act 2000 and where services are delivered on behalf of the Department or through an internal service that is regulated, it may need to be considered under this procedure if required.
Adoption Services
The following adoption-related functions may also be the subject of a complaint:
- Provision of adoption support services insofar as these enable adoptive children to discuss matters relating to adoption
- assessments and related decisions for adoption support services
- placing children for adoption, including parental responsibility and contact issues
- removal of children who are or may be placed by adoption agencies
- removal of children in non-agency cases
- duties on receipt of a notice of intention to adopt
- duties set out in regulations in respect of:
- considering adoption for a child
- a proposed placement of a child with prospective adopters
- placement and reviews
- records
- contact
- Parental responsibility prior to adoption abroad
Special Guardianship Support Services
Special Guardianship Regulations 2005 came into force on 30 December 2005, under these Regulations the following may be the subject of a representation or complaint:
- financial support for Special Guardians
- support groups for children and young people to enable them to discuss matters relating to Special Guardianship
- assistance in relation to contact
- therapeutic services for children and young people
- assistance to ensure the continuation of the relationship between the child or young person and their Special Guardian or prospective Special Guardian.
What is Exempt from the Complaints Procedure?
The complaints procedure does not apply when:
- the person wishing to complain does not meet the requirements of "who may complain" and is not acting on behalf of such an individual
- the complaint is not about the actions or decisions of the Department or of any body acting on its behalf
- the same complaint has already been dealt with at all stages of the procedure.
The Department has discretion in deciding whether to consider complaints where to do so would prejudice any of the following concurrent investigations:
Court proceedings
Tribunals
Disciplinary proceedings
Criminal proceedings
If the case is subject to any of the above proceedings The Complaints Team needs to be advised so that they can write to the complainant and explain reasons for not being able to commence the investigation.
Once the concurrent investigation has been concluded the complainant may resubmit their complaint to the local authority as long as it is within one year of the conclusion of the concurrent investigation.
Who may complain?
In accordance with the Children's Act 1989 and its relevant parts the following can make complaints and representations to us:
- any child or young person (or a parent or someone who has parental responsibility) who is being looked after by London Borough of Bromley or is in need
- any Bromley foster carer (including those caring for children placed through independent fostering agencies)
- children leaving care
- special guardians
- a child or young person (or parent of his) to whom a Special Guardian order is in force
- any person who has applied for an assessment under section 14F(3) or (4)
- any child or young person who may be adopted, their parents and guardians
- persons wishing to adopt a child
- any other person whom arrangements for the provision of adoption services extend
- adopted persons, their parents, natural parents and former guardians
- any other person that LBB considers to have sufficient interest in the child or young person's welfare to warrant their representations being considered by them.
Complaints made on behalf of a child or young person
Where a complaint is received from a representative acting on behalf of a child or young person, the Complaints Team normally confirms where possible that the child or young person is happy for this to happen and that the complaint submitted reflects their views.
It is at our discretion to decide whether or not the representative is suitable to act in this capacity or has sufficient interest in the child's welfare. If the Complaints Manager and Senior Managers consider that the representative does not have sufficient interest, the representative will be informed in writing with an explanation that no further action should be taken.
Normally such complaints may be received via the Children's Rights Officer, Advocates, Solicitors, school staff etc.
Complaints Relating to a Child
We also receive complaints by adults that relate to a child or young person but are not made on the child's behalf. The Children Act, 1989 gives us discretion to decide in cases where eligibility is not automatic whether or not an individual has sufficient interest in the child's welfare to justify the complaint being considered by us. In reaching a decision, the Complaints Team may check with the child or young person that he/she is happy with the person making a complaint.
MP/Councillor Enquiries
Local Councillors (Cllrs) and Members of Parliament (MPs) also approach the Department with complaints from service users. The receiving Director or Assistant Director should pass these on to the manager of the service for an update and/or investigation. The MP and Cllr are then informed whether the matter will be dealt with according to the procedures, if it is a complaint they will be given the timescale and name of the designated manager dealing with the complaint. The Complaints Team record these complaints or comments accordingly.
Anonymous Complaints
Anonymous complaints should always be recorded and referred to the Complaints Team in the same way as other complaints. Anonymous complaints may be recorded as statutory or corporate complaints. They cannot go through the full process but it is equally important to pursue the subject of complaint as far as possible in order to identify problems within the service. Any such complaints may also need to be referred to other procedures if relevant.
Complaints Relating to More than one Authority
Where a complaint relates to two or more local authorities, the complaint should be considered by the authority, which is looking after the child or in any other case by the authority within whose area the child is ordinarily resident. All Councils have a duty to cooperate and good practice suggests that the organisation responding to the complaint ensures good communication with the others involved.
Withdrawing a Complaint
The regulations set out that the complaint may be withdrawn verbally or in writing at any time by the complainant. The Complaints Team will confirm this in writing to the complainant.
Comments
(also see Section 2 - Defining Representations and Complaints)
Comments include enquiries about the availability, and comments on the delivery and nature of services and will not necessarily be critical. They should as far as possible be sought out and welcomed in order to measure service users' satisfaction.
All comments need to be passed on to the Complaints Team for recording purposes as well.
Compliments
Compliments are positive remarks from a service user and require a response from the department.
All compliments needs to be passed on to the Complaints Team for recording purposes. The Complaints team acknowledges all compliments and will pass copies onto the relevant Service Managers for information.
Confidentiality
Children and young people are often quite concerned that details of the complaint might be given to other people who do not need to know about it. Therefore it vital their confidentiality is respected and details of the complaint should be kept in a private place.
Information will only be disclosed to those people whom the complainant has authorised to act on their behalf, such as an advocate. However, all correspondence will be sent to the complainant and not to the advocate, unless advised otherwise by the complainant.
Evaluating Customer Satisfaction
The complaints team send out evaluation forms to all complainants once the complaint has been closed. A copy of this form can be found in the appendices. This form helps us identify any unmet needs and ways to improve customer service.
3. Handling Complaints
The handling and consideration of complaints comprises of three stages -
- Stage 1 - Local Resolution
- Stage 2 - Investigation
- Stage 3 - Review Panel
Click here to view Handling Complaints Flowchart
Introduction
The Complaints Team records all complaints in agreement with the person making the complaint. The Complaints Team may arrange for conciliation, mediation or other services to help resolve matters.
The handling and consideration of complaints consists of three stages:
Stage 1 - Local Resolution
Stage 2 - Investigation
Stage 3 - Review Panel
The timescales in working days for the procedure are:
- 10 days at Stage 1 (with a further 10 days for more complex complaints or additional time if an advocate is required)
- 25 days at Stage 2 (with maximum extension to 65 days)
- 20 days for the complainant to request a Review Panel
- 30 days to convene and hold the Review Panel at Stage 3
- 5 days for the Panel to issue its findings
- 15 days to respond to the findings of the Panel.
Local Resolution requires us to resolve a complaint as close to the point of contact with the child or young person as possible (i.e. through front line management of the service). In doing so the wishes of the complainant regarding how the complaint should be dealt with should be considered.
Where a complaint is accepted at Stage 1, the complainant is entitled to pursue their complaint further through this procedure except in the case of cross boundary issues. In all other instances, once a complaint has entered Stage 1, the department is obliged to ensure that the complaint proceeds to Stages 2 and 3 of this procedure, if they wish to do so.
Receiving a Complaint
The complaints team records all complaints on a database called Respond. Therefore it is important to send all complaints received either verbally or in writing to the complaints team. Bromley also has a separate form for children and young people to complete. Please contact the complaints team if you would like complaints forms to be sent to you.
It is important that we listen to and respond to the concerns of children and young people. If a child or young person wishes to make a complaint, we need to provide them with information about the complaints procedure and advocacy services in order to help them obtain an advocate.
If a complaint is made to a member of staff, the Complaints Manager should be informed as soon as possible so that this can be recorded and monitored. It should be remembered that although there may be no need to engage the complaints procedure if the matter is resolved immediately, it still needs to be logged by the complaints team.
As soon as it becomes apparent that someone wishes to make a complaint, the complainant should be given information about the complaints procedure including how to contact the complaints team.
The complainant retains the right to approach the Local Government Ombudsman at any time and this is made clear in our forms etc. However, the Ombudsman would ordinarily expect the local authority to consider the complaint initially and may refer the complaint back to the complaints team if this has not already been done.
Time Limit for Making a Complaint
The regulations impose a time limit for making complaints with effect from 1 September 2006. We do not need to consider complaints made more than one year after the date of the event that gives rise to the complaint.
In these cases, the Complaints Manager will discuss with Senior Managers and write to the complainant to advise that their complaint cannot be considered explaining the reasons why the Department has adopted this position. This response advises the complainant of their right to approach the Local Government Ombudsman.
Decisions will be made on a case-by-case basis and all complaints should be passed onto the Complaints Team in the first instance.
The time limit can be extended at the discretion of the authority, if it is still possible to consider the representations effectively and efficiently. Such complaints may be considered if it would be unreasonable to expect the complainant to have made the complaint earlier. For example, where the child was not able to make the complaint or did not feel confident in bringing it forward in the year time limit.
Though not exclusive, possible grounds for accepting a complaint made after one year could be:
- Genuine issues of vulnerability
- If the local authority believes that there is still benefit to the complainant in proceeding
- If there is likely to be sufficient access to information or individuals involved at the time, to enable an effective and fair investigation to be carried out
- Action should be taken in light of human rights-based legislation.
Providing Advocacy and Support
During the course of making a complaint, the local authority should support the child or young person by actively providing information and advice. If a child makes a complaint directly to the Complaints Team, the Children's Rights Officer is informed, who then meets with the child or young person to provide information about the complaints process and ensure that they understand the process and offer any further information about advocacy and support.
In order to assist people who do not speak English as their first language, you can contact the Complaints Team to arrange for translation or interpretation services. The Complaints Team has translated copies of the "Getting it Right" form readily available. Translations are available in the following languages: Arabic, Bengali, Chinese, French, Gujarati, Punjabi, Somali and Turkish.
The Complaints Team can have responses to complaints translated in order to ensure that the complainant understands the response as far as is possible. Complaints forms can also be produced in Braille, audio format and large print.
Stage 1 - Local Resolution
A complaint is recorded to be made on the date on which it is first received by the complaints team.
The main aim for the division is that complaints that are received are successfully resolved and closed at Stage 1. However, if the complaints team or the complainant feels that it would not be appropriate to consider the complaint at Stage 1, they should discuss this together. Where both parties agree, the complaint can move directly to Stage 2.
At Stage 1, staff at the point of service delivery - including the Independent Reviewing Officer where appropriate - and the child or young person should discuss and attempt to address the complaint as quickly as possible. They should discuss the issue and exchange information and thinking behind decisions and try to agree a way forward.
All Stage 1 complaints should ideally be concluded within the 10 working day time limit. Where it is not possible to provide a complete response, the Complaints Team can ask the complainant for a further 10 days' extension. If necessary, a Stage 1 may be suspended until an advocate has been appointed. The maximum amount of time that a Stage 1 should take is 20 working days. After this deadline the complainant may request consideration at Stage 2 of the process.
The Complaints Manager should inform the complainant that he has the right to move on to Stage 2 if the time scale has elapsed for Stage 1 and the complainant has not received an outcome. It may be that the complainant is happy to put this off for the time being (for example, if the reason that resolution is delayed due to a key person being off sick or on leave), so this period can be extended with the complainant's agreement or request.
A Stage 1 complaint is normally passed onto the Service Manager to investigate and respond to the complainant. However, this may vary and the Service manager may delegate this task to one of the other managers within the service. The complaints team must be advised if this is the case so that the complainant can be notified.
If the matter is resolved, a written response must be sent to the complainant confirming the agreed resolution and the Complaints team should receive a copy of this. Otherwise, a letter should be sent to the complainant (or a meeting offered, if this is more appropriate) responding to the complaint.
All Stage 1 responses must include the following paragraph, giving the complainant the opportunity for feedback and/or progression:
"If you remain unhappy with the outcome of your complaint and wish to progress your complaint to the next stage or you wish to raise any further concerns, then please write to the Complaints Officer, Children's Social Care Complaints Team, Civic Centre, Stockwell Close, Bromley, BR1 3UH within the next 20 working days stating any areas of dissatisfaction. If no response is received within the time specified, the complaint will be closed."
Where the matter is not resolved locally, or the complainant is dissatisfied with the Manager's response, the complainant then has 20 working days from the expiry of the Stage 1 time limit or the date the response was sent in which to request consideration at Stage 2.
