Complaints in Relation to Child Protection Conferences For parents, carers, children and young people

Version no 1 Date published February 2015 Review date February 2017 Kingston and Richmond LSCBs Complaints in Relation to Child Protection Conferences For parents, carers, children and young people Contents 1. What this procedure covers 2. Who can use this procedure 3. Publicising this procedure & assistance in raising concerns 4. Dealing with a complaint 5. The First Stage informal resolution & review by the Chair 6. Discretionary Second Stage reconvening the conference 7. The Third Stage Final Review Panel 8. Discretionary reconvened conference after Final Review Panel 9. The Ombudsman 1

1. What this procedure covers the process of the conference; the outcome, in terms of the fact of and/or the category of primary concern at the time the service user became the subject of a protection plan; a decision for the service user to become, to continue, or not to become, the subject of a protection plan; the conduct of the Chair and professionals. Where a complainant indicates in whatever form that they are making a complaint about Child Protection Conferences, the complaint should be directed to the Local Safeguarding Children Board via the co-ordinator of the relevant borough s LSCB (Richmond LSCB 0208 831 6323 or Kingston LSCB 0208 547 4655), and the Manager for the Child Protection Chairs for the relevant Borough. This procedure complements different processes for different boroughs as outlined in appendices: 1. Richmond Complaints about Children's Social Services ; 2. Kingston Complaints procedure - 2011 revision incorporating summaries of statutory procedures for Adult and Children s Social Care (and Quick Guide to Children s Services Complaints); 3. Achieving for Children Managing Complaints Procedure. If there is any doubt whether this procedure applies, the Complaints Manager should be consulted: London Borough of Richmond upon Thames Corporate Complaints and Access to Information Manager Community Engagement and Accountability Team Adult and Community Services 3rd Floor Civic Centre 44 York Street Twickenham TW1 3BZ 020 8 891 7937 socialservices.complaints@richmond.gov.uk Royal Borough of Kingston upon Thames Complaints and Information Access Officer Adult and Children s Social Care Royal Borough of Kingston Strategic Business - Guildhall Kingston KT1 1EU 020 8547 4716 karen.fenwick@kingston.gov.uk This document rests on the London Child Protection Procedures 2014, and Working Together 2013 as chief guidance. 2

Complainants can get advice on sorting out a problem or making a complaint by contacting any of the independent local organisations below: Citizens Advice 0844 477 2020 Kingston Race & Equality Council 020 8547 2332 Kingston Voluntary Action 020 8255 3335 Kingston Centre for Independent Living 020 8546 9603 Age Concern 020 8942 8256 1.1 What is outside the scope of this procedure? Complaints about individual agencies which contribute to the conference, their performance, their conduct at a conference and/or the provision (or non-provision) of services should normally be responded to in accordance with the relevant agency's complaints handling process. If the agency agrees it is more appropriate to deal with the complaint under this procedure as a joint investigation, they have the discretion to agree to that and the right to complain under the individual agency s process ceases. The complainant should be informed in writing if this is the case. This decision is for those agencies. The complainant cannot insist this procedure is used. The Local Authority Complaints Manager with agreement with the Chair of the Local Safeguarding Children Board (or his/her designated Deputy) may postpone this procedure where to proceed would prejudice any of the following: legal action; court proceedings, including the Court of Protection; disciplinary proceedings, or criminal proceedings. 1.2 Timescale for raising concerns Concerns must be raised no later than six months from the date of the Conference complained about unless there are exceptional reasons. The Local Authority Complaints Manager will be able to advise the Conference Chair, if exceptional reasons have been demonstrated. 2. Who can use this procedure? Parents, those with parental responsibility and children (of sufficient age and understanding) may have concerns about which they wish to complain, in respect of one or more aspects of the functioning of Child Protection Conferences. There is a separate policy and procedures for professionals to raise concerns following a Child Protection Conference. 3. Publicising the procedure and support The information leaflets sent out prior to Conferences will include a statement about the right to use this Complaints Procedure. All potential complainants should be made aware however, that this complaints process cannot itself change the original Safeguarding decision. Other measures can be decided to remedy any defects within the original conference. The decision made by the original Conference stands whilst the complaint is being considered. At all stages of this complaints process, the complainant may have a supporter/advocate to assist them. 3

