COMPLIMENTS, COMMENTS, COMPLAINTS REGULATION 16 OF THE NEW FUNDAMENTAL STANDARDS OPERATIONAL SERVICES

Transcription

1 COMPLIMENTS, COMMENTS, COMPLAINTS REGULATION 16 OF THE NEW FUNDAMENTAL STANDARDS OPERATIONAL SERVICES Document Control Information Policy title Compliments, Comments and Complaints Number OPS36 Date November 2016 Version 03 Update Due November 2017 Classification UNCLASSIFIED Owner Head of Quality, Compliance and Performance

2 Policy Statement Optalis is committed to developing a culture that values customers and families, and promotes a strong partnership approach. In line with our Core Values, we aim to ensure open and honest 2-way communication with our customers, to always treat people with respect and provide the highest standard of customer service. We recognise that feedback of all kinds contributes towards our continuous development, as it provides an opportunity to learn and improve. This policy is also intended to ensure that Optalis acts in accordance with Regulation 16 of the Fundamental Standards Regulations. As a provider of Health and Social Care, it is necessary to have an effective and accessible system for identifying, receiving, handling and responding to complaints from people who use our services, people acting on their behalf or other stakeholders. The Policy The aim of this policy and accompanying procedure is to ensure that: Optalis provides an effective way for people to provide feedback about our services. Optalis employees know how to appropriately respond when someone provides feedback. All compliments, comments and complaints are captured. Complaints are dealt with consistently, fairly and proportionately. Complaints result in a positive outcome for the customer. Compliments and complaints are monitored and used to improve our services. Definitions This policy and procedure provides a mechanism for customers, families and people in our community with legitimate interest to provide feedback about Optalis services, whether that be good, bad or indifferent. A compliment is a positive statement of praise or recognition for an Optalis service or employee. A comment may be a personal opinion, request for information, general remark about Optalis and its services or suggestion about service improvement. A complaint is any expression of dissatisfaction about any aspect of Optalis and its services. Page 1

3 An individual may make a complaint if they feel we have: Failed to provide a service or an acceptable standard of service Delayed in providing a service Made a mistake in a way that we have provided a service Failed to act in a proper way. Provided an unfair service. Scope In the context of this policy, any legitimate person can make a compliment or comment about Optalis. However, it would only be acceptable for a direct recipient of our services, or a representative acting on their behalf, to make a complaint. Concerns held by Optalis employees fall outside of the Complaints Process, these should be raised via line-management or in line with the Optalis Whistle-Blowing Policy. The mechanisms to make a comment or compliment, as outlined in this policy, are available to Optalis employees. This links to the Optalis Reward and Recognition Policy. This policy only relates to compliments, comments or complaints received about Optalis and its services. When a complaint is made about one of our partner organisations, we may have a role in facilitating the complaint. This could be as simple as helping the individual get connected to the right person, team or service; in order for their concern to be dealt with. Ways to make a compliment, comment or complaint All Optalis employees have a responsibility to ensure the people we support and their representatives have the confidence and means to make compliments, comments and complaints. Information features on the Optalis website and posters will be displayed throughout Optalis services. Leaflets will also be made available to customers their families and other interested parties. Often the quickest and most effective way of passing on information is directly with the people involved in care giving or the manager of the service. We would therefore encourage customers and their representatives to take the direct approach, wherever possible. Optalis also provide alternative options, to ensure everyone can raise compliments, comments and complaints: Have your Say comment cards are widely available across Optalis and Feedback Boxes are located in all provider services. Page 2