Stage 2 - Investigation
A Stage 2 complaint undertakes an investigation conducted by an investigating officer and an independent person. Stage 2 commences either when the complainant requests it or where the complainant and the local authority have agreed that Stage 1 is not appropriate.
If the complaint has been submitted verbally, the complaints officer must ensure that the details of the complaint and the complainant's desired outcome are recorded in writing and agreed with the complainant. The complaints team will draw up the statement of complaint for the complainant to agree. This may be done in conjunction with the Investigating Officer (IO) and Independent Person (IP) appointed to conduct Stage 2. The complainant may amend the written record of the complaint, the timescale will start from the date that the statement is finalised.
The aim is to commence a fair and impartial investigation without unnecessary delay. The complaints team ensure that this is done and also make sure that important information or documents are obtained to facilitate investigation, giving consideration to confidentiality.
The Complaints Officer will liaise with the Assistant Director to appoint a suitable Service Manager to lead the investigation of the complaint and prepare a written report for adjudication by the Assistant Director. The IO may be brought in from outside the authority, appointed specifically for this piece of work. The IO cannot, however, be in direct line management of the service or person about whom the complaint is being made.
An Independent Person (IP) must also be appointed for the investigation. This person should be in addition to the IO and must be involved in all aspects of the investigation including any discussions about the action to be taken in relation to the child. A copy of the complaint is sent to all people involved in the complaint.
The IO should have access to all relevant records and staff. These are released within the bounds of normal confidentiality and relevant legislation.
The investigation needs to be completed and the response sent to the child or young person within 25 working days. However, this may be impractical in some cases, e.g. where the complaint involves several agencies, all or some of the matters are the subject of a concurrent investigation, if the complaint is particularly complicated or if a key witness is unavailable for part of the time.
Where it is not possible to complete the investigation within 25 working days, Stage 2 can only be extended to a maximum of 65 working days. The Complaints Manager should agree all extensions with the complainant with mutual agreement and appropriate explanation to the complainant.
The child or young person should be informed of:
- the reason for any delay
- the date by which he should receive a response
Where one or more agencies are involved in considering the complaint, it is good practice to aim for whichever is the shorter of the timescales to produce the final responses.
Investigation Report
Once the investigation is complete the IO writes a report on his investigations including:
- details of findings, conclusions and outcomes are against each point of complaint (i.e. "upheld" or "not upheld"
- recommendations on how to remedy any injustice to the complainant as appropriate.
The report is written in plain language, avoiding jargon, so that everyone can understand it. The IP also provides a report to the local authority after reading the IO's final report, which should highlight:
- whether or not the investigation has been conducted entirely in an impartial, comprehensive and effective manner
- whether or not all concerned have been able to express their views fully and fairly
- whether or not the IO's report provides an accurate and complete picture of the investigation
- views on the IO's recommendations and any of other in addition to those of the IO if required.
The Adjudication Process
Once the IO has finished the report, it is passed to the Complaints Officer and the IP. Once both reports are completed they are given to the Assistant Director who acts as the Adjudicating Officer (AO). The purpose of adjudication is to consider the reports and identify:
- its response;
- its decision on each point of complaint; and
- any action to be taken (with timescales for implementation).
The AO will prepare a response to the reports, with decisions on the complaint, actions that the Department will be taking with timescales for implementation.
The AO may meet the Complaints Officer, IO and IP, to clarify any aspects of the reports. The Adjudicating Officer may liaise with the Complaints Manager when drafting the final response.
The Adjudicating Officer should also offer to meet the 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 proposed actions.
The complaints team writes to the complainant with their response containing:
- The IO's investigation report
- The IP's report
- The adjudication
This response should also contain details of the complainant's right to have the complaint submitted to a review panel if they remain dissatisfied. The complainant is given 20 working days to make this request to the Complaints Team.
The Adjudicating Officer should ensure that any recommendations contained in the response are implemented. The Complaints Team monitors implementation and reports to the Director on what action has been taken on a regular basis.
Stage 3 - Review Panel
When Stage 2 of the complaints procedure has been concluded and the complainant remains dissatisfied, they can request further consideration of the complaint by a Review Panel (RP). As it is not possible to review a complaint that has not yet been fully considered at Stage 2 (including providing the report(s) and adjudication to the complainant), it is essential that there are no unnecessary delays in the conclusion of Stage 2.
For a few cases further consideration may mean early referral to the Local Government Ombudsman. Otherwise, the complainant has the right to proceed to a Review Panel.
Purpose of Review Panels
Review Panels are designed to consider whether the Department adequately dealt with the complaint in the Stage 2 investigation. They should do this by:
- Listening to all parties
- Obtaining any further information and advice that may help resolve the complaint to all parties' satisfaction
- Focusing on achieving resolution for the complainant by addressing their clearly defined complaints and desired outcomes
- Reaching findings on each of the complaints being reviewed
- Making recommendations that provide practical remedies and creative solutions to complex situations
- Supporting local solutions where the opportunity for resolution between the complainant and the local authority exists
- Identifying any consequent injustice to the complainant, where complaints are upheld, and to recommend appropriate redress
- Recommending any service improvements for action by the authority.
The Review Panel should not re-investigate the complaint, nor should it consider any substantively new complaints that have not been first considered at Stage 2. The purpose of the Panel is to consider the complaint and wherever possible, work towards a resolution. Ideally, no party should feel the need to be represented by lawyers at the Review Panel. However, the complainant has the right to bring a representative to speak on his behalf.
General Principles
The Review Panel provides a fair and accessible process for all participants. Complainants, particularly children and young people, may find this stage to be a stressful experience. Therefore it is important that the complaints team ensures that the Panel is customer-focused in its approach to considering the complaint and is child or young person-friendly.
It is important to be mindful of the needs of children and young people either using or affected by complaints by ensuring that:
- the RP acts in accordance with the United Nations Convention on the Rights of the Child
- the RP safeguards and promotes the rights and welfare of the child or young person concerned
- the wishes and feelings of such children and young people are ascertained, recorded and taken into account
- the best interests of such child or young person are prioritised at all times
- where the complaint is made by a person deemed to have a sufficient interest in the child's welfare, they should where appropriate, seek the child or young person's views with regard to the complaint.
Redress
The Review Panel sets out its recommendations to the Department on any strategies that can assist in resolving the complaint. These may include financial compensation or other action within a specified framework to promote resolution.
Make up of the Panel
The Panel must consist of three independent people. This means that no panelist can be a member or an officer, nor the spouse or civil partner of such a person. The Independent Person appointed to Stage 2 should not be a member of the Panel.
One member is assigned as Chair of the panel. The Chair's role is described in detail in the appendices. The Chair is appointed by the Complaints Manager within ten working days of the complainant's request to proceed to Stage 3.
The Panel must be held within 30 working days of the receipt of a request for a Review. The request is acknowledged in writing by the complaints team within 3 days.
If any complaint is logged on the day by the complainant about the proceedings, the local authority should record it and the Panel should take a view on the need for further action and should record their decision.
Attendance at the Panel
The complainant has a right to attend the Panel and should be informed of this right and assisted in attending as appropriate. Complainants should be informed of their entitlement to be accompanied by another person and for this person to speak on his behalf. This person should not be barrister or solicitor acting in a professional capacity.
Those involved with the investigation at Stage 2 (i.e. the IO,IP and AO) should be invited to attend and contribute if required. The Complaints Team also attends the Panel. However the Chair makes a final decision on the attendees.
Conduct of the Panel
The Panel is conducted as informally as possible, but in a professional manner and in an atmosphere that is accommodating to all attendees especially as the complainant may be a child or a young person. Panels are normally structured into the following three parts:
- Pre-meeting
- Presentations
- Deliberations
After the Panel
The Panel send a copy of their report to the complaints team within 5 working days after the panel is held.
The Director sends a response to the Panel's recommendations, to the complainant (and other participants as necessary), within 15 working days of receiving the Panel's report. This response should set out how the department will respond to the recommendations and what action will be taken.
The complainant is advised of his/her right to refer their complaint (if still dissatisfied) to the Local Government Ombudsman.
Timescales
| Action | Time |
| Complainant requests Review Panel | Up to 20 working days after receipt of the Stage 2 adjudication |
| Complaints Manager acknowledges request | Within 2 working days |
| Complaints Manager appoints Chair and confirms attendees and content of Panel papers with Chair | Within 10 working days of the complainant's request for Review Panel |
| Local authority agrees the other Panelists and date for Review Panel | Within 30 working days of the complainant's request for Review Panel |
| Local authority circulates Panel papers | Within 10 working days of the date for the Review Panel |
| Review Panel produces its written report (including any recommendations) | Within 5 working days of the Review Panel |
| Relevant Director issues his response | Within 15 working days of receiving the Review Panel's report |
4. Problem Solving and Resolution
Resolving the Issue
Staff should consider at what point an unresolved problem becomes a complaint. It is important to ensure that attempts at problem solving should not be used to divert an eligible person from making a complaint under the statutory procedure. Involving people and agencies in the community who provide independent advice can assist problem solving and may prevent dissatisfaction developing into complaints.
Attempts at problem solving should continue once a complaint has been made. Staff should consider alternative ways of resolving the complaint while any given Stage is ongoing.
There are a number of methods of resolution that do not require a full investigation that can be applied, including:
- the provision of an apology or explanation;
- conciliation and mediation;
- a reassessment of the children or young person's needs;
- practical action specific to the particular complainant;
- a review of practice
- assurance that the effectiveness of any remedy will be monitored.
Deferring Decisions when a Complaint is Made
If the complaint is about a proposed change to a care plan, a placement or a service, the decision may need to be deferred (frozen) until the complaint is considered. However, care should be taken if the action of deferring a decision is likely to have a significant effect upon the mental or physical wellbeing of an individual.
The decision to defer should normally be made through detailed discussion and risk assessment between the Complaints Team and the manager responsible for the service, within the context of the work being undertaken with the service user. Decisions need to be made on a case-by-case basis, but there should generally be a presumption in favour of freezing, unless there is a good reason against it (for example, if it puts a service user at risk). In cases where decisions are met with opposing views, advice will be sought from the appropriate Assistant Director.
5. How are Complaints Recorded and Monitored
Recording
The Complaints Team records all complaints on a feedback database system called RESPOND. A record is kept of:
- Each complaint received
- The outcome of each complaint i.e. the decisions made in response to the complaint and any action to be taken
- Whether or not there was compliance with the time limits
It is therefore important that staff send a copy of any complaint or comment received directly by them to the complaints team.
The overall purpose of recording is to enable:
- Children and young people to see that their concerns and suggestions are being dealt with and that a thorough and fair investigation has taken place
- The organisation to demonstrate that comments and complaints are taken seriously and how they are resolved
- Feedback from comments and complaints to lead to improvement in service planning and delivery.
Record Management and Data Protection
All functions of the complaints procedure must adhere to the requirements of the Data Protection Act, 1998 and the Freedom of Information Act, 2000.
Particular attention is drawn to the need to ensure that any personal information obtained in relation to a complaint is only used for that purpose.
Those involved in the investigation should have access to the notes of their own interview in order to confirm the accuracy of the content.
Records of complaints received including any investigation reports, Panel reports and letters of response from us should all be placed on the relevant child or young person's file, unless there are specific reasons not to do so (for example if the reports would cause distress to the service user).
The Complaints Team also holds the complaints investigation reports and all other relevant papers.
Making Complaints Information Accessible
For children and young people with difficulty reading, writing or speaking English, the Department will try to find a suitable method of communication so that these children can express and progress their complaint in full. The complaints team are able to provide forms in large print, Braille and organise translation and other formats.
For people with special needs, such as learning disabilities, sensory or physical impairment or with mental health problems, the complaints team liaises with specialist teams and relevant voluntary bodies to ensure that the complainant is able to express their complaint in full.
Diversity Monitoring
We are required to report annual statistics relating to the client's ethnic origin, gender, any disability and age.
When staff are completing an e-form to report a complaint to the complaints team it is important that they fill in the relevant boxes so that they are recorded accurately.
An annual report, covering the financial year, is produced each July. Copies are circulated to managers and can be found on the Bromley website.
Action Planning
The Complaints Team are responsible for developing action plans based on the learnings from complaints.
An action plan helps the Complaints Team to monitor the recommended action for all departmental Stage 2 and 3 complaints.
This information is passed to managers and Heads of Service so that they can complete the columns and let the Complaints Team know what action has been taken in order to improve services.
6. Relationship with Other Procedures
Working with Other Procedures
There will be other procedures that can have a significant bearing on the complaints procedures, for example, those covering:
- child protection
- court proceedings
- grievance procedures
- disciplinary procedures
In order to maintain clarity between different procedures it is important that we work together with other agencies like the Bromley PCT, education and special education teams, CAMHS etc.