4. Dealing with a complaint Wherever possible, disputes or complaints should be resolved in discussion with the Conference Chair. All agencies will be advised of complaints by the LSCB at the second stage, and other bodies may be contacted where appropriate. Complainants may be deemed to be habitual or vexatious where current or previous contact with them shows that complaints have arisen from historic or irreversible decisions or incidents; if the complainant is abusive or threatening; if contact with the Local Authority is frequent, lengthy, complicated and stressful for staff; or if the complainant changes aspects of the complaint partway through the investigation. Repeated complaints will be monitored and local Guidance on Dealing with Unreasonably Persistent and Vexatious Complaints/Complainants may be used if necessary. 5. The First Stage informal resolution & review by the Chair Complaints should be made to the Conference Chair. These will then be passed on to the Chair s Manager in the Local Authority and the Local Authority Complaints Manager. Whilst a complaint is being considered, the decision made by the Conference stands. The Chair should consider offering to meet with the complainant within 10 working days of receipt of the request to attempt to resolve the complaint, or 10 working days from when the minutes of the Conference are available. If the minutes are not available, the meeting should be held no later than 15 working days, after receipt of the request. If there is a complaint about the Chair, the Manager for the Child Protection Chairs should meet with the complainant within 10 working days. The aim of the meeting is to understand the complainant s concerns and try to resolve the issues, whilst ensuring best safeguarding standards and practice. A written summary and decision of this meeting needs to be produced and sent to the complainant within 10 working days of the meeting and copied to the Local Authority Complaints Manager and the Chair s Line Manager. The response must set out the right to proceed to the next stage and how to do this, if the complainant remains dissatisfied. The Chair should consider, in consultation with the Head of Safeguarding, whether in the light of the substance of the complaint, the Conference should be reconvened. The outcome of the complaint may be that the conference is reconvened under the same or a different Chair, a review conference is brought forward, or the status quo is confirmed with a suitable explanation. Complaints about the conduct of the Conference Chair should be directed to the Head of Quality Assurance. There may need to be coordination around single agencies, if several complaints are made. 6. Discretionary Second Stage reconvening the conference/strategy Meeting The Chair has the discretionary authority to re-convene the Conference if s/he agrees that any of the issues raised by the complainant warrants Conference re-consideration. The complainant cannot insist that the Conference is re-convened as this is a professional judgement. If the Chair agrees to re-convene the Conference, this must be arranged promptly. If reconvening was requested and the conference was not reconvened the reasons 4

should be recorded in a letter to the complainant and in the minutes of the next Child Protection Conference. After discussing the circumstances with the Safeguarding Manager and deciding to reconvene the Conference, the Chair of a reconvened Conference should make the circumstances clear to the meeting members. If a Panel has taken place [see 7 below], a distinction must be made by the Chair regarding the need to discuss the Panel s conclusions and the task of the Conference. If it is decided to reconvene the Conference, then the complaint is ended, as the reconvened Conference is the outcome of the complaint and the complainant should be advised accordingly. Where the complainant remains dissatisfied following the reconvened Conference, then he/she must lodge a fresh complaint in relation to the re-convened meeting. The Complaints Manager has the discretion to pass the complaint directly to the Final Review Panel or Ombudsman, if the Chair of the LSCB agrees. The Chair is responsible for informing the complainant in writing of their right under this procedure to contact to the Complaints Manager to proceed with their complaint. The Quality Assurance Manager has the discretion to appoint a different Chairperson or retain the same Chairperson in a re-convened Conference. 7. The Third Stage Final Review Panel 7.1 General principles and standards Any unresolved complaint after stage 1 or 2 of this procedure received by the Chair must be referred immediately to the Local Authority Complaints Manager. On receipt of the complaint (except where a new stage 1 is warranted after a reconvened Conference), the Complaints Manager will initially write to confirm whether the complaint falls within these procedures, and if so how the complaint will be dealt with. Where necessary, the Complaints Manager will contact the complainant to clarify the nature of their complaint, or to obtain additional information. Whilst a complaint is being considered, the decision made by the last Conference stands. The Review Panel should be alert to the importance of providing a demonstrably fair and accessible process for all participants. It is important that the Panel is client-focused in its approach. In particular, the following principles should be observed for the conduct of the Panel: Panels should be conducted in the presence of all the relevant parties with equity of access and representation for the complainant and organisation; 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 Panel Chair should consider what provisions to make for complainants, including any special communication or mobility needs or other assistance; 5

