Wrexham County Borough Council s5
WREXHAM COUNTY BOROUGH COUNCIL
SOCIAL SERVICES FOR ADULTS
SAFEGUARDING & SUPPORT (Children & Young People’s Unit)
COMPLAINTS PROCEDURES
ANNUAL REPORT
1 April 2005 – 31 March 2006
PURPOSE OF THE REPORT
The purpose of this report is to provide an overview of the operation of the Representation and Complaints Procedures during 2005/2006.
1. Information
The Social Services Department operates two separate Complaints procedures; one for Adult Services and one for Child & Family Services. In addition, where complaints fall outside the statutory Social Services Procedures, they are dealt with under the Council’s Corporate Procedures. The Customer Services Manager, who is based within the Performance Assurance Unit, oversees the procedures. This report covers only Representations and Complaints made under the Social Services Procedures.
2. The Social Services Department’s Complaints Procedure
2.1 Wrexham Social Services operates a complaint procedure that complies with the requirements of the NHS & Community Care Act 1990 and the Children Act 1989.
2.2 The existence of an effective complaint procedure is an essential dimension to any work undertaken by the Social Services Department. It is designed to enable clients to make comments and compliments about services, as well as complaints. It is important to have an accessible system for redress if service users feel they are being treated unfairly. However, the Department also recognises that service users who are dissatisfied do not always want to complain but they may wish to make comments about the service that they receive.
2.3 The Council is also committed to improving customer care and uses the valuable information provided in the form of compliments, comments, complaints, questions and suggestions to aid the future planning and delivery of services.
2.4 The complaints procedures are widely publicised through leaflets which are given to all people receiving a service from the Department, and which are available in a range of formats, eg: large print and audio tape.
2.5 In line with government guidance, the Social Services Complaints Procedure has three stages and lays strong emphasis on the resolution of complaints at the earliest possible opportunity.
2.6 The Social Services Charging Policy allows for service users to apply for their charges to be reduced or waived. Their applications are processed at the equivalent of the Formal (second) Stage of the complaint procedure, allowing people whose request has been refused to take the matter to the Review (third) stage of the complaint procedure.
3. Stage 1 – Local Problem Solving
The service user is provided with the opportunity to voice their concerns, with the emphasis being placed upon local resolution and as quickly as possible. The aim is to achieve resolution through clarification, conciliation and problem solving.
4. Stage 2 – Formal Investigation
Where complaints cannot be resolved locally, a formal complaint may be registered. In this case a detailed investigation of all of the complainant’s concerns takes place. A report of the investigation is produced which is made available to the complainant and any staff that are involved in the complaint. The report is the basis for a formal response to the complainant from the appropriate Assistant Chief Social Services Officer, which will outline any action that will be taken.
5. Stage 3 – Review Panel
If a complainant remains dissatisfied with the Department’s response following a formal investigation, they can request that the matter be referred to a Complaints Review Panel. The Panel reports its findings to the Chief Social Services Officer who makes a response to the complainant outlining any new action, which may have been recommended.
6. STATISTICAL INFORMATION
6.1 Representations 2005/2006
The following representations were received by the department:
Number of Representations received during2005/2006 / 2004/2005
Complaints / 114 / 91
Compliments / 59 / 102
Comments/Concerns/Enquiries / 19 / 27
Waiver of Charges / 21 / 13
Complaints re Independent Providers / 9
Compensation / 2
Record of Communication / 47
TOTAL / 271 / 233
6.2 Comparison to previous reporting periods are as follows:
Year / Complaints / Compliments / Comments/Concerns / Waiver of
Charges
2002/2003 / 64 / 61 / 3 / 16
2003/2004 / 80 / 71 / 13 / 6
2004/2005 / 91 / 102 / 27 / 13
2005/2006 / 114 / 59 / 19 / 21
The comparison with previous reporting periods reflects a significant increase in the total number of representations recorded. This is attributable to a more proactive approach by staff in recording and feeding information back to the Customer Services Manager for reporting purposes.
However, compliments have decreased considerably and this appears to be due to complacency amongst staff who are accepting the compliments but are not forwarding them on to be logged.
6.3 Complaints received have been dealt with at the following stages:
Year / Received atStage One
(Informal) / Escalated to
Stage Two
(Formal) / Received at
Stage Two
(Formal)
2002/2003 / 53 / 4 / 11
2003/2004 / 78 / 6 / 2
2004/2005 / 86 / 2 / 5
2005/2006 / 107 / 12 / 5
6.4 If complainants are not happy that their complaint has been resolved at Stage One of the procedures, they can request that the matter be escalated to the Formal Stage. The above figures show that 89% of complaints received at Stage One were resolved with no requirement for them to be escalated. Although the number of complaints escalated to Stage Two has increased, this figure still reflects the department’s flexible attitude and their willingness to revisit decisions in an attempt to resolve complaints as close to the service delivery as possible.
7. STAGE ONE (LOCAL STAGE) COMPLAINTS
7.1 Adult Services
7.1.1 Reasons for Complaints & Key Issues
During the year, 72 complaints were received at the first stage of the procedures regarding Adult Services; this is an increase on last year’s figure of 60. The Department welcomes the increase as it reflects an awareness of service users and carers of their rights to complain and also a more proactive response by staff.
The following graphs highlights that the complaints were received regarding:
· Staff Issues
· Information
· Quality/Performance
· Service Provision
The graph is further broken down into elements of each reason for the complaints received.
7.1.2 Source of Complaints
The following graph highlights the reasons for complaints received and identifies the teams involved.
7.1.4 Outcomes of Complaints
Out of the 75 complaints dealt with at the first stage of the procedures:
· 44% received an apology from the Department along with an explanation.