It is essential to separate out complaints where joint action is required. The Complaints team can provide advice to staff, including consideration of whether to freeze social work decisions until any concurrent investigations are resolved. However, the main aim is to have effective coordination between the agencies involved so that the complainant is aware as to how inter-agency matters will be dealt with.
In considering a complaint, which is subject to concurrent investigation under one of the above procedures, we need to be careful not to do anything that may compromise or prejudice the other investigation.
Grievance and Disciplinary Procedures
Complaints procedures are kept separate from grievance procedures and disciplinary procedures. In such cases it is important to keep the child or young person and any relevant staff informed about progress in handling both the complaints and the disciplinary or grievance elements as appropriate with regards to normal staff confidentiality.
Concurrent Investigations
The handling of a complaint may coincide with action under disciplinary procedures or a Police investigation.
Any alternative procedures can run concurrently with the complaints procedure. For example, a complaint about a deficiency in service may bring to light issues of a disciplinary nature. If there are substantive issues around the deficiency in service to be resolved, the disciplinary procedures should not stop the complaints process carrying on in respect of the service issue (unless to do so would compromise or prejudice the concurrent investigation). Each case is looked at individually. For further advice staff can speak to the Complaints Officer.
Cross Boundary Issues
A potential area of confusion can arise around boundaries between the local authority's responsibilities and those of other bodies delivering services on behalf of the authority. This can happen, for example, where we may provide domiciliary care to the household of a child with disabilities through a private agency, and the child wishes to complain about aspects of this service.
Such issues can occur among:
- children's homes
- children's day care providers
- domiciliary care services
- contracted agencies and multi-agency services
- multi-agency health service packages
- single or joint assessments.
The complaints team has protocols in place in order to deal with such cases successfully. Therefore any complaints should be referred to the complaints team so that they can be passed on and dealt with by partner agencies under appropriate procedures.
Complaints About an NHS Body
When a complaint crosses over boundaries between the NHS, and the department, children and young people should not have to worry about whom to approach with complaints about different aspects of the services they receive. Instead, the complaint can be made in its entirety to either of the two.
It is our responsibility to work with other bodies to establish which agency should lead on handling the complaint and to ensure that the complainant is kept informed and receives as comprehensive a reply as possible.
- Ask the complainant if he/she wishes details of the NHS complaint to be sent to the relevant NHS body, within 10 working days.
- Send the NHS complaint to the NHS body as soon as reasonably practicable, if the complainant agrees
- Consider meeting the child or young person, if this will facilitate a resolution.
- Advise the complainant which parts of the complaint the department is considering.
Both complaints teams will work in conjunction in order to get an effective response for the service user. Ideally, both investigations should be completed simultaneously and reports delivered to the child or young person together. In order to facilitate this, the two bodies should aim to work to the shorter of their respective complaints procedure timescales.
Complaints Involving Regulated Services
With regard to those services that are regulated, specific complaints procedures are required. Understandably, confusion may sometimes exist about which complaints procedure is appropriate for specific sets of circumstances. It is advisable to discuss such complaints with the Complaints Team.
Complaints are likely to arise from the following issues:
- commissioning
- placement arrangements
- placement monitoring
- personal needs reassessments
- funding
- contractual arrangements
- service agreements
- service quality
- care regime matters not covered by regulations and National Minimum Standards.
If the Complaints Team receives such a complaint, it should be directed to the service provider. If any other team receives a complaint about an external provider, the complaint should be passed onto the Complaints Team so that it can be recorded and dealt with accordingly. Where the department is responsible for the original assessment of need that led to a placement and associated funding, then the complainant, in most instances, has recourse to our complaints procedure.
However, access to Bromley's complaints procedure does not apply to people with private self-funding arrangements.
Good customer practice suggests that a complainant should be able to make a single complaint to the provider or the local authority and have this considered by the relevant parties as necessary. The complaints team ensures good communication with all other parties to ensure a seamless response.
It is possible for someone to have two complaints ongoing at the same time. One to a residential placement, for example, about how it meets the regulations and/or Standards, and one to the local authority about how it has fulfilled its function in relation to the provision of services to meet the needs of the child or young person.
When the complaints team receives a complaint that is about services provided under the Children's Homes Regulations, 2001, they refer the relevant parts of the complaint to the registered provider within 5 working days. The child or young person is informed of this.
Details of the relevant parts of the complaint are also sent to the social work team and the contract monitoring team.
Where the complaint consists of elements relating to both social services functions and services provided under the Children's Homes Regulations it is important to ensure that the complainant receives one response dealing with all aspects of the complaint.
The role of the regulator
The regulator's role is to ensure compliance with the Regulations and associated National Minimum Standards. The regulator is not a complaints agency and has no statutory duties or powers for the investigation of complaints about either care services or local authority social services. It can only consider matters relating to the provider's compliance with regulations and National Minimum Standards. It should also not be seen as a mediator between care service providers and those commissioning or using a service.
Where the regulator receives information indicating a concern, complaint or allegation about a care service, it undertakes an assessment of that information and the accumulated evidence about the care service to determine the nature of its response. In the case of concerns and complaints, the regulator normally refers the matter to the care service provider and/or commissioning agency (where applicable).
Building a Seamless Service with other Complaints Procedures
Where a complainant has other related complaints that do not fall within this statutory procedure, it may be useful to consider whether there are advantages in accepting these into a single investigation.
For purposes of better and joined working it is important to build links with other complaints procedures within the CYP Department. This is an essential way to develop the overall corporate obligation of the local authority to provide a high quality service. It is good customer service to offer a complete single response where possible, for example where a child or young person has complaints relating to both housing services and its Children's Social Care.
The Complaints team liaises with all relevant staff and helps to identify a lead officer, to make sure that the complainant is kept informed and, wherever possible, gets a single, clear reply that covers all aspects within the shorter of whichever timescales apply and should ensure that this process is not confusing for the child or young person.
Child Protection and Child Protection Conferences
Where consideration of a complaint leads to concerns about the welfare of children, these should be referred immediately to local authority children's social care or the Police. The handling of any associated complaint can be suspended if necessary.
The welfare of children is a corporate responsibility and the Department works in partnership with other public agencies, the voluntary sector, and service users and carers. The Bromley Safeguarding Children Board (BSCB) coordinate the way local agencies including the Police, education services and housing services work together to safeguard and promote the welfare of children.
Where enquiries have been conducted under Section 47 of the Children Act, 1989, a Child Protection conference may be held. If the child or family have any concerns about the way the conference was held they can make a complaint to the Department, for details please see Appendix 7: Child Protection Complaints.
If there are subsequent complaints about the work of individual agencies, or their performance or the provision or non-provision of services, these should be handled in line with the particular agency's complaints process.
Court Orders
The procedure outlined in this guidance is not an appeals procedure. People wishing to appeal against Court orders are advised to approach the Court. However, dissatisfaction about the management or handling of a child's case, even where related to a Court order, may be appropriately considered by the complaints procedure, for example, conduct of social work staff involved in Court procedures.
Therefore any such complaints need to be discussed with the Complaints Manager to identify whether the subject of the complaint will be considered under this procedure. The child or young person should also be informed that the complaints procedure cannot overturn a Court decision.
Raising Concerns
Staff can raise concerns under the confidential reporting policy. The Confidential Reporting Policy is intended to cover major concerns that fall outside the scope of other procedures. These include:
- Conduct which is an offence or a breach of law
- Disclosures related to miscarriages of justice
- Health and safety risks, including risks to the public as well as other employees
- The unauthorised use of public funds
- Possible fraud and corruption
- Sexual, physical, verbal or financial abuse of clients
- Other unethical conduct (wrong doing).
These should be reported to the Raising Concerns officer and not the Complaints Team.
Access to Records
Access to Information requests need to be passed onto the Quality Assurance Manager. These are dealt with independently from the complaints process. Both processes can run simultaneously.
7. Corporate Complaints
If the complaint does not concern care issues, which are covered, by the Children Act 1989, it must be dealt with under the corporate procedure. Corporate complaints may fall into the following categories:
- Policy decisions (e.g. charging for services),
- Operational matters (e.g. rudeness of staff, disabled access to buildings);
- Lack of action (e.g. failure to respond to telephone messages);
- Lack of information (e.g. customer given wrong information);
Corporate Complaints can be about any services other than complaints relating to areas not covered by the Children's Act 1989
Corporate complaints need to be passed to the Complaints Team for recording purposes. All Stage 1 complaints are dealt with in the same way as Statutory Complaints, and need to be acknowledged within 3 working days and resolved within 10 working days. The response should include the following standard paragraph informing the complainant on how to progress the complaint to the next stage.
"If you remain unhappy with the outcome of your complaint and wish to progress your complaint to next stage or you wish to raise any further concerns, then please write to the Complaints Officer, Children's Social Care Services, Civic Centre, Stockwell Close, Bromley, BR1 3UH within the next 20 working days stating any areas of dissatisfaction. If no response is received within the time specified, the complaint will be closed."
If the complainant remains dissatisfied at the conclusion of Stage 1, and requests to progress the complaint to Stage 2, this must be referred to the Director who will then be responsible for ensuring it is investigated at Stage 2. An Assistant Director or a senior manager may be asked to undertake the investigation and may need coordination by the Complaints Team.
Once it has been established who will be undertaking the investigation, the Complaints Team will ensure that all documents and correspondence are available to the Investigating Officer.
The Complaints team will send a written acknowledgement to the complainant within 3 working days of receiving the request to go to Stage 2. The investigation needs to be completed within a maximum of 20 working days.
The letter should also give details on how to take the matter further if the complainant is still dissatisfied.
If the complainant is dissatisfied with the Director's response, they may appeal to the Chief Executive. The Chief Executive will appoint an officer from the Legal and Democratic Services Department to investigate the complaint, before replying to the complainant.
It should be noted that a person complaining about a corporate matter does not have recourse to Stage 3 of the Procedure, which only permits the investigation of statutory complaints to be reviewed by an independent panel.
If the complainant is dissatisfied with the outcome of the Director's investigation, they may take the matter to the Local Government Ombudsman for further investigation. The Ombudsman's address and telephone number are:
The Oaks No 2
Westwood Way
Westwood Business Park
Coventry
CV4 8JB
Telephone: 0845 602 1983
The Local Government Ombudsmen's Website
Appendix 1: Sample Letters
Click here to view Acknowledgement Letter
Click here to view Holding letter
Click here to view E-logging Form
Click here to view Manager's Response E-form - Part B
Click here to view Closing Letter
Appendix 2: Stage 1 Minimum Standards
Although there is no standard response for a Stage 1 response, it is advisable to refer to the minimum standards guidance below. The quality of a written response to complaints is vital in ensuring effective customer care and that complaints are responded to effectively to prevent escalation. Evidence shows that poorly written responses lead to the escalation of complaints.
A good response will be appropriately formatted, written in an appropriate tone, be simple to understand, cover all of the issues of complaint, include an apology for failings, be evidence based, give clear outcomes for the complaint with realistic remedies and focus on service improvements.
The Minimum Standards for Complaints Responses:
- Headed paper
- Correct date
- Reference number
- Appropriate salutation < Dear > Title<- Surname >
- The opening paragraph should thank the customer for their feedback - this will set the tone of the letter. If the timescale has been exceeded this should be acknowledged and include reference to an agreed extension and an apology or explanation of what has led to delay.
- Include an apology if failings have been identified or the service has fallen short of expectations. Do not accept liability for personal injury or abuse.
- Appropriate language should be used to reflect the age and understanding of the complainant/recipient. Pay special attention to this if your response is addressed to a young person.
- Any special needs must be catered for, e.g. translation, large print.
- Give simple, easy to understand explanations and evidence - do not use jargon e.g. 'issues', 'assessment process', 'threshold criteria'. Avoid the use of long sentences.
- Use paragraphs.
- Embolden headings - if there are a number of complaints include each one in the letter as a heading in bold with the evidence and outcome laid out below.
- Use 12 font size, normal type for the body of the letter.
- The tone of the letter should be conciliatory - a no blame approach should be adopted, do not be accusatory. The difficult nature of a complainant does not excuse poor practice
- Investigate all aspects of the complaint and provide evidence of the investigation. Refer to any evidence from staff, files, local procedures and/or policy. References to policy/procedure/protocols should provide simple summaries and explanations. Unless the complaint specifically warrants it, do not use technical language.
- Ensure all matters of complaint have been responded to.
- State clearly the finding for each complaint - Upheld, Not Upheld, Partially Upheld, No Finding (in cases where there is a lack of corroborative evidence).
