Process for statutory complaints
Complaints about social care services are covered by a three-stage statutory complaints process. This is set out in The Children Act 1989 Representations Procedure (England) Regulations 2006 and supported by statutory guidance in Getting the best from complaints. Parts of the Ombudsman’s factsheet on social care complaints are also replicated in this route.
Stage 1 - Local resolution
1. We will acknowledge your complaint within three working days. We aim to respond in full within 10 working days. If we need more time, we will let you know why and give a revised target date for your response.
2. If we are unable to respond within 20 working days, we will explain why and ask you to agree to a further extension. You are not obliged to agree to an extension. You have the right to ask that your complaint is escalated directly to Stage 2. However, as this process can take over 12 weeks, we would ask you to carefully consider a request to escalate on these grounds.
3. Once the investigation is complete, we will send you a written response. This will explain what we found and whether your complaint has been upheld or not. We will let you know what you can do next and your escalation rights. For this type of complaint, it will be to Stage 2 of the statutory process set out below. From the date the Stage 1 letter is sent, you have 20 working days to request that your complaint is escalated.
4. Detailed guidance on the Stage 2 process will be provided to you at the point your escalated complaint is accepted.
Stage 2: Formal investigation
5. Most complaints are resolved at Stage 1. Where we have been unable to reach a resolution, you can request that your complaint is formally investigated at Stage 2 of the statutory process. We will acknowledge receipt of your escalation request within three working days. We will ask you to set out the issues that remain outstanding and what outcome you would like if you have not already done so. If we can deliver the outcome you have asked for, we will let you know.
6. If we cannot deliver the outcome you have asked for or do not accept that there has been a fault, a formal investigation will start. We will appoint an Investigating Officer (IO) to undertake the investigation into your complaint. This person may be a member of East Sussex staff who has not dealt with your case previously. But in most cases, it will be an external contractor. We will also appoint an Independent Person (IP) who will always be independent of East Sussex County Council. Their role is to bring further independence to the process and accompany the IO during the investigation.
7. The IO and IP will meet with you to discuss your complaint and agree a formal Statement of Complaint (SoC). This is the main document used for the investigation. They will ask you to confirm that you are happy with what is written in the statement.
9. Once the SoC is agreed, the 25-working day timescale will start, and the IO will carry out their investigation. They will take evidence from you; interview members of staff involved in the complaint and raise enquiries with the Council. They will also have access to all relevant case files to allow for a full and thorough investigation.
10. In many cases, 25 working days is insufficient to carry out the investigation. An extension up to 65 working days may be agreed by the Customer Relations Manager. You will always be kept informed of this and advised when you can expect the investigation to be completed.
11. Once the investigation is completed the IO will report to the relevant senior manager with their findings. This report will say whether your complaint has been upheld, partially upheld or not upheld. The report will also set out any recommendations that the IO thinks should be taken forward by the department. The IP will provide their own written report. This comments on the independence and the progress of the investigation.
12. Both the IO and IP reports are sent to the assigned Complaints Officer for quality assurance. The Complaints Officer will highlight any spelling or formatting issues. They also check that no confidential third-party information is in the report. They then send the draft reports back to the IO and IP for them to review and sign off as complete.
13. Once the final signed reports are received, the adjudication process starts. The senior manager will review the reports and write to you with their response to the investigation reports which will also be sent to you. This adjudication letter will state whether the senior manager agrees with the findings and if so, what actions will be taken to put things right.
14. The adjudication letter may invite you to a meeting to discuss the outcomes in more detail. If you choose to accept this offer, your right to escalate is protected until 20 working days after the meeting or final mediation session.
15. You will receive detailed guidance on the Stage 3 process at the point we accept the escalation request.
Stage 3: Independent review panel
16. If you remain unhappy after receiving the adjudication letter, you have the right to request an independent review panel. This is to consider the adequacy of the Stage 2 investigation and to try and reach a resolution. This request must be received within 20 working days of the adjudication letter or the final meeting of any mediation process.
17. In some limited cases we may ask if you would like to escalate your complaint directly to the Ombudsman. This must be done with your agreement. It will only usually be offered where the Stage 2 investigation upheld all aspects of the complaint and at adjudication the Council agreed, set out a clear action plan to any recommendations and met the requested outcomes.
18. If the above does not apply, we will acknowledge receipt of your request within two working days. We will ask for you to confirm your availability to attend a review panel meeting. We will then commission an independent panel. This is made up of three qualified people who are not employees of East Sussex County Council, with one person appointed as Chair. We will aim for the review panel to take place within 30 working days of receiving your request. In some cases, this may not be possible, for example, if a key person is unavailable. But we will always aim to arrange the review panel as quickly as possible. The panel may be held virtually by video conferencing or at one of our buildings in East Sussex.
19. Ahead of the panel, the Complaints Officer assigned to your case will share the relevant documents from Stages 1 and 2 with everyone attending the panel. This is usually in the form of a document bundle containing correspondence and reports from these two stages. You should send any information you would like to pre-submit to the panel at least 15 working days ahead of the panel meeting. This can then be circulated in plenty of time. You should also confirm at this point whether you will be bringing a supporter with you to the panel and provide their contact details.
20. On the day of the panel the Chair will be responsible for running the meeting. They will call on the various parties in attendance to give evidence and address the panel in the open session. The proceedings are usually audio recorded to help with the production of the minutes from the meeting. Consent will always be sought, and the recording will be deleted once the minutes have been typed. Attendees wishing to create their own audio record of the meeting will need the consent of all those attending. Permission to video record the meeting is at the sole discretion of the chair.
21. 14.4.21 The usual review panel attendees are:
- 1 x Panel Chair
- 2 x Panel Members
- The complainant
- The complainant’s named supporter (optional)
- The Investigating Officer from Stage 2
- The Independent Person from Stage 2
- The Senior Manager from Stage 2
- The Customer Relations Manager
- The Clerk for minute-taking
22. At the end of the open session, the Chair and Panel Members will go into a closed session to deliberate the complaint and agree on their draft findings. The Customer Relations Manager and Clerk may also be in attendance. They will only be there in an advisory capacity to share details from the draft minutes.
23. At the end of the closed session, the Chair will produce a written report of the panel findings. They will send this to you directly within 5 working days. The report is also shared with the Director of Children’s Services who will write to you within 15 working days to give their response to the panel findings. This letter will state whether they agree with the recommendations and set out what actions, if any, will be taken as a result. The Director’s letter represents the final response on behalf of the council and will include your escalation rights to the Ombudsman.
Stage 2 and 3 timescales when contact is not maintained
24. Once a complaint at Stage 2 or 3 has been accepted, we will move as quickly as possible through the process to ensure a swift outcome is reached. It is also important that you as the complainant do not unduly delay your involvement in the process.
25. If we contact you for information relating to your Stage 2 or 3 complaint, and more than 20 working days pass without a substantive reply, we will consider that you no longer wish to proceed with your complaint. We will make a reasonable attempt to contact you during the above time to encourage you to engage and make you aware of the deadline for doing so.
26. If we do not hear from you, we will withdraw your escalation request and close your complaint. We will write to you and advise you of your escalation options, this will usually be to the Ombudsman.
27. Any request to continue a withdrawn complaint out of time will need to be supported by evidence showing exceptional circumstances prevented you from contacting us.
28. The above provisions are in line with section 3.8.6 of Getting the Best from Complaints and Regulation 18(2) of The Children Act 1989 Representations Procedure (England) Regulations 2006.