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, and 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. 7.2 The purpose of the Panel to listen to all parties; to consider the adequacy of the Stage 1 & 2 response; to keep at the forefront of consideration the best interests of the child, the parent or carer and safeguarding best practice; to obtain any further information and advice that may help resolve the complaint to all parties satisfaction; to focus on achieving resolution for the complainant by addressing his clearly defined complaints and desired outcomes; to reach findings on each of the complaints being reviewed; to make recommendations that provide practical remedies and creative solutions to complex situations; to support local solutions where the opportunity for resolution between the complainant and the relevant official agency (Local Authority, police, NHS) exists; to identify any consequent injustice to the complainant where complaints are upheld, and to recommend appropriate redress; and to recommend any service improvements for action by the relevant authority. 7.3 Make up of the Panel The Panel will consist of three professionals, who have had no direct involvement in the conference decision-making for the case in question, nominated by the Local Safeguarding Children Board (LSCB) Chair. Panel members may be appointed, who are independent of the LSCB member agencies. One member of the Panel should be assigned as Chair of the Panel. Panellists need to ensure they have the time capacity to set aside a day for the Panel and be available for deliberations and finalising the report after the date of the Panel to avoid delays or rushing. 6

7.4 Administration of the Panel Within 30 working days of the receipt of request for a Final Review, the Complaints Panel will be arranged by the LSCB, as applicable. Where a Final Review Panel (the Panel) is convened to hear the complaint, the complainant will be notified in writing of the details of the venue, date and time. A clerk will act as the administrative support to the Chair and take minutes of the open session Panel. The clerk will send the final Panel papers to panellists and other attendees (including the complainant) as soon as these have been agreed by the Chair and no later than five working days before the date of the Panel. If any other written material is submitted for consideration by the Panel outside of these timescales, it will usually be at the Chair s discretion whether it is accepted. The complainant can be asked to provide written grounds in advance of the meeting if their points of complaint or reasons are unclear (with assistance offered such as advocacy if needed). This could include asking what their desired outcomes are to assist in resolving the complaint. The witnesses (such as the Chair of the original Conference) should be given a copy so that they know what to prepare for. The Panel should take place in a suitable venue. Considerations include space, comfortable seating, access, temperature, privacy, soundproofing, disability access, interpreters, security, need for a risk assessment etc. The Chair should ensure Panel members are clear what is expected. The Chair of the Panel has the discretion if they want to ask for additional information in advance, if this would prove helpful such as a summary of from the Chair of the Conference of their understanding. 7.5 Attendance at the Panel The Chair will invite the following to attend the Panel: the complainant, together with an appropriate supporter or advocate if they want such a person with them, in order to explain his or her reasons for making the complaint and to make further representations if he or she so wishes. Details must be given to the Chair prior to the Panel; the Conference Chair; any other specialist advisers the Chair identifies, as necessary. The Panel Chair has the authority to co-opt other professionals, where specialist advice is needed. 7.6 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 in three parts: pre-meeting; presentations and deliberation. 7