- If action will be taken to remedy the complaint, ensure this is included in the response - be specific, state who is responsible for the action and the timescale for completion.
- Are there any improvements that can be implemented in the service as a result of the complaint? If so provide detail in the letter - be specific, state who is responsible for implementing the improvement and to what timescale, will it be measured, how?
- The penultimate paragraph should be conciliatory in tone and offer the complainant an opportunity to speak/contact the author to clarify any aspect of the letter.
- The final paragraph should detail the complainant's rights to escalation where appropriate. Use discretion - legal proceedings or appeals may exclude the complainant from the complaints procedure. If in doubt, seek advice from the Complaints Team.
- Proofread the letter and check spelling and grammar
Appendix 3: Guidance on Stage 2 Investigations
Once the complainant has decided to progress to the investigation stage, the Complaints Team will ensure that the details of the complaint and the complainant's desired outcome are recorded in writing and agreed with the complainant. This statement of complaint or Terms of reference can be achieved either by correspondence or by meeting the complainant to discuss. A Proforma for this statement is attached in this section.
The Complaints Team will arrange for an investigation of the complaint to take place immediately. The Complaints Team may also request any information or documents that may assist in the investigation.
An Investigating Officer (IO) will be appointed to lead the investigation of the complaint and prepare a written report for adjudication by the Assistant Director. In Bromley, the Investigating Officer appointed is normally an internal manager. The Investigating Officer should not, however, be in direct line management of the service or person about whom the complaint is being made.
The Investigating Officer has overall responsibility for investigating the complaint at Stage 2. Where a member of staff, the Investigating Officer should not be within line management of the service being complained about.
The Investigating Officer may be asked to undertake these tasks:
- Providing a comprehensive, open, transparent and fair consideration of the complaint through:
- sensitive and thorough interviewing of the complainant
- consideration of social work records and other relevant information
- appropriate interviews with staff and other people relevant to the complaint
- analysing information
- Working to tight timescales
- Prioritising work appropriately
- Writing a clear investigation report in plain language
- Effectively liaising with the complainant or his advocate, the Independent Person and the Complaints Manager as appropriate
- Providing an open, transparent and fair consideration of the complaint
- Identifying solutions and recommending courses of action to resolve problems.
The Investigating Officer and the Complaints Officer then must plan how the investigation is carried out and ensure that all those concerned in the process understand it.
The Complaints Team will write to the complainant to explain how the investigation will be conducted and will keep him informed throughout the process. A copy of the complaint is sent to any person who is involved in the complaint, unless where doing so would prejudice consideration of the complaint.
The Investigating Officer should have access to all relevant records and staff. These should be released within the bounds of normal confidentiality and with regard to relevant legislation.
The investigation should be completed and the response sent to the complainant within 25 working days from the date on which the claimant's request for an investigation was received. However, this could be impractical in some cases, and the regulations allows for the 25 working day time limit to be extended. Should the complainant amend the written record of his complaint, the Stage 2 timescale commences from the date that the record was amended.
Possible reasons for an extension might include:
- Where the complaint involves several agencies or all or some of the matters concerned are the subject of a concurrent investigation (such as a disciplinary process)
- If the complaint is particularly complicated
- If a key witness is unavailable for part of the time.
Where it is not possible to complete the investigation within 25 working days, Stage 2 may be extended to a maximum of 65 working days. The Complaints Team will agree all extensions. It is important to maintain dialogue with the complainant and where possible reach a mutual agreement as to what is reasonable where a response in 25 working days is not feasible.
The Complaints Team inform the complainant as soon as possible in writing of:
The reason for the delay
The date by which the complainant should receive a response.
Where one or more agencies are involved in considering the complaint, then it is good practice for these bodies to aim for whichever is the shorter of the timescales to produce their final responses.
Independent Person
For Children Social Care complaints an Independent Person (IP) has to be appointed to take part in the investigation of complaints at Stage 2. The Independent Person is appointed from outside the organisation to carry out this piece of work by the Complaints Team.
The person appointed should not be an employee of Bromley, or a spouse of an employee or member of the authority. Former staff should be considered eligible as long as at least three years have elapsed since they were employed.
The Independent Person cannot undertake any other roles in the consideration of the same complaint (such as Advocate, or Review Panellist).
The Independent Person should refer to the duties set out for the Investigating Officer.
The Independent Person should also:
- Ensure that the process of investigation is open, transparent and fair
- Work alongside the Investigating Officer to provide an independent and objective view
- See the same relevant files and documents as the Investigating Officer
- Participate in all interviews and discussions relevant to the investigation
- Read the Investigating Officer's report and produce own report on the investigation
- Comment on each of the complaints and state whether he agrees with the Investigating Officer's findings on them
- Explain, where necessary, their reasons for considering an investigation to be unfair or incomplete and to advise the complainant of these in his report.
Role of the Advocate
The role of the advocate was established under the Advocacy Services Representations Procedure (Children) (Amendment) Regulations 2004. The advocate should provide independent and confidential information, advice, representation and support to the child or young person making the complaint. The role of the advocate in the complaints procedure is to:
- empower the child or young person by enabling him to express his views wishes or feelings, or by speaking on his behalf
- seek the resolution of any problems or concerns identified by the child or young person by working in partnership with child or young person and only with his agreement
- support the child or young person pursuing a complaint through every stage of the complaints procedure and to provide him with information about his rights and options, helping him clarify the complaint and the outcomes he is seeking
- speak for or represent the child or young person at any stage of the complaints process, including at the informal stage or at any formal hearing or interviews.
Stage 2 - Investigation Report
On completion of his consideration of the complaint, the Investigating Officer should write a report on his investigations. The report should:
- Include all relevant information
- Be clear about what the findings and outcomes are against each point of complaint (i.e. "upheld" and "not upheld,)
- Distinguish between fact, feelings and opinion
- Contain details of findings, conclusions and recommended actions, and address all three areas
- Recommend how to remedy any injustice to the complainant as appropriate
- Be written in plain language, avoiding jargon, so that everyone can understand it.
The Independent Person also provides a report to the Complaints Officer once he has read the Investigating Officer's final report. This report may include comments
- on whether the investigation has been conducted entirely in an impartial, comprehensive and effective manner
- on whether all those concerned have been able to express their views fully and fairly
- on whether the Investigating Officer's report provides an accurate and complete picture of the investigation
- on the nature of the recommendations, or make also have its own recommendations as necessary.
The Adjudication Process
The purpose of adjudication is for the Division 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 Assistant Director Adjudicating Officer will prepare a response to the reports, with his decision on the complaint, actions he will be taking with timescales for implementation.
The Adjudicating Officer may wish to meet the Complaints Manager, Investigating Officer and Independent Person to clarify aspects of the report. The Adjudicating Officer should also consider liaising with the Complaints Manager in drafting the adjudication.
The Adjudicating Officer may wish to meet the complainant 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 Complaints Team then writes to the complainant with their response containing:
- A complete copy of the investigation report
- A report from the Independent Person
- The adjudication
This response must contain details of the complainant's right to have the complaint submitted to a review panel if he is dissatisfied and that he has 20 working days to make this request to Complaints Officer.
The Adjudicating Officer should ensure that any recommendations contained in the response are implemented. The Complaints Officer should monitor implementation and report to the Director on what action has been taken on a regular basis.
a. General Points
- Be aware of the timescale and the importance of providing a thorough investigation
- Work closely with the Complaints Officer (and Independent Person and Advocate where appropriate) on all aspects of the investigation and report writing, including keeping the complainant informed of progress
- It is advisable to diarise dates to meet the Complaints Officer on a fortnightly basis to discuss progress of the investigation
- If the media is involved (local or national press, television or radio etc.) maintain strict confidentiality and notify the Complaints Officer
- Consider whether it is helpful to hold any meetings away from an environment that may be causing distress
- If appropriate, visit the establishment complained about unannounced to check normal practice
- The IO should adhere to all relevant legislation (e.g. Data Protection Act, Health and Safety Act and the Human Rights Act)
- The IO should also work closely with all others involved in the investigation, especially where an Independent Person is involved.
b. Getting Started
Contact the complainant, ideally by phone, to offer a meeting in person. This meeting should explain the investigation procedure and:
- Clarify the complaint and all its individual parts, and produce a written record
- Ask what the complainant wants in terms of solution or outcome
- Check whether the complainant needs support of any kind, in order to understand the discussion properly
- Determine whether the complainant needs support during the process e.g. an advocate
- Allow the complainant to explain how he feels and express any strong emotions that he has. Accept how the complainant feels (Acceptance does not mean agreement)
Read background on the complaint and the relevant legal and administrative policies and procedures:
Consider whether the complaint could be resolved without further investigation:
Assess whether the complaints procedure is the most appropriate way of handling this complaint. Consider alternative possible procedures, for example alternative dispute resolution (such as mediation) or appeals to tribunals, legal action or police involvement. If the complaints procedure is not appropriate, discuss the alternatives with the Complaints Team.
c. Planning the Investigation
- Obtain the relevant documents, such as files, log books and timesheets, insist on seeing the originals, and obtain copies of all the documents needed
- Produce a chronology from the relevant sequence of events from the files and identify the names of the individuals most directly involved in the content of the complaint
- Analyse and categorise the complaint into its different elements
- Identify a list of interviewees, notify them with as much notice as possible that and supply them with relevant information on the complaint
- Arrange the order of interviews in a logical sequence as relevant to the particular complaint
- Inform all those to be interviewed that they may be accompanied by a friend or trades union representative, provided that this person is not within normal line management arrangements with the interviewee and that there are no issues of confidentiality
- Consider whether a witness of a particularly difficult interview is needed - this is also a good way of training new investigating officers
- Prepare the line of questioning for each interviewee.
d. Interviewing
- Explain the complaint and your role clearly to the interviewee and confirm that they understand the complaints procedure and their role in it
- Interviews should be conducted in an informal and relaxed manner, while ensuring that due process is adhered to:
- Use open not leading questions
- Do not express opinions in words or attitude
- Ask single not multiple questions, i.e. one question at a time.
- Try to separate hearsay evidence from fact by asking interviewees how they know a particular fact
- Persist with questions if necessary. Do not be afraid to ask the same question twice. Make notes of each answer given
- Deal with conflicts of evidence by seeking corroborative evidence. If this is not available, discuss with the Complaints Team the option of a meeting between the conflicting witnesses
- Make a formal record of the interview from the written notes as soon as possible while the memory is fresh. Show the interviewee the formal record, ask if he has anything to add, and ask him to sign the record as accurate.
e. The Investigation Report
The report should be based on the Regulatory Authority proforma and is available on request from the complaints team. Draft the report and show it to the Complaints Manager. Generally, the draft report should include:
- Chronology
- List of interviewees
- The complaints set out in a numbered list
- The IOs analysis and findings for each point of complaint
- Record of relevant policy, practice and legislation
- The IOs recommendations and response to the complainant's desired outcomes
- Any other relevant information
- A separate addendum for any other issues for the department
Consider comments from relevant persons such as the Complaints Manager and Independent Person and amend the report as necessary. Once completed IO should send to the Complaints Manager. Complaints team will send to the IP to compile a short report outlining their involvement in the process and indicating whether they believe the investigation has been fair and thorough. It should note any area of disagreement and include any additional suggestions for resolving the complaint.
Stage 2 - Terms of Reference Document
Statement of Complaint for _________________
| Complaint | Subject | Outcome desired |
| 1. | ||
| 2. | ||
| 3. | ||
| 4. | ||
| 5. |
I undersigned agree that this document represents a true and accurate statement of our Stage 2 complaint against the London Borough of Bromley Children's Social Care Services Department.
Complainant's name ..........................................................
Complainant's signature ....................................................
Date..............................................................................
Stage 2 - Draft Report Layout
Investigating Officers should use the following layout for organising their reports. State clearly and in bold print, that this is a DRAFT until it has been read and agreed by the Complaints Manager.
Dos and Don'ts
- Do give as much detail as needed to reflect your investigation, but please be as succinct as possible.
- Do demonstrate your conclusions and recommendations with sufficient evidence to support what you say.
- Don't include unnecessary personal information about people (including addresses)
- Do not include copies of notes from the file. Files should be quoted as needed in the report
- Do not include notes of interviews with staff. These also should be cited as relevant.
- Don't express unnecessary or unsupported opinions
Please note that this list is not exhaustive.