4 Optalis have a dedicated mailbox: complaintsandcompliments@optalis.org The Customer Experience Champion operates Open Door sessions in services. Optalis have a range of social media accounts (including Twitter and Facebook). The Optalis website has a feedback form Social Media Social media, by its nature, encourages an open dialogue between Optalis and members of the public. All accounts are monitored daily by the Communications Manager. Specific compliments, comments and complaints will be logged accordingly. Any conversation resulting in negative feedback or divulging personal information will be diverted off of the public platform Data Protection Information will be held and processed in line with the principles of the Data Protection Act Any data reporting will be for the purposes of continuous development, and individuals will not be identified. If the person making contact with Optalis is not a customer, but acting on behalf of one of our customers, is it is important to check that the subject of the complaint knows about this. In order not to breach data protection, any matters relating to an individual s care and support cannot be shared without their consent. This does not mean that the matters raised cannot be investigated, but means that Optalis response should not divulge any personal information about the customer. Mental Capacity and Advocacy Every effort must be made to ensure that the complaints process is accessible to all customers regardless of their particular access needs or capacity. Where the complainant is a representative of a customer who lacks capacity, Optalis will take reasonable steps to ensure the complainant is an appropriate person to act on the person s behalf. If there is any concern about the complainant s motive and a judgement is made that it is not in the best interest of the customer; the complaint will be diverted out of the Complaints Process and advice sought from a professional (e.g. social worker). Where a person may benefit from Advocacy support to progress their complaint, they should be provided with information about local advocacy services. Page 3

5 Safeguarding Optalis has systems and processes in place to promote the safeguarding of our Customers. It is important that when a complaint is received, consideration is given to whether it meets the Safeguarding Adults threshold. This must be done in a timely manner and in line with the Optalis Adult Safeguarding Policy. A complaint investigation can run in parallel with the safeguarding investigation, providing it would not compromise the safeguarding investigation in any way. Duty of Candour Optalis recognises its regulatory and moral duty to operate in an open and honest manner, to tell customers when things have gone wrong, to apologise and to try and put things right. This duty exists regardless of whether a complaint has been made or questions raised. See Optalis Duty of Candour Policy for more information. Anonymous Complaints Anonymous complaints can help identify quality and performance issues in the service or by an individual. Optalis will seek to investigate anonymous complaints thoroughly and without prejudice where it is possible to do so. Unacceptable Behaviour The actions of complainants who are angry or frustrated may result in unreasonable demands or unacceptable behaviour towards Optalis colleagues. Failure to engage with Optalis colleagues in an appropriate manner may include, but not restricted to, using unacceptable language or threatening and abusive behaviour. These actions should not be tolerated, but all complaints must be given equal consideration and investigated. Persistent and Unreasonable Complainants Persistent and unreasonable complainants are those that raise the same or similar issues repeatedly, despite receiving a full response of the issues they have raised. Optalis expects this to be a very rare occurrence. A judgement about whether a complainant s behaviour is persistent or unreasonable can only be taken by an Optalis Director. If the complainant is deemed to be persistent or unreasonable, then appropriate action may be taken (e.g. restrict the frequency and mode of contact). Page 4

6 Monitoring and Quality Assurance The Customer Experience Champion is responsible for ensuring standards set out in this policy and procedure are upheld. The Customer Experience Champion will follow up with the complainant when a complaint has been closed down, to check that they were satisfied with the handling of the complaint and the outcome. A yearly audit will take place to include: Compliance with agreed timescales Quality of investigations and responses Implementation of actions arising from complaints Learning and Continuous Development Optalis supports a culture of continued learning from customer feedback. Feedback and trends will be used to inform service improvement and development. Headlines and data about compliments, comments and complaints will be reported on monthly, at the Care Governance Committee. A detailed report will also be given to the Optalis Board, at 6-monthly intervals. Reports will include the number of comments, compliments, complaints received within the time period, a summary of the subject matter, actions taken and lessons learned. Appeal If a complainant is dissatisfied with the outcome, the complaint will be escalated internally in the first instance. The investigating manager must forward any requests for appeal to a Director. This process of escalation involves a review of the evidence, including details of the complaint and response provided. If following an internal review of the complaint, the complainant remains dissatisfied with the outcome they should be referred to the Local Government Ombudsman (LGO). The LGO is responsible for investigating complaints about adult social care services. Page 5