7.7 Panel pre-meeting This is an opportunity for the panellists and their administrative support 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 pre-meeting. 7.8 Presentations to the Panel The complainant and Conference Chair will be invited to present their views to the Panel which will then ask questions and each party may ask questions of the other party via the Chair. The complainant and the Conference Chair will then leave for the Panel to make their decision. It helps to address each point of complaint in turn. 7.9 Deliberations and findings The Panel will base its decision on the attendee submissions, the Conference report/minutes, the Panel papers, together with any relevant protocols and procedures and any other documentation considered relevant by the Panel. The 3 person Panel may make one or more of the following decisions based on a majority decision: to conclude that the Conference procedures were followed correctly and support the original decision; to recommend that the Conference be reconvened with the same or a different Conference Chair to reconsider the previous decision regarding the protection plan and/or reconsider the decisions of the meeting; to decide that they have insufficient information to make a decision and set out a timescale for completing the task and set a date for a further hearing of the Final Review Panel; to make recommendations for future practice. The Panel should deliberate on each point of complaint in turn. The Panel Chair will ensure that a clear record is made of the proceedings, decision and the reasons for the decision. Where the decision is that the Conference should be reconvened, a written statement of the reasons will be available to all Conference members. 7.10 After the Panel The outcome of the Panel meeting will be sent within 12 working days of the Panel, to the complainant, or LSCB Professional Adviser as applicable, the relevant Head of Service, the social worker or Keyworker and the Chair who chaired the Conference, who will ensure that a copy is circulated to all those who were sent minutes of the original Conference. Where the Panel feels it is appropriate (for example significant concerns about the original decision are identified and the impact on the complainant is significant), they have the discretion to instruct that a Conference is reconvened before the report is finalised. Usually, the decision to re-convene a Conference, if that is the outcome, should wait for the finalised Panel report. The Clerk should produce the minutes within 2 working days to the Panel. The Panel should communicate any specific concerns and recommendations relating to practice or procedure 8

on the part of any Local Safeguarding Board partner agency to the relevant Board member and to the Board Chair. Learning will go to the Main Board and Training sub group if necessary, and the number of complaints will be recorded in the LSCB annual report. 8. Discretionary reconvened Conference after Final Review Panel The Conference Chair of the reconvened Conference must ensure that all those present have seen in advance the Final Review Panel decision, the Panel's written statement of reasons for the decision and any recommendations made by the Panel. The Conference should again consider, taking fully into account any recommendation made, whether the criteria for a Protection Plan are met. The Conference Chair should notify the outcome of the reconvened Conference to the Final Review Panel Chair. 9.The Ombudsman A complainant who continues to be dissatisfied with the outcome of the process may wish to pursue their grievance via the Local Government Ombudsman or seek legal advice regarding seeking a judicial review. The Ombudsman s normal policy is not to consider a complaint until this procedure has been exhausted. The Ombudsman considers maladministration (procedural irregularities); the courts at judicial review can review the outcome. The Complaints Manager has the discretion to pass the complaint directly to the Final Review Panel or Ombudsman if the Chair of the Board authorises this. The Local Government Ombudsman PO Box 4771 Coventry CV4 0EH Call: 0300 061 0614 Fax: 024 7682 0001 http://www.lgo.org.uk/contactus/ - A complaint form is available on the website 9

Managing Complaints Procedure Introduction This procedure sets out how Achieving for Children will work with the London Borough of Richmond upon Thames (LBR) and the Royal Borough of Kingston upon Thames (RBK) to respond to complaints regarding services provided by Achieving for Children. Background and context to the complaints procedure Complaints are described as either statutory or corporate complaints. Statutory complaints are regulated by legislation. Complaints relating to children s social care, which includes children who have been assessed as being in need, Children Looked After, children leaving care, fostering and adoption services, must comply with the Children Act 1989. The complaints procedure set out in the Act involves a three stage process with prescribed timescales which all local authorities must follow. Corporate complaints cover all the services that Achieving for Children provides outside of social care. The Corporate process is not statutory and should be used for all non-children Act complaints. The Local Government Act 1974 governs how complaints are dealt with by the Local Government Ombudsman (LGO) if a complainant is dissatisfied with the outcome of a corporate complaint. A complaint is a simple way for service users to voice their concerns. The complaint process provides Achieving for Children with valuable feedback about the quality of the services it provides. By effectively resolving a complaint and identifying any learning, we can improve our services and increase the level of confidence service users and the wider community have in Achieving for Children. Aims of the procedure The procedure aims to clarify the processes for managing and responding to statutory and corporate complaints within appropriate timescales. Objectives of the procedure To ensure that employees understand what the process is for dealing with complaints made about Achieving for Children s services. Complaints procedures 10