Please see a format for the report below, this model that has been recommended by the Commission for Social Care and Inspection.
| INVESTIGATING OFFICER'S REPORT NAME OF COMPLAINANT (Date) |
|
| Confidential | |
| 1. | Complainant Name of complainant. |
| 2. | Service User Name of service user if different. |
| 3. | Advocate Name (where applicable). |
| 4. | Investigating Officer Name. |
| 5. | Independent Person Name (where applicable). |
| 6. | Legislation State which Act or procedure the investigation was conducted under (i.e. Children Act 1989, Local Authority Social Services Act, 1970, or Corporate Complaints procedure) and any other relevant legislation/documents that you have referred to. |
| 7. | Statement Regarding this Report State that this report is written for the local authority and can only be released to any other party with the permission of the Director. |
| 8. | Progress of Complaint Stage 1: date |
| 9. | Chronology of Key Events History of the complaint in chronological order, including the complainant's involvement with the local authority as far as is relevant, or that clarifies the matters referred to in the report. |
| 10. | Outline of the Investigation Dates and details of those interviewed, including their roles. Outline any decisions made, e.g. to interview a child or decision not to, and comment on any key people that were not seen, and the reasons for this. Information about files and other records seen (indicate if some files could not be seen for any reason). Comment on any delays that may have arisen. |
| 11. | Consideration of the Complaint In bold, list each complaint individually from the final version of the Statement of Complaint. If the complaints are particularly long, embolden the numbers instead, e.g. Complaint 1, Complaint 2 etc. Then state your findings and response to the complaint. Give your reasoning clearly and succinctly. Each separate complaint should be dealt with in a discrete section, indicating:
Below this, in bold, state "complaint upheld" or "not upheld" as appropriate. |
| 12. | Summary of Findings List each complaint as |
| 13. | Desired Outcomes State each of the complainant's desired outcomes and respond with your view as to whether these have been met by your investigation, or should be met by LBB in response to your report |
| 14. | Recommendations Outline ways in which resolution to the complaints may be found, referring to the Desired Outcomes above. Offer other recommendations for the LBB to consider as appropriate. |
| 15. | Any Other Relevant Remarks Add anything else you would like to raise about the complaint or the process of your experience of the investigation. You may wish to create a discrete addendum marked "Confidential to the London Borough of Bromley" for these remarks, as necessary. |
| 16. | Sign and Date the report When you have agreed the final version with the Complaints Team, sign and date it. |
Delete any entries that are not applicable
Add as an appendix the Statement of Complaints/Terms of Reference that the complainant signed when the investigation commenced.
Guidance for Adjudicating Officers in the Stage 2 Process
This guidance aims to outline the adjudication responsibilities following stage 2 investigations and to suggest possible strategies that might assist in the resolution of a complaint.
Resolution remains the primary objective of the adjudication process.
The law
At Stage 2 of the social care complaints procedure, the local authority has 25 working days (or with the extension a maximum of 65 working days) from registration to consider and respond to a complaint.
The complainant must be advised in writing of any delays and the reasons for these if the Stage 2 process is likely to or does exceed 25 working days.
Responsibilities
The adjudicating officer must be an Assistant Director reporting either to the Director of the relevant social care service.
The adjudicating officer must write to the complainant confirming the Council's response to the complaint investigated under stage 2 of the complaints procedure.
The adjudicating officer must identify any action that might resolve the complaint, who is responsible for implementing the action and ensure that the action has been effectively concluded.
Where it appears that action taken by or on behalf of the authority amounts to or may amount to maladministration and a person has been adversely affected by that action, the adjudicating officer may consider whether a financial remedy is justified as prescribed by the Social Care Services Remedies Policy and Guidance.
The adjudicating officer cannot direct an investigating officer or an independent person, if appointed under the Children Act 1989, to alter the meaning, findings or conclusion of the investigation report.
Before being passed for adjudication, the Complaints Manager will ensure that all investigation reports are 'fit for purpose' in that the identified complaints come within the remit of the relevant complaints procedure, that the report provides evidence based findings and that any recommendations are realistic, permissible and achievable.
Where a report or any part of it is not considered 'fit for purpose' and the investigation officer or independent person is not prepared to make the necessary amendments, the Complaints Manager will notify the adjudicating officer in writing that the report is challenged giving detailed reasons.
If the adjudicating officer has cause to reject any findings of the investigating officer (and/or independent person if relevant) must attend a Stage 3 Review Panel
The adjudication process
It is essential that we do not unnecessarily delay the conclusion of a stage 2 complaint. The adjudicating officer must comply with statutory timescales or arrange for the complainant to be informed of any potential delays giving reasons and a date by which the complainant will receive the response.
The adjudicating officer considers the report(s) and their findings and before writing the response may wish to consider the following:
- Meeting with the Complaints Manager and/or the investigating officer (and independent person if applicable) to clarify details of the report or if there is disagreement with the findings or there is a perceived lack of evidence to support the findings
- Consulting with staff to further clarify issues raised in the report
- Meeting with the complainant to seek resolution and/or to explain the outcome of the complaint and any proposed actions
- Identifying additional remedies, financial or otherwise, that may assist in resolving the complaint ensuring they are realistic, within budgetary constraints and do not set contestable precedents.
- Seeking legal advice about the Council's legal responsibilities
- Identifying any third-party information in the investigation report that cannot be shared with the complainant and consider alternative ways of presenting the report that would be just and fair for the complainant
- Whether the complainant has specific needs in terms of disability, language, etc. and decide what additional support should be provided so that the complainant can understand the written response
The written response
The adjudicating officer will respond in writing addressed to the complainant, which must include:
- Whether the complaint is upheld or not
- What action is required
- How this will be achieved
- Timescales for implementation
- That the complainant has the right to request a stage 3 review panel within 20 days of receiving the written response and that the request must be made to the Complaints Manager
Consideration should also be given to:
- Vulnerability issues
- The tone of the letter, which should be sympathetic and understanding. Empathy can diffuse a complainant's anger and disappointment even if it is not possible to fully meet their expectations or demands, e.g. I appreciate that ..., I can understand ..., etc.
- Providing an explanation of how service decisions are made and why if this has not been made clear in the investigation reports or reiterate the explanation
- Making sure apologies are sincere. Admit the problem if there is one. Apologise proportionately for the time and any inconvenience caused
- Offering a meeting to discuss a way forward. This is particularly helpful where complaints focus on breakdown in communication and/or trust
- Indicating the importance of complaints, the lessons the Council has learnt as a result and the way in which this has helped service provision generally
What to do next
The written and signed response and an electronic copy must be passed to the Complaints Manager and not directly to the complainant.
On behalf of the adjudicating officer, the Complaints Manager will send out the response to the complainant and all relevant service managers in order to ensure that any action is implemented.
Stage 2 - Standard letter from the Complaints Team
Click here to view Standard letter from the Complaints Team
Appendix 4: Guidance on Stage 3 Review Panels
Stage 3 Review Panel
Where Stage 2 of the complaints procedure has been concluded and the complainant is still dissatisfied, they can request further consideration of the complaint by a Review Panel. As it is not possible to review a complaint that has not yet been fully considered at Stage 2, it is essential that there are no unnecessary delays in the conclusion of Stage 2.
Purpose of Review Panels
Review Panels are designed to consider whether the Department adequately dealt with the complaint in the Stage 2 investigation. The purpose of the Review Panel is to hear submissions from both the Department and the complainant and their representative/advocate so that all conflicting views are given equal weight in an open hearing.
They should do this by:
- Listening to all parties
- Obtaining any further information and advice that may help resolve the complaint to all parties' satisfaction
- Focusing on achieving resolution for the complainant by addressing his/her clearly defined complaints and desired outcomes
- Reaching findings on each of the complaints being reviewed
- Making recommendations that provide practical remedies and creative solutions to complex situations
- Supporting local solutions where the opportunity for resolution between the complainant and L B Bromley exists
- Identifying any consequent injustice to the complainant, where complaints are upheld, and to recommend appropriate redress
- Recommending any service improvements for action by the Department.
The Review Panel should not reinvestigate the complaints, nor should it consider any substantively new complaints that have not been first considered at Stage 2.
Ideally, no party should feel the need to be represented by lawyers at the Review Panel. The purpose of the Panel is to consider the complaint and wherever possible, work towards a resolution. However, the complainant has the right to bring a representative to speak on his behalf.
General Principles
The Review Panel should be alert to the importance of providing a demonstrably fair and accessible process for all participants. Many complainants may find this stage to be a stressful experience. It is important that the Panel is customer-focused in its approach to considering the complaint. This may include limiting the total number of staff attending to a minimum to avoid the possibility of overwhelming the complainant.
In particular, the following principles should be observed for the conduct of the Review Panel:
- The department should recognise the independence of the Review Panel and in particular, the authority of the Chair
- Panels should be conducted in the presence of all the relevant parties with equity of access and representation for the complainant and the department
- Panels should uphold a commitment to objectivity, impartiality and fairness, and ensure that the rights of complainants and all other attendees are respected at all times
- The department should consider what provisions to make for complainants, including any special communication or mobility needs or other assistance
- Panels should observe the requirements of the Human Rights Act 1998, the Data Protection Act 1998, and other relevant rights-based legislation and conventions in the discharge of their duties and responsibilities
- The standard of proof applied by Panels should be the civil standard of 'balance of probabilities' and not the criminal standard of 'beyond all reasonable doubt.' This standard should be based on evidence and facts
- It will be at the Chair's discretion to suspend or defer proceedings in exceptional circumstances where required, including the health and safety of all present.
Redress
Under Section 92 of the Local Government Act 2000, local authorities are empowered to remedy any injustice arising from a complaint.
The Review Panel must set out its recommendations to the Department on any strategies that can assist in resolving the complaint. These may include financial compensation or other action within a specified framework to promote resolution.
Make up of the Review Panel
The Review Panel consists of a Chair and two other people appointed by the department. The Chair should always be independent, as should at least one of the other two panellists. Depending on local arrangements, the department may wish to use an elected member for the third panellist
No member of the panel may be an officer, spouse or civil partner of an officer.
In selecting the panel the department should consider:
- The profile of the local population
- How best to demonstrate independence of the procedure
- The needs and circumstances of the individual complainant and the need for specialist skills, knowledge, or awareness regarding the presenting complaint
- Any real or perceived conflict of interest raised by either the substance of the complaint or the Panel process for considering that complaint
- Due care regarding political sensitivity
The panellists will need to carry out following tasks
- 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
- provide relevant opinion based on any specialist skills, knowledge and awareness that they have in respect of the presenting complaint.
The Panel Chair
The Chair should not have been an employee or member of L B Bromley (or spouse or civil partner of an employee or member) during the three years preceding the Panel.
In order that the Chair may contribute to the organisation of the panel, the Complaints Team will appoint the Chair first - ideally within ten working days of the complainant's request to proceed to Stage 3 - before identifying other panel members.
Independent Panellists
The second Panellist should also be independent of the Council, meeting the criteria set out above in "Make up of the Panel."
Administration of the Panel
The Complaints Team is responsible for
- Demonstrating an ongoing commitment to supporting Panellists through training
- Confirming references, Criminal Records Bureau referrals, confidentiality and disclosure protocols, declarations of interest, and provide other support as required
- Preparing relevant papers and background information for Panellists in advance of the hearing and distribute to attendees in a timely fashion;
- Reimbursing Investigating Officers, Independent Persons and any other external people involved in the earlier stages for their attendance at the Panel, as appropriate
- Providing Panellists with a letter of appointment explaining the Review Panel process, their role as a Panellist and what expenses or other payments to which they may be entitled. Attention should also be drawn to important issues such as confidentiality
- Providing complainants with information on attending the Panel and assistance that they can draw on
- Facilitating the administrative support and advisory functions on the day of the Panel.
Setting up Panels
The Complaints Team has overall responsibility for delivering the Panel process.
The Panel must be held within 30 working days of the receipt of a request for a review. The complainant's request for a review is acknowledged in writing within 2 days of receipt.
Panels should be provided locally and with due regard to the complainant's availability and convenience.
The complainant should be notified of the Panel's date and location in writing at least 10 working days before the Review Panel meets.
Panel papers should be sent to all attendees as soon as these have been agreed by the Chair and no later than 10 working days before the date of the Panel. These should normally include:
- Information on Stage 1
- The Stage 2 investigation report(s)
- The adjudication letter
- Any policy, practice or guidance information relevant to the complaint
- Any comments that the complainant has submitted to the Panel.
The papers should also include information on the local practice around Panels, such as start time, conduct, roles and responsibilities.
The Chair should make the final decision on circulating any further written material to the other attendees outside of the timescales.
If any complaint is lodged on the day by the complainant, about the proceedings, the Complaints Team should record it and the Panel should take a view on the need for further action and record their decision.