7 Training All Optalis employees should be aware of the Comments, Compliments and Complaints Policy and Procedure. The policy will be published on the Optalis Staff Intranet. A Complaints Handling Information prompt sheet is displayed in all staff rooms/areas. Complaints handling features in the Staff Induction Pack, which is covered in frontline staff induction training (Day 1). Complaints management training is offered to Service Managers and Senior staff. Advice, guidance or bespoke training can be arranged via the Customer Experience Champion. Page 6

8 Compliments, Comments and Complaints Procedure 1. Acknowledging a compliment, comment or complaint A compliment, comment or complaint may be communicated verbally, electronically or in writing. All complaints must receive an initial acknowledgement within 2 working days or sooner, if possible. All communication should be in writing, unless a preferred method of communication has been specified. Unless specifically requested, it is not necessary to acknowledge all compliments and comments received. Colleagues are to apply a judgement as to whether this is required. When a complaint is received by , the complaint should be acknowledged along with a request for the sender s postal address. Whilst we understand the need for people to communicate by , to ensure security of information, Optalis must positively identify the named individual and address. Verbal complaints will be acknowledged with a written record of the conversation sent to the complainant. The complainant will be asked to confirm if the record clearly captures their concerns and if they wish to add or amend any of the detail. 2. Recording and reporting a comment, compliment or complaint The colleague who receives the comment, compliment or complaint has a responsibility to record and report it. All comments, compliments and complaints should be recorded. Each service may keep their own record for monitoring purposes. Copies should also be sent to complaintsandcompliments@optalis.org to ensure that information can be logged centrally. All complaints should be reported to the relevant Service Manager, Heads of Service and Customer Experience Champion. Where possible, efforts should be made to resolve concerns or issues at the time that they are raised. When this has happened, the concern together with any actions taken must still be reported. Page 7

9 If the recipient of the complaint or their manager judges the subject of the complaint to be a HR issue, for example, a concern about the conduct of a member of staff. The matter should be reported to the HR Director. A HR investigation may run in parallel with the complaints investigation. The nominated manager must continue to liaise with HR as the complaints investigation progresses. Similarly, if the nature of complaint is deemed to meet the safeguarding threshold, due process must be followed in the context of Berkshire s Multi-Agency Adult Safeguarding Adults Procedure. A complaint investigation can run in parallel with the safeguarding investigation, providing it would not compromise the safeguarding investigation in any way. 3. Investigating and responding to a complaint In most cases the complaint investigation is carried out by the relevant Service Manager. All investigations should be completed within 10 working days; 20 working days for complex and serious complaints. The complainant should be kept informed about the progress of the investigation. This is especially important when the agreed timeframes cannot be achieved. All developments should be logged, via: complaintsandcompliments@optalis.org. The conclusion of the investigation, together with any recommendations for action should be set out in a letter to the complainant. In all written correspondence Optalis will endeavour to use Plain English and to present information in a way that supports the access needs of the customer. A copy of the correspondence should be sent to complaintsandcompliments@optalis.org. The nominated manager should notify complaintsandcompliments@optalis.org when they have closed down a complaint. Page 8

10 APPENDIX 1: Complaints Process CUSTOMER COMPLAINT (Letter, , telephone call or face to face contact) STAGE 1 Local resolution usually, but not always, by the person or line manager already dealing with the customer. Forward details of complaint to complimentsandcomplaints@optalis.org for logging and monitoring If the customer cannot be satisfied there and then, pass to the relevant Service Manager and/or Head of Service STAGE 2 Investigation led by nominated manager. Investigations to be concluded within 10 working days (20 working days for complex matters). If the customer is not satisfied, escalate to Stage 3 STAGE 3 Review led by Optalis Director. Review to be concluded within 10 working days of receipt of appeal. Customer Experience Champion to follow up with complainant within 3 months, to enquire whether complaint was resolved to their satisfaction. Complaint closed Customer advised of their right to refer to the Local Government Ombudsman If the customer remains dissatisfied after exhausting Optalis Complaints Page Process 9