What can be complained about? Generally, anything that concerns or involves the actions, decisions or apparent failings of Achieving for Children can be complained about. Complaints concerning services provided on behalf of Achieving for Children either by third party providers or under integrated service arrangements should be considered under this procedure, unless other arrangements have been agreed and are stipulated in a contract. How can a complaint be made? The complaints procedure should be accessible to everyone. People can complain in person, in writing, by telephone, or by sending an email. Complaints can also be made through a representative, such as a friend or advocate. If necessary, arrangements should be made for individuals to make a complaint in a format that is accessible to them: for example, braille, spoken word, or in another language. If a service user complains by phone or in person, it is not necessary to ask them to put their complaint in writing. You should offer to take their details and note down the relevant points of the complaint on their behalf. Complaints made on behalf of service users by or through other individuals or organisations, such as the Citizens Advice Bureau, must be dealt with through this complaints procedure. It is important to establish that the representative has the authority to act on behalf of the complainant. If a child or young person wishes to make a complaint, it is important that they are fully supported to make their complaint. This includes making available the services of an advocate or advocacy service to help them voice their concerns. Achieving for Children has a contract with the professional advocacy service, VOICE, specifically for this purpose. Receiving and recording a complaint All complaints received by Achieving for Children employees regardless of what form they are received in should be forwarded, within two working days, to the relevant Council s Complaints Officer to be recorded and appropriate response initiated. London Borough of Richmond upon Thames Tony Earl Corporate Complaints and Access to Information Manager Community Engagement and Accountability Team Adult and Community Services 3rd Floor Civic Centre 44 York Street Twickenham 11

TW1 3BZ 020 8 891 7937 t.earl@richmond.gov.uk Royal Borough of Kingston upon Thames Karen Fenwick Complaints and Information Access Officer Adult and Children s Social Care Royal Borough of Kingston Strategic Business - Guildhall Kingston KT1 1EU 020 8547 4716 karen.fenwick@kingston.gov.uk The Complaints Officer will record the complaint, determine whether the complaint is statutory or corporate in nature and initiate the appropriate procedure. The Complaints Officer will agree a lead officer within Achieving for Children to answer the complaint within the appropriate timescales (statutory or otherwise) and will assist in any attempts to find an alternative resolution. All communication with the complainant at all stages of the statutory complaints procedure will be dealt with by the Complaints Officer. The Complaints Officer will act as the main contact with the complainant, keeping them informed and updated on the progress of their complaint until the response is finalised by the relevant service. All communication with the complainant at Stage 1 of the corporate complaints procedure will be dealt with by the allocated officer within Achieving for Children, and should be copied to the Complaints Officer. All communications with the complainant at Stage 2 of the corporate complaints procedure will be managed by the Complaints Officer. The Complaints Officer will act as the main contact with the complainant, keeping them informed and updated on the progress of their complaint until the response is finalised by the relevant service. Where a complaint involves more than one service area the relevant Complaints Officer will, in liaison with senior officers, decide whether it is possible to provide a single, co-ordinated response. The same complaint cannot be made more than once by the same person if it has already been through all stages of the complaints procedure. If in doubt, officers should contact the relevant Complaints Officer for advice. 12

The Complaints Officer will follow up late responses with the Director or Associate Director of the service being complained about. Outlined in Figure 1 is a flowchart showing how complaints should be treated dependent on which organisation acts as the first point of contact. Complaint received by Royal Borough of Kingston upon Thames Complaint received by Achieving for Children Complaint received by London Borough of Richmond upon Thames Was the complaint generated in Kingston? Was the complaint generated in Richmond? Yes Yes Complaint sent to Kingston Complaints Officer to be classified as Statutory or Corporate No Complaint sent to Richmond Complaints Team to be classified as Statutory or Corporate Statutory Complaint Corporate Complaint Statutory Complaint Corporate Complaint Follow Kingston Statutory Complaint Procedure Follow Kingston Corporate Complaint Procedure Follow Richmond Statutory Complaint Procedure Follow Richmond Corporate Complaint Procedure Figure 1: Flow chart presenting the initial steps of the complaints procedure Responding to a corporate complaint Achieving for Children will adhere to corporate complaint procedures applied in Kingston and Richmond. Both Councils apply a two stage procedure to respond to corporate complaints. Included below is a description of the general approach applied at both councils. The timeframes for the completion of each stage are included in Table 1. At Stage 1, the complaint is dealt with by an officer from the service under investigation. This officer must not have been implicated in the complaint. If the complainant is not satisfied with the response at Stage 1, he or she has the opportunity to progress their complaint to Stage 2 of the Corporate Complaint Procedure. If Achieving for Children receives a request that the complainant wishes to proceed to Stage 2 of the procedure, they must inform the relevant council s Complaints Officer within two working days. The Complaints Officer will communicate with the complainant and the officer 13