Attendance at the Panel
The complainant has a right to attend the Panel and should be informed of this right and assisted in attending as appropriate. Complainants should be informed of their entitlement to be accompanied by another person and for this person to speak on their behalf. This person should not be barrister or solicitor acting in a professional capacity.
The persons involved with the investigation at Stage 2 (i.e. the Investigating Officer and any Independent Person) should be invited to attend and contribute as relevant to their roles.
Should any of these persons' unavailability cause an inordinate delay in holding the Panel, the Chair should take a view on proceeding without them present.
The Panel can take place in the complainant's absence as long as it has been agreed with the complainant or is at their request.
Should the complainant fail to attend a scheduled Panel on more than one occasion, the Panel should proceed without them.
The Adjudicating Officer should attend, as the Department's representative, if he/she has rejected any of the IO's findings at Stage 2. Where he/she has accepted all of them, it is usually acceptable for them to delegate this responsibility. The representative should;
- provide further information to support the local authority's position
- consider whether any other member of staff should attend to address specific issues and request their attendance through the Chair
- prepare a presentation to give to the Panel on the day
- keep all staff involved in the complaint, but who are not attending the Panel, informed of the proceedings
- act on any recommendations from the Panel (as required by the Director)
The Chair would make the final decision as to who should be in attendance (including asking the organisation to make specific members of staff available to provide specialist advice or opinion). The Chair should also decide whether additional policies or procedures should be circulated with the Panel's papers.
The Complaints Team also attends the Panel.
Conduct of the Panel
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 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 into the following three parts:
- Pre-meeting
- Presentations
- Deliberations
This is an opportunity for the Panellists and the Complaints Team to meet in closed session to discuss the order of business and any other relevant issues (e.g. taking legal advice). No deliberations on the complaint should commence at this meeting.
2. PresentationOnce all attendees are present, the Chair should commence the Review by explaining its purpose and the need for confidentiality. The Chair should also indicate how long the Panellists anticipate that the presentations should last.
The Chair should advise the complainant of the respective roles and responsibilities of those present and address any questions or concerns that the complainant may have about 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 2 investigation. All attendees should understand that the presentations session is about clarifying what each party's opinion of the complaint is rather than an opportunity to cross-examine attendees.
The full Panel meeting should begin with presentations on the points of complaint and desired outcomes by the complainant and LBB. Normally, the first presentation should be by the complainant (or advocate/representative) who should be invited to expand upon any relevant themes that could aid the Panel's deliberation. The Chair should ensure that this presentation is reasonable, and relevant, and should exercise discretion as required in limiting both the scope and substance of the presentation or its duration.
The Chair should ensure that the Panellists have opportunities to ask questions of all present and seek clarification on the issues being discussed. The Chair should invite the complainant, the borough and other attendees to ask questions and raise points of information and opinion as relevant to the complaint.
The Chair should exercise discretion in determining when the proceedings have sufficiently achieved their objectives, and the Panellists are in a position to reach their findings and recommendations regarding the outcome. The Chair should end the proceedings and advise on the next steps.
3. DeliberationsThe Panel should go into closed session to deliberate on their findings and conclusions. The Complaints Team also attend to provide administrative support (except where this may create a conflict of interest) but this should not unduly influence the Panel's deliberations.
The Panel is required to record its findings of the meeting and to notify the complainant and the authority in writing within 5 working days. The findings should explain simply and clearly any recommendations and the reasons for them, and if a Panellist disagrees with the majority recommendation, the response should record that Panellist's view and the reason for it.
After the Panel
The Director sends the final response to the Panel's recommendations to the complainant (and other participants as necessary) within 15 working days of receiving the Panel's report. The response sets out how the organisation will respond to the recommendations and what action will be taken. If the Director deviates from the Panel's recommendations, their reasoning would need to be demonstrated.
The complainant should be advised of their right to refer their complaint (if still dissatisfied) to the Local Government Ombudsman.
Timescales
| Action | Time |
| Complainant requests Review Panel | Within 20 working days after receipt of the Stage 2 report or expiry of the time limit |
| Complaints Team acknowledges request | Within 2 working days |
| Complaints Team appoints Chair and confirms attendees and content of Panel papers with Chair | Within 10 working days of the complainant's request for Review Panel |
| Local authority agrees the other Panellists and date for Review Panel | Within 30 working days of the complainant's request for Review Panel |
| Local authority circulates Panel papers | Within 10 working days of the date for the Panel |
| Review Panel produces its written report (including any recommendations) | Within 5 working days after the Panel has met |
| Relevant Director issues his response | Within 15 working days from receipt of the Panel's report |
Appendix 5: Independent Reviewing Officers and the Children's Rights Officer
Independent Reviewing Officers (IROs) do not have a role in instigating the complaints procedure themselves, and should not stand in the way of complaints being made. They will have a role when they meet children to inform them that they have a right to make complaints and that the local authority has a responsibility to provide them with an independent advocate should they so wish.
An IRO may want to resolve problems by negotiation. The IRO may have a role in communicating both with the child and with the Complaints Manager. When an IRO receives a complaint they can either pass it on to the Children's rights Officer or the Complaints Officer.
In all cases the welfare of the child is the primary concern. IROs will need to make a judgement about whether a problem raised via a complaint is serious enough to constitute a breach of the child's human rights such as to justify making a referral to CAFCASS, or whether it would be reasonable to await a resolution through the complaints procedure, with or without additional support of the IROs own negotiation.
Children's Rights Officer (CRO)
The Children's Rights Officer also informs children and young people of their right to complain and often helps them to make a complaint about a service they receive. Any complaints received via the CRO are processed through the complaints process and a response is sent to the child/young person with a copy to the CRO for information.
All Stage 1 acknowledgement letters addressed to a young person making a complaint will have details of the CRO and an Advocacy service so that the young person can contact them for further advice.
Appendix 6: Good Practice for Investigating Officers
General Points
- Be aware of the timescale and the importance of providing a thorough investigation
- Work closely with the Complaints Manager, Independent Person and advocate where appropriate on all aspects of the investigation and report writing including keeping the complainant informed of progress
- If the media is involved (e.g. local / national press, television or radio) notify the Complaints Manager and maintain strict confidentiality
- Consider the environment the investigations are conducted in - some places may be intimidating or distressing for children and young people in particular
- Question whether an unannounced visit to the establishment complained to check normal practice would be helpful
- Adhere to relevant conventions and legislation such as Data Protection Act, Health and Safety Act and the Human Rights Act and the United Nations Convention on the Rights of the Child.
Getting Started
| 1. | Contact the complainant, ideally by phone, to offer a meeting in person. This meeting should explain the investigation procedure and
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| 2. | Read background on the complaint and the relevant legal and administrative policies and procedures |
| 3. | Consider whether the complaint could be resolved without further investigation |
| 4. | Assess whether the complaints procedure is the most appropriate way of handling this complaint. Consider alternative possible procedures, for example alternative dispute resolution (such as mediation), appeals to tribunals, legal action and police involvement. If the complaints procedure is not appropriate, discuss the alternatives with the Complaints Manager. |
Planning the Investigation |
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| 5. | Obtain all documentation needed including original versions of documents such as files, log books and timesheets |
| 6. | Produce a chronology of the sequence of events from the files and identify the names of the individuals most directly involved in content of the complaint |
| 7. | Analyse and categorise the complaint into its different elements |
| 8. | Identify a list of interviewees and notify them that you wish to hold interviews with as much notice as possible. Supply them with relevant information on the complaint in advance of the interview |
| 9. | Arrange the order of interviews in a logical sequence as relevant to the particular complaint |
| 10. | Inform all those to be interviewed that they may be accompanied by a friend or trades union representative, provided that this person is not within normal line management arrangements with the interviewee and that there are no issues of confidentiality |
| 11. | Consider whether a witness of a particularly difficult interview is needed - this is also a good way of training new investigating officers |
| 12. | Prepare the line of questioning for each interviewee. |
Interviewing |
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| 13. | Explain the complaint and your role clearly to the interviewee and confirm that they understand the complaints procedure and their role in it |
| 14. | Conduct the interviews in an informal and relaxed a manner, while ensuring that due process is adhered to
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| 15. | Try to separate hearsay evidence from fact by asking interviewees how they know a particular fact |
| 16. | Persist with questions if necessary. Do not be afraid to ask the same question twice. Make notes of each answer given |
| 17. | Deal with conflicting evidence by seeking corroborative evidence. If this is not available, discuss with the Complaints Manager the option of a meeting between the conflicting witnesses |
| 18. | Make a formal record of the interview from the written notes as soon as possible while the memory is fresh. Show the interviewee the formal record, ask if he has anything to add, and to sign the record as accurate. |
The Investigation Report |
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| 19. | Draft your report and show it to the Complaints Manager. The Complaints Manager will advise on local practice. |
Appendix 7: Child Protection Complaints
This has been taken from the London Child Protection Procedures.
Complaints from service users
Parents and, on occasion, children, may have concerns about which they wish to make representations or complain, in respect of one or more of the following aspects of the functioning of child protection conferences:
- The process of the conference;
- The outcome, in terms of the fact of and / or the category of primary concern at the time the child became the subject of a child protection plan;
- A decision for the child to become, to continue or not to become, the subject of a child protection plan.
Complaints about aspects of the functioning of conferences described above should be addressed to the conference Chair. Such complaints should be passed on to the Chair's manager in LA children's social care and the local authority complaints manager.
Whilst a complaint is being considered, the decision made by the conference stands.
The outcome of a complaint will either be that a conference is re-convened under a different Chair, that a review conference is brought forward or that the status quo is confirmed along with a suitable explanation.
Complaints about individual agencies, their performance and provision (or non-provision) of services should be responded to in accordance with the relevant agency's own complaints management process.
Appendix 8: Bromley's Unacceptable Complaints Policy
This policy sets out our approach to the relatively few complainants whose actions or behaviour we consider unacceptable. We aim to deal fairly, honestly, consistently and appropriately with all complainants, but we retain the right to restrict or change access to our services where we consider a complainant's actions to be unacceptable. Our aim in doing this is to ensure that other complainants and our staff do not suffer any disadvantage from complainants who act in an unacceptable manner. This policy will not affect anyone's rights under the Data Protection Act 1998 or the Freedom of Information Act 2000.
Defining Unacceptable Actions
People may act out of character when under stress and we do not view behaviour as unacceptable just because a complainant is forceful or determined. However, the actions of complainants who are angry, demanding or persistent may result in unreasonable demands on workloads and behaviour towards staff. Such actions have been grouped under three headings:
1. Unreasonable Persistence
Examples include:- A complainant, by the frequency of their contact with the Council, hinders objective consideration of a "live" complaint, including Ombudsman's investigations.
- A complainant makes a string of further complaints about a "live" investigation or changes aspects of the complaint, during the investigation.
- A complainant who has exhausted all stages of a complaints procedure continues to pursue the matter. This will also apply in cases where the Ombudsman has completed his investigation and closed the case.
- A complainant who seeks an unrealistic outcome and persists in doing so despite being advised that this is the case.
When we find a complainant to be unreasonably persistent, we will tell them why and ask them to change their behaviour. If the behaviour continues, we will take action to restrict the complainant's contact with the Council. Any such restrictions will be appropriate and proportionate after consideration by the appropriate Director. The most likely options would be: -
- Requesting contact in a particular form (e.g. by letter only)
- Requiring contact to take place with a named member of staff
- Restricting telephone calls to specific days and times; and /or
- Asking the complainant to enter into an agreement about their contact.
2. Aggressive or Abusive Behaviour
The Council recognises that customers who feel dissatisfied with the service they have received may feel angry about their treatment. However, the Council has a duty of care towards the safety and welfare of its staff.
Examples of unacceptable behaviour include any action or series of actions, which are perceived by the staff member to be abusive, threatening or offensive whether they are delivered verbally or in writing or a combination of the two. This includes not only behaviour directed at them, but also their families or associates.
If a staff member feels threatened by a complainant, they should report their fears, and the reason for them, to their line manager. The line manager will record the details and as part of the action arising from his/her investigation will consider: -
- Writing to the perpetrator requiring no repetition of the behaviour and, if necessary, setting conditions and restrictions for further contact with staff.
- Whether to report the matter to the Police.
If dealing with such behaviour in a telephone conversation, the staff member should tell the complainant that they will terminate the call if the behaviour continues. If despite this warning the behaviour continues, the contact should be terminated and a note placed on the case file recording the circumstances of the termination. Staff will respond to repeated calls in the same way.
Repeated calls may be deemed harassment, which, after consultation with the Head of Service, may be reported to the Police.