· 13% required further action to be taken to reach resolution
· 35% required an explanation in order for them to understand fully the decision/action taken.
· 4% of complainants met with managers for further discussion in order to reach resolution
· 4% remain outstanding.
7.1.5 Response Times – Stage One (Adult Services)
As can be seen from the following graph:
· 77% of complaints were dealt with within time scales, 11% of which the letter of response was sent later. This is an improvement on the figure of 72% last year.
· The department failed to meet the deadlines in 22% of cases
· Three complaints remain outstanding.
The improvement in response times evidences a concerted effort by staff to deal with complaints at an early a stage as possible. However this must improve from 1 April 2006 as the new Social Services complaint procedures allow for only a 10 working day response time at the first stage.
7.2 Support Services (Adult Procedure)
At the request of Social Services Senior Management, complaints about Support Services are separately. However, they are recorded and monitored under the Adult Procedure.
Support Services include the following services:
· Administration
· Customer Liaison
· Financial Assessment
· Income Maximisation Unit
· Information Management Services
· Appointeeship & Finance
7.2.1 Reasons and Source of Complaints
· During the year, 8 complaints were received at the first stage of the procedures regarding Support Services, compared to 6 the previous year. The following graph outlines the reasons and the source of the complaints.
7.2.2 Key Issues
The above graph highlights the issue within Financial Assessment that records have been incorrect. In four of the five cases, the problem has arisen because information from care management has either not been passed to the Financial Assessment team or it has not reached them in a timely manner. Work is currently underway to improve the system of communication.
7.2.3 Outcomes of Complaints
In seven of the eight cases, a letter of apology and explanation was sent to the complainants. One complaint was escalated to the Formal stage when the complainant felt that she had received insufficient detail from the finance team and also that the complaint was taking too long to resolve.
7.2.4 Response Times – Stage One (Adult Services)
As the following graph shows:
· 71% of complaints were dealt with within timescales, as opposed to 100% last year.
· In 29% of cases, the department was responsible for the deadline of 20 working days not being met.
On comparing with other Local Authorities, Wrexham are one of the few Local Authorities who actually report and monitor the response times and of those others who do monitor, Wrexham response times compare favourably but as highlighted above we still need to improve.
7.3 Children & Young People Service – Safeguarding & Support Department
As a result of reorganisation within the Local Authority, the Child & Family Service within Social Services no longer exists as it is now the Safeguarding & Support Department within the Children & Young People Service. However, the Chief Social Services Officer retains the role of statutory director and complaints from children, young people, their families and carers continue to be dealt with by the Customer Services Manager within Social Services.
7.3.1 Reasons for Complaints & Key Issues
During the year, 26 complaints were received regarding Safeguarding & Support compared to 18 the previous year. The Department welcomes the increase as it reflects an awareness of both the complainants and staff of the importance of utilising the procedures for service improvement.
The following graph highlights that complaints were received regarding:
· Assessment
· Foster & Adoption
· Information
· Quality/Performance
· Service Provision
· Staff Issues
The graph is further broken down into elements of each reason for the complaints received.
7.3.2 Source of Complaints
The following graph highlights the reasons for the complaints received and the teams involved.
7.3.3 Outcome of Complaints
Of the 26 complaints received at the first stage of the procedures:
· 15% received an apology from the Department along with an explanation.
· In 77% cases an explanation was given by the Department in order to clarify fully the decision/action taken.
· 1 complaint did not receive a response and was therefore escalated to the second (Formal) stage of the procedures.
· 1 complaint was withdrawn when authority was not be obtained from the person being complained on behalf of.
7.3.4 Response Times – Stage One (Child & Family Services)
Up to 31.3.06, there was no designated first stage of the complaint procedures under the Children Act. However, Wrexham's procedures dictate that complaints at the first stage should be dealt with within 10 working days and a letter of response sent within the ten working day time scale.
As can be seen from the above graph, only 57% of complaints were dealt with within the timescales, compared to 78% in the previous year. Staff must be aware of the importance of responding to complaints within the timescales, particularly in light of the new legislation coming into effect on 1April 2006.
No complaints remain outstanding for the year 2005/2006.
7.3.5 Complaints Received Directly from Children & Young People
Only 2 out of the 26 complaints were received directly from children and young people who are looked after. No complaints were received from children who are in need.
As reported previously, this theme is common throughout Wales. However those Authorities that appoint Children’s Rights Officers do have an increased number of complaints from children and young people.
7.3.6 Monitoring of Complaints in Children’s Homes
All issues, complaints, suggestions raised by looked after children in the Authority’s children’s homes are logged within the home. The Customer Services Manager visits on a quarterly basis to gather the information and reports back to Senior Management. If complaints are not resolved to the young person’s satisfaction, they are able to use either the Social Services Procedure to progress the complaint.
8. STAGE TWO (FORMAL STAGE) COMPLAINTS
8.1 Adult Services
Nine complaints were dealt with at the second (Formal) stage of the Adult procedures.
· Of the nine, two were received directly at the second stage
· Seven were escalated from the first stage.
8.1.1 Reasons & Source of Complaints
The following graph highlights the reasons for the complaints and identifies the teams involved.
8.1.2 Outcomes of Complaints
In each of the cases the complaint was investigated independently of the team responsible for the case.
In six of the complaints either all or some of the elements of the complaint were upheld by the Investigating Officers. These decisions were accepted by the Head of Adult Services as were all the recommendations made.
8.1.3 Response Times
Of the eight complaints investigated:
· One complaint was responded to within the timescales (28 days)
· Six received responses within three months
· One complaint did not receive a response within three months