conducting the investigation about the complaints process, and will also keep the complainant updated on progress. Stage 2 of the complaints procedure involves a review of the Stage 1 response and a full investigation of all issues by an independent Investigating Officer (IO). Where appropriate the Investigating Officer will meet with the complainant. A second officer acts as an Independent Person (IP), reviewing the investigation and response. Usually, the Head of Service in Achieving for Children responsible for the service under investigation will act as the Investigating Officer. The Independent Person will be a member of the Complaints Team or a manager from another service area. The Director or Associate Director responsible for the service under investigation will send a letter, based on the findings of the Investigating Officer and Independent Person. The letter must be reviewed by the relevant Council s Complaints Officer if they have not taken on the role of Independent Person. Stage 2 is the final stage in the corporate complaints procedure for both Councils before the complainant has the opportunity to complain to the Local Government Ombudsman. The Corporate Complaints Procedure applied at each Council can be accessed on the Achieving for Children website at www.achievingforchildren.org.uk All Corporate complaint requests must be responded to within the following timescales. Table 1 Timeframes for the completion of Stage One and Stage Two of Corporate Complaints procedures applied at Richmond and Kingston London Borough of Richmond Upon Thames Corporate complaints Stage One Response must take no more Local than 15 working days. Resolution Stage Two Investigation Response must take no more than 25 working days. Royal Borough of Kingston Upon Thames Corporate complaints Stage One Response must take no more Local than 10 working days. Resolution Stage Two Investigation Response must take no more than 25 working days. Responding to a statutory complaint Achieving for Children will adhere to the Councils Statutory Complaint Procedures. Where Achieving for Children receives a request that a complainant wishes to proceed to further stages of the Statutory Complaints Procedure, the Complaints Officer must be informed within two working days. Stage 1 At Stage 1, the complaint is dealt with by an officer from the department under investigation. This officer must not implicated in the complaint. Stage 1 should be completed within 10 working days although an extension is permitted where a complete response cannot be provided, or the complaint is complex, in which case it can implement a further 10 day extension. 14

In cases where the complainant has requested an advocate, Stage 1 may be suspended until an advocate has been appointed, provided that this suspension does not last more than 10 working days. The total maximum amount of time available to respond to a Stage 1 complaint is 20 working days. The complainant has the right to move on to Stage 2 of the statutory complaints procedure if the timescale for Stage 1 has elapsed without a response. Stage 2 The Complaints Officer appoints an external Investigating Officer from a pool of experienced independent consultants with a background in children s social care work. An external Independent Person is also appointed to work alongside the Investigating Officer to ensure the needs of the child or children involved in the complaint are kept as the main focus of the investigation. If the complaint is submitted in writing Stage 2 commences either when the complainant requests it or when the complainant and the local authority have agreed that Stage 1 is not appropriate. If the complaint is made orally Stage 2 commences from the date on which the complaint is finalised in writing by the Complaints Officer. The Stage 2 investigation should be completed and the response sent to the complainant within 25 working days from the date on which Stage 2 commenced. Where it is not possible to complete the investigation in 25 working days the timescale may be extended to a maximum of 65 working days. All extensions should be agreed by the Complaints Team in liaison with the Head of the Service being investigated and if possible the complaint. Possible reasons for an extension might include: Where the complainant 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; or If a key witness is unavailable for part of the time. The Investigating Officer and Independent Person will meet with the complainant to agree on a Statement of Complaint. The Complaints Officer must agree to the content of the Statement of Complaint before it is signed and dated by the complainant. The complainant should be kept updated on progress throughout the Stage 2 investigation. When the investigation is complete, the Investigating Officer produces a report presenting their findings, which should include recommendations outlining what the service could do to rectify things, or to improve the service in the future. The Independent Person also produces a report, albeit a much shorter one, which states whether they agree or disagree with the Investigating Officer s findings. Both reports are submitted to the Director of Children s Services. The Director of Children s Services then writes an Adjudication Letter, which is sent to the complainant with the reports produced by the Investigating Officer and Independent Person. If the complainant is still dissatisfied following the completion of Stage 2 of the Statutory Complaints Procedure, they can, within 20 working days, request further consideration of 15

