Complaints Policy

KATE’S HOME NURSING POLICY 43 : HANDLING COMPLAINTS

First issued: 31.03.13 Latest Revision: 7.3.2023 KP

A complaint is an expression of dissatisfaction about actions taken on behalf of the charity or a lack of action.

To register a concern or complaint, please read this policy then contact:

CEO – 07540898143

Clinical Manager – 07568229630

In writing to – Kate’s Home Nursing, George Moore Community Centre, Moore Road, Bourton on the Water, Gloucestershire. GL54 2AZ.

Aim

To create a transparent and effective procedure for handling concerns and complaints.
To provide clear guidance about the handling of any comments or complaints we receive.

Purpose of Policy

To conform to Regulation 16 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014. Sections 1 and 2 of the regulation require that “any complaint received must be investigated” with action taken to rectify any identified failures, and that social care providers “must establish and operate effectively an accessible system for […] complaints”.

To set out how we will satisfy the requirements and guidance in relation to our registration with the Charity Commission.

To set out how we will meet requirements and guidance of the Fundraising Regulator.

We try to operate to the highest standards but appreciate that from time to time we may not get it right and so welcome hearing from anybody who has an issue or complaint. Essentially this enables us to improve the way we do things. Comments or complaints may be about any aspect of our operation, for example:-

nursing service
fund raising
communications.

An environment in which service users, staff and volunteers feel supported and able to provide and handle feedback (positive or negative) is healthy and positive, it shows we have rooted the principles of person-centred care into our service provision and other activities. Critical feedback is also the best way to identify areas for learning and improvement.

