1. Training for Local Authorities
Effective Complaint Handling in Adult Social Care

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

3. 2017 – 2018 investigations received 17,452 complaints and enquiries
carried out 4020 detailed investigations‒ and published our decisions about them online
upheld 57% of complaints against local authorities where we carried out a detailed investigation
made 3622 recommendations to put things right
(LGSCO’s Annual Review of Local Government Complaints )

4. What kind of complaints?
Complaints and enquiries received,

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

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

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

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

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

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

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

12. Evaluating information
> reliable
> relevant
> important

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

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

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

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

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

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

19. Ombudsman training team