3. Unreasonable Demands
Complainants may make unreasonable demands through the amount of information they seek, the nature and scale of service they expect or the number of approaches they make. What amounts to unreasonable demands will depend on the circumstances surrounding the behaviour and the seriousness of the issues raised by the complainant. Examples might include demanding responses within an unreasonable timescale, insisting on speaking to or seeing a particular member of staff, continual phone calls or letters. We consider these demands unreasonable if they start to impact substantially on the work of staff, such as taking up an excessive amount of staff time to the disadvantage of other customers or services. Actions falling within this category will be dealt with as set out in "Unreasonable Persistence" above.
4. Implementation of the Policy
In cases where this becomes necessary, we will write to the complainant saying why we believe their behaviour is unacceptable, what action we are taking and the duration thereof. We will also tell them how to challenge the decision if they disagree with it and to whom such an appeal should be addressed.
Where a complainant continues to behave in an unacceptable fashion, the director may authorise staff to terminate contact with the complainant on the subject of the complaint(s) and discontinue any further investigation. Any further contacts regarding the complaint in writing will be read and placed on file without acknowledgement. Telephone calls will be terminated and logged.
In taking the action described above, it is emphasised that this policy will only be used as a last resort and after all other reasonable measures have been taken to resolve complaints following the appropriate procedure. Judgement and discretion will need to be applied to such behaviour.
Ensure that contacts from the complainant about matters other than the complaint are not ignored and that as a result there is a failure to respond to a request for service or other information.
New complaints from customers who have been regarded, as unreasonable persistent complainants will be treated on their merits.
Withdrawal of any action taken under this policy must be undertaken in consultation with the director who authorised it.
5. Appeals Procedure
A complainant can appeal a decision to restrict contact. A senior member of staff who was not involved in the original decision will consider the appeal. They will then advise the complainant in writing that either the original decision has been upheld or if a different course of action has been agreed.
Appendix 9: Bromley's Redress Policy
The Council's redress procedures have been drawn up to deal with maladministration rather than legal liability. They require officers to have regard for maintaining and enhancing the Council's image by a judicious use of redress remedies such as apologies, refunds and small payments in relevant circumstances.
When people complain to us, we must act swiftly to look into the issues raised, and try to put things right. Where we have done something wrong we should extend a full apology to the person concerned, and explain what we are doing to put things right, who is taking action, and when we expect to have resolved the issue.
In some cases the complainant may ask for compensation; for some services this may be as straightforward as reimbursing a fee they have paid. However, the claim may go beyond this for issues such as:
- Loss of goods and their value;
- Worry and anxiety caused by the way the Department handled their case;
- Time taken off work to pursue their complaint;
- Unreasonable delays in meeting a claim to which they are entitled;
- A failure to follow Departmental or statutory procedures, which has resulted in injustice to them.
Where compensation is requested, the officer investigating the complaint should check to see if this is covered by the Council's insurance arrangements. If so, the case should be passed to the Insurance Section within the Resources Directorate and the complainant should be told that this has been done and who is now dealing with the claim. Sometimes a judgement about whether or not a particular complaint falls into the maladministration or legal liability category may be difficult. If so, the Director and/or Insurance Manager should consult the Head of legal and Democratic Services.
If the Council's Insurance Manager advises that the claim for compensation is not covered in this way or it is covered but liability is unlikely to be accepted, then it should be passed to the Director to decide whether the Council should apologise and pay compensation. If the claim is under £500, payment can be made from the department's existing budgets; any claims over this must be put to Committee for consideration and approval.
The details of how many and the nature of complaints received resulting in the Department paying compensation, and of how much compensation has been paid out, will be included in the complaints annual report.
Another source for guidance is the Local Government Ombudsman. They have prepared a tool kit for local authorities to guide them with compensation requests and amounts.
Appendix 10: Referral to the Local Government Ombudsman (LGO)
Where the presenting facts indicate that reasonable, appropriate consideration of the complaint has been undertaken at Stage 2 and that further consideration by the Review Panel would not produce a demonstrably different outcome, the Complaints Manager should discuss with the complainant the possibility of referring the complaint to the Local Government Ombudsman.
The authority can only consider this option once Stage 2 has been concluded and the complainant has received the authority's final position on the complaints.
Where this is the case, and the complainant agrees, the Complaints Manager can then approach the Local Government Ombudsman and ask him to consider the complaint directly, without first going through a Review Panel.
The Ombudsman will then apply a test of reasonableness to this decision. If the Ombudsman concludes that early referral was incorrect, he may select from a range of responses. This may include proposing that the complaint is considered by the local authority at a Stage 3 Review Panel in the normal manner.
Early referral of the complaint will also not restrict the Ombudsman from later consideration of the complaint if he so chooses.
Complainants have a right to take their complaint to the Local Government Ombudsman if they are unhappy with the way in which the Council has dealt with their complaint. However, the Ombudsman prefers not to investigate a complaint until it has been through all stages of our complaints procedure.
The Ombudsman will appoint an investigator who will liaise with the Complaints Officer and any other relevant staff to co-ordinate arrangements for the investigator to see files, interview staff etc. The Complaints Officer will ensure that staff are given as much notice as possible to prepare for the interview and to gather relevant documents and files.
Access to Files
The Ombudsman has powers similar to a court of law to obtain evidence, so it important that you make all documents available to the investigator.
Interviews with the Investigator
You may have a friend with you during the interview if you wish, but he or she cannot give evidence, and must not have a conflict of interest.
If you made any notes at the time of the events under investigation, these may help the investigator.
You will have the opportunity to make comments or ask questions at the interview.
Interviews are formal and on the record, so anything you say may be noted by the investigator and passed to the Ombudsman. You should not discuss the complaint outside the interview until the draft report has been issued.
After the Investigation
During the course of the investigation, the Ombudsman may decide not to pursue it if it becomes clear that there has been no maladministration. If so, he will write to the complainant explaining why, with a copy to the Chief Executive.
However, the Ombudsman may issue a draft report, which will be sent to the complainant, the Chief Executive and anyone else involved, for comment. You should be included. Once all comments have been received, the Ombudsman will issue a final report, giving conclusions on whether there was maladministration, which has caused injustice. He will make recommendations on how the Council should make amends to the complainant or to improve its procedures.
If a complainant has approached the Ombudsman with a premature complaint, they will return it to us to deal with and we are obliged to keep them informed at all stages of the process.
Appendix 11: Guidance for Staff Involved in Investigations and Hearings
A full investigation into a complaint will be undertaken when the complainant has asked for the matter to be investigated further or because it has not been possible to resolve it at an earlier stage.
The Complaints Officer will let the team manager know. The complaints Officer will make arrangements for the investigation in consultation with the Assistant Director.
The investigation will be carried out either by an external investigator or by another senior manager from the Department but who is not involved in any way with the complaint or the complainant.
The Manager's Role
Your manager must let you know as soon as possible whether you need to be interviewed as part of the investigation and what arrangements have been made for this. Your manager will also be able to advise you of the terms of reference of the complaint (i.e. the specific issues which are being investigated). You may need to alter your working arrangements while the investigation is taking place. If so, you should discuss these with your manager.
Interviews with the Investigating Officer
If the Investigating Officer needs to interview you, s/he should give you at least one week's notice of the date, although you may request an earlier date if you prefer. It is important that you keep the appointment and provide all the information required by the Investigating Officer, as s/he has only 25 working days in which to complete the investigation, and to report the findings to the Assistant Director.
You are entitled to have someone with you during the interview, such as a friend or colleague. However, this may not be your line manager or anyone involved in the case.
Notes of the interview will be produced by the Investigating Officer and sent to the interviewee to check and agree.
Appendix 12: Training Courses on Offer
Learning and Development Section organise two training courses.
- Effective Complaints Handling for Front Line Staff
- Complaints Handling for Investigating Managers
The Local Government Ombudsman delivers these. The Complaints Officer is present for part of these training courses to explain the role of complaints in Bromley and to answer any specific questions that staff may have.
Apart from this, the Complaints Officer conducts a brief "information on complaints" slot as part of the Induction Programme for new recruits.
A new course has been devised to train in-house service managers to be Investigating Officers for Stage 2 complaints.
Details of courses is available on the staff intranet "onebromley"
Appendix 13: Useful Websites
- Barnardos
- Bromley and Bexley Advocacy
- Bromley Autistic Trust
- Bromley Primary Care Trust
- Community Links Bromley
- Connexions
- Department for Communities & Local Government (ex ODPM)
- Department of Health
- Department for Education
- Home Office
- Kent Association for Blind
- Local Government Ombudsman
- Mencap
- National Health Service
- National Society for the Prevention of Cruelty to Children (NSPCC)
- Oxleas NHS Trust
- Public services all in one place
- Reconstruct
- Royal Association for deaf people
- The Commission for Social Care and Inspection
- The Information Commissioner provides useful information about record management and Data Protection
- The Records Management Department of the Public Record Office has also developed guidance for Departmental Record Officers
Appendix 14: Legislation
2006 No. 1738
Children and Young Persons, England
The Children Act 1989 Representations Procedure (England) Regulations 2006
| Made | 29th June 2006 |
| Laid before Parliament | 7th July 2006 |
| Coming into force | 1st September 2006 |
Part 1
Introductory
| Citation, commencement and application | ||
| 1. | (1) | These Regulations may be cited as the Children Act 1989 Representations Procedure (England) Regulations 2006 and come into force on 1st September 2006. |
| (2) | These Regulations apply to England only. | |
| Interpretation | ||
| 2. | In these Regulations - "the Act" means the Children Act 1989; "the 2002 Act" means the Adoption and Children Act 2002; "advocacy services" means assistance provided under arrangements made by a local authority under section 26A(1) of the Act; "advocate" means a person who provides assistance under arrangements made by a local authority under section 26A(1) of the Act; "complainant" means a person making representations to a local authority under section 24D or 26 of the Act; "independent person" means a person who is neither a member nor an officer of the local authority to which the representations have been made, nor the spouse or civil partner of such a person; "working day" means a day which is not a Saturday, Sunday, Christmas Day, Boxing Day, Good Friday or a bank holiday under the Banking and Financial Dealings Act 1971. |
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Part 2
Representations - specified functions
| Specified functions under Parts 4 and 5 of the Act | ||
| 3. | (1) | For the purposes of section 26(3A)(b) of the Act, the functions under Parts 4 and 5 of the Act listed in paragraph (2) are specified functions. |
| (2) | The functions are -
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| Specified functions under the 2002 Act | ||
| 4. | For the purposes of section 26(3B) of the Act, specified functions under the 2002 Act are -
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| Specified functions under section 14F of the Act | ||
| 5. | For the purposes of section 26(3C) of the Act, specified functions under section 14F of the Act are -
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Part 3
Representations - general
| Form of representations | ||
| 6. | Representations may be made in writing or orally. | |
| Withdrawal of representations | ||
| 7. | (1) | Representations may be withdrawn orally or in writing at any time by the complainant or, where one has been appointed, by his advocate. |
| (2) | The local authority must write to the complainant and, where one has been appointed, to his advocate to confirm the withdrawal of the representations. | |
| Representations not to be considered | ||
| 8. | (1) | A local authority shall not consider, or further consider, representations under these Regulations to the extent that the representations concern any matter in relation to which -
and the local authority decide that consideration, or further consideration, of the representations under these Regulations would prejudice the conduct of any proceedings or investigation falling under this paragraph. |
| (2) | Any proceedings or investigation falling under paragraph (1) shall be referred to for the purposes of this regulation as a "concurrent consideration". | |
| (3) | Where a local authority decide that they should not consider, or further consider, representations in accordance with paragraph (1) the local authority shall as soon as possible give notice in writing to the complainant explaining the reasons for their decision and specifying the relevant concurrent consideration. | |
| (4) | Where the concurrent consideration specified in a notice under paragraph (3) has been discontinued or completed the complainant to whom the notice was given may resubmit to the local authority the representations to which the notice relates and, subject to paragraph (5), the local authority shall consider them in accordance with regulations 9 to 20. | |
| (5) | Where a complainant resubmits representations in accordance with paragraph (4) he must do so no later than one year after the concurrent consideration is discontinued or completed and accordingly regulation 9(1) shall not apply. | |
| Time limit on making representations | ||
| 9. | (1) | A complainant must make his representations about a matter no later than one year after the grounds to make the representations arose. |
| (2) | But a local authority may consider any representations which have been made outside the time limit specified in paragraph (1) if, having regard to all the circumstances, they conclude that -
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| Local authority action - general | ||
| 10. | Every local authority must -
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| Local authority action - on receipt of representations | ||
| 11. | (1) | As soon as possible after having received representations a local authority must -
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| Local authority action - where representations made under section 26(3)(e), (3B)(b) or (3C)(c) of the Act | ||
| 12. | (1) | Where a local authority have received representations from a person falling within section 26(3)(e), (3B)(b) or (3C)(c) of the Act, they must as soon as possible decide whether that person has a sufficient interest in the welfare of the child concerned to warrant his representations being considered by them. |
| (2) | In reaching their decision under paragraph (1) the local authority must take into account the views of the child if they consider it appropriate to do so. | |
| (3) | If the local authority decide that the person does have sufficient interest then they shall consider the representations. | |
| (4) | If they decide that the person does not have sufficient interest then they must notify him of their decision and tell him that no further action will be taken in respect of his representations. | |
| (5) | The local authority must tell the child concerned of their decision if they consider it appropriate to do so. | |
| Monitoring of operation of procedure under section 26 | ||
| 13. | (1) | Every local authority must monitor the arrangements that they have made with a view to ensuring that they comply with these Regulations in so far as they regulate the procedure for the consideration of representations under section 26 of the Act. |
| (2) | Local authorities must monitor those arrangements by keeping a record of -
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| (3) | For the purposes of such monitoring every local authority must as soon as possible after the end of each financial year compile a report on the operation in that year of the procedure set out in these Regulations. | |
| (4) | In this paragraph "financial year" means -
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Part 4
Representations - consideration
| Local resolution - consideration | ||
| 14. | (1) | Where a local authority have received representations from a complainant then unless the complainant and the local authority agree that the representations should not be considered in accordance with this regulation, the local authority must consider and try to resolve the representations as soon as is reasonably practicable and in any event within 10 working days of the start date as defined in paragraphs (3) and (4). |
| (2) | The procedure followed by the local authority in considering representations under paragraph (1) need not involve an independent person. | |
| (3) | For the purposes of this regulation the "start date" means -
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| (4) | But the start date may, at the request of the complainant, be a date after that defined in paragraph (3) that the complainant agrees with the local authority. | |
| (5) | The local authority may extend the period for considering representations under this regulation by a maximum of 10 working days where they consider the representations to be complex. | |
| Local resolution - conclusion | ||
| 15. | (1) | Where the local authority and the complainant have resolved matters under regulation 14 then the local authority must as soon as possible provide the complainant and, where one has been appointed, his advocate with written details of the terms of the resolution. |
| (2) | Where the local authority and the complainant have not resolved matters under regulation 14 then the complainant or, where one has been appointed, his advocate may request orally or in writing that the representations be considered under regulation 17. | |
| Preparation of written record of representations | ||
| 16. | (1) | This regulation applies where the complainant has made his representations orally and he has -
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| (2) | Where this regulation applies then the local authority must as soon as possible after reaching an agreement with the complainant or receiving a request from him -
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| (3) | The final written record prepared under paragraph (2) shall be treated for the purposes of the following regulations as the representations. | |
| Investigation of representations | ||
| 17. | (1) | Where -
then the local authority must consider the representations in accordance with this regulation. |
| (2) | The procedure followed by the local authority in considering representations under paragraph (1) must include the appointment of an independent person. | |
| (3) | The local authority must consider the representations under this regulation with the independent person and send notice of their response to the complainant and, where one has been appointed, to his advocate within 25 working days of the start date as defined in paragraphs (4) and (5). | |
| (4) | For the purposes of this regulation the "start date" means the date on which -
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| (5) | But where the complainant made his representations orally then the "start date" means the date on which the local authority produce the final written record of the representations in accordance with regulation 16. | |
| (6) | If the local authority are not able to comply with the time limit provided for in paragraph (3) then they must, before that time limit has passed, tell the complainant in writing -
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| (7) | The independent person appointed in accordance with paragraph (2) must take part in any discussions which are held by the local authority about -
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| (8) | The notice of the local authority's response sent in accordance with paragraph (3) must include information about -
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| Request for review panel | ||
| 18. | (1) | Where the complainant is dissatisfied with the outcome of the investigation of his representations under regulation 17 the complainant or, where one has been appointed, his advocate may request that the representations be further considered by a panel in accordance with regulation 19. |
| (2) | A request under paragraph (1) must be made within 20 working days of the date on which the complainant received the notice of the local authority's response and must set out the reasons for the complainant's dissatisfaction with the outcome of the investigations. | |
| Review panel | ||
| 19. | (1) | Where the local authority have received a request in accordance with regulation 18 they must appoint a panel to consider the representations. |
| (2) | The panel shall consist of three independent persons, one of whom will chair the panel. | |
| (3) | The independent person appointed in accordance with regulation 17(2) may not be a member of the panel. | |
| (4) | The panel shall meet within 30 working days of the local authority receiving a request in accordance with regulation 18. | |
| (5) | At its meeting the panel shall consider -
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| (6) | If the complainant attends the meeting of the panel he may be accompanied throughout the meeting by his advocate, where one has been appointed, and by another person of his choice, and may nominate the advocate or that other person to speak on his behalf. | |
| Recommendations | ||
| 20. | (1) | After the meeting referred to in regulation 19 the panel shall decide on their recommendations and compile a written report which must set out -
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| (2) | Within 5 working days of the meeting the panel must send its report to -
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| (3) | Within 15 working days of receiving the panel's recommendations the local authority must, together with the independent person appointed under regulation 17(2), consider the recommendations and determine -
and send to the complainant its response and proposals, along with information about making a complaint to a Local Commissioner. |
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Part 5
Representations to voluntary organisations and about fostering limits
| Requirement on voluntary organisations to consider representations | ||
| 21. | Every voluntary organisation who are providing accommodation for a child are required to consider in accordance with regulation 22 any representations (including any complaint) made to them by -
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| Procedure for considering representations made to voluntary organisations | ||
| 22. | (1) | Regulations 2, 6 to 12, and 14 to 20 will apply in relation to representations made to voluntary organisations under regulation 21 with the modifications listed in paragraph (2). |
| (2) | The modifications are -
" in relation to representations made to a voluntary organisation a person who is not -
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| Consideration of representations under paragraph 6 of Schedule 7 to the Act | ||
| 23. | (1) | Regulations 2, 6 to 11 and 13 to 20 will apply in relation to a local authority's consideration of representations under paragraph 6(1) of Schedule 7 to the Act (which is concerned with limits on the number of children a person may foster) with the modification set out in paragraph (2). |
| (2) | The modification is that in regulation 2 for the definition of "complainant" there are substituted the words "a person making representations to a local authority which stand to be considered by them under a procedure established under paragraph 6 of Schedule 7 to the Act". | |
Part 6
Revocation, transitional provision and amendments
| Revocation and transitional provision | ||
| 24. | (1) | The Representations Procedure (Children) Regulations 1991 (for the purposes of this regulation, "the 1991 Regulations") are revoked save to the extent necessary for the purposes of this regulation. |
| (2) | Where, at the time that these Regulations come into force, a local authority are considering representations made under the 1991 Regulations, then the local authority must continue to consider the representations under those Regulations subject to paragraphs (3) and (4) of this regulation. | |
| (3) | Where a local authority have given notice in accordance with regulation 3A(1)(c) of the 1991 Regulations the notice shall be treated as if it were a request made by the complainant under regulation 15(2) of these Regulations. | |
| (4) | Where in accordance with regulation 8(2) of the 1991 Regulations the complainant or his advocate have given notice to the local authority informing them that the complainant wishes the matter to be referred to a panel, but the local authority have not appointed a panel under that regulation, then the notice shall be treated as if it were a request made under regulation 18 of these Regulations. | |
| (5) | Regulation 13 of the Children (Leaving Care) (England) Regulations 2001 is revoked. | |
| (6) | Regulation 5 of the Children Act (Miscellaneous Amendments) (England) Regulations 2002 is revoked. | |
| (7) | Regulations 4(1) and 6 of the Advocacy Services and Representations Procedure (Children) (Amendment) Regulations 2004 are revoked. | |
| (8) | Regulation 2 of the Adoption and Children (Miscellaneous Amendments) Regulations 2005 is revoked. | |
| Amendments | ||
| 25. | (1) | In regulation 15(2)(d) and 24(8) of the Children's Homes Regulations 2001 substitute "The Children Act 1989 Representations Procedure (England) Regulations 2006" for "the Representations Procedure (Children) Regulations 1991". |
| (2) | In regulation 18(8) of the Fostering Services Regulations 2002 substitute "The Children Act 1989 Representations Procedure (England) Regulations 2006" for "the Representations Procedure (Children) Regulations 1991". | |
Parmjit Dhanda
Parliamentary Under Secretary of State Department for Education and Skills
29th June 2006
Explanatory Note
(This note is not part of the Regulations)
These Regulations replace, in relation to England, the Representations Procedure (Children) Regulations 1991 ("the 1991 Regulations"), S.I. 1991/894 and regulate the procedure which local authorities are to follow in the consideration of representations made to them about the discharge of certain functions under the Children Act 1989 ("the Act") and under the Adoption and Children Act 2002 ("the 2002 Act"). The Regulations specify some of the matters about which a person may make representations using this procedure. They also apply the procedure, with modifications, to representations made to voluntary organisations providing accommodation for children and about fostering limits.
Part 2 is concerned with the subject matter of representations. As well as providing a procedure for making representations about the discharge by a local authority of its functions under Part 3 of the Act, the Regulations provide a procedure for considering representations about specified local authority functions under Parts 4 and 5 of the Act (regulation 3), functions under the 2002 Act (regulation 4), and functions to do with special guardianship support services (regulation 5).
Part 3 makes general provision about representations. Regulation 8 allows a local authority not to consider representations, in whole or in part, if the local authority decide that to do so might prejudice any of the proceedings falling within paragraph (1). By regulation 9 a complainant may make his representations to the local authority no later than one year after the grounds to make the representations arose. But if the representations are made outside that time limit the local authority may still consider them if they think that it would not be reasonable to expect the complainant to have made the representations within a year, and that it is still possible to consider the representations effectively and fairly.
Local authorities have to give complainants information about the representations procedure when they first make representations and they must also give information about advocacy services (regulation 11) where relevant, that is where the complainant is a looked after child or a child in need and so is entitled to an advocate under section 26A of the Act.
Regulation 12 sets out how local authorities are to deal with representations which are made by persons falling within section 26(3)(e), (3B)(b) or (3C)(c) of the Act. Each of those sections requires local authorities to consider representations from persons whom the local authority consider to have sufficient interest in the child concerned to warrant their representations being considered. Local authorities must decide whether to consider the representations and are required to take into account the views of the child if they think it appropriate to do so.
Part 4 sets out the procedure for considering representations. Unless the complainant and the local authority agree otherwise, the first stage will involve an informal attempt at resolving the problem (regulations 14 and 15). This stage usually begins when the local authority receive the representations, when they decide to consider representations from someone falling within section 26(3)(e), (3B)(b) or (3C)(c) of the Act, or when, in appropriate cases, an advocate has been appointed for a child. The complainant may ask for the start date to be a later date as agreed with the local authority. This stage should be concluded within 10 working days of the start date but that period can be extended where the local authority consider that the representations are complex.
Before going to the second stage, whether the representations have been considered under stage one or not, they must be set down in writing where they have only been made orally. Regulation 16 makes provision for this.
The second stage of the procedure is governed by regulation 17 and involves consideration of the representations with an independent person. The local authority must consider the representations and send a notice of response within time limits set out in paragraphs (3) to (5).
The third stage of the procedure involves consideration of the representations by a panel of three (regulation 19), which can be requested by the complainant or his advocate in accordance with regulation 18. All three members of the panel must be independent. The panel has to make recommendations within 5 working days of considering the representations and the local authority have 15 working days to consider the recommendations and decide what to do (regulation 20).
Part 5 is concerned with representations to voluntary organisations and about fostering limits. Regulation 21 requires voluntary organisations who are providing accommodation for a child to have a procedure (set out in regulation 22) for considering representations made to them by the persons specified in paragraphs (a) to (d).
Under paragraph 6 of Schedule 7 to the Act, every local authority are required to establish a procedure for considering any representations made to them about the discharge of their functions under paragraph 4 of that Schedule which allows a local authority to exempt people from the limit on the number of children they may foster. Regulation 23 sets out the procedure local authorities must follow in carrying out consideration of such representations.
Part 6 revokes the 1991 Regulations saving them only for the purpose of the transitional provisions. These provide that where a representation is being considered under the 1991 Regulations at the time these Regulations come into force then the representation will continue to be considered under the 1991 Regulations. If they can be resolved under that procedure then the matter is concluded; if they cannot and there are further stages for consideration under the 1991 Regulations, then they should be considered under the equivalent stage in the procedure established under these Regulations.
End