their complaint at Stage 3 of the Statutory Complaints Procedure. The Complaints Officer will offer the complainant an adjudication meeting, or a meeting with other senior officers to see whether any outstanding issues can be resolved before proceeding to Stage 3. Stage 3 Stage 3 is the final stage of the Statutory Complaints Procedure and involves a panel of three independent people: a Chair and two panellists recruited by the Complaints Officer from a pool of independent consultants. Others expected to attend the panel are the complainant and their representative, the Investigating Officer, the Independent Person a senior representative from Achieving for Children, the Council Complaints Officer, and an individual appointed as Clerk to the Panel. The Review Panel must be held within 30 working days of the receipt of a request to proceed to Stage 3. The Review Panel must produce a written report containing a brief summary of the complaints reviewed and their recommendations for a resolution. In all cases the Director of Children s Services will respond to Stage 3 Review Panel reports. This will take the form of a written response to the complainant regarding the conclusions reached by the Review Panel. The Complaints Officer will consider requests for a Review Panel on a case by case basis and appoint a Chair and two panellists. At the discretion of the Complaints Officer, and with the agreement of the complainant, it is possible to refer a complaint as an early referral to the Local Government Ombudsman. The complainant must be advised of their right to refer complaints (if still dissatisfied) to the Local Government Ombudsman at the end of the complaint process. The Statutory Complaints Procedure applied at each Council can be accessed on the Achieving for Children website at www.achievingforchildren.org.uk Local Government Ombudsman If a satisfactory resolution cannot be reached through the complaints procedures, the Local Government Ombudsman (LGO) can investigate the complaint to see if Achieving for Children has acted unfairly and/or the person has been caused an injustice. Complaints can be made to the LGO at any time, but the LGO would normally expect complainants to complete all stages of a local complaints procedure before looking at a complaint. Reporting The Complaints Officers are responsible for reporting to Achieving for Children and the Lead Commissioners for the Councils on a quarterly basis on the progress and outcomes of all statutory and corporate complaints. Roles and Responsibilities All employees Completing any paperwork to capture complaints on behalf of complainants. 16

Referring complaints received to the relevant Complaints Officer. Assisting in investigations of corporate and statutory complaints. Council Complaints Officer Head of Strategy and Programmes Performance Manager Achieving for Children Board Achieving for Children Chief Executive Officer Ensuring the appropriate complaint procedure is initiated and the relevant timeframes are met. Assisting officers in their investigations of corporate and statutory complaints. Assisting Achieving for Children employees with enquires relating to complaints. Communicating with the complainant on matters regarding the progress of complaint responses. Referring complaints to an appropriate lead officer within Achieving for Children. Providing information on the number and type of complaints received when requested. Reporting quarterly on the progress and outcomes of complaints to Achieving for Children and the Councils Lead Commissioners. Recruiting IOs and IPs at Stage 2 and Review Panel members at Stage 3 of the complaints procedures. Assisting Achieving for Children employees in their investigations of corporate and statutory complaints. Assisting the Complaints Officer with general enquires. Including data on complaints in routine performance reporting mechanisms to the Senior Leadership Team and the Board of Directors. Reviewing reports on complaints received and taking appropriate action. Reviewing reports on complaints to inform service improvement. Review of this procedure This procedure will be reviewed in July 2015 to judge its effectiveness, or updated sooner in accordance with changes in legislation. Date created Signed by: 17

Equality Analysis completed (yes/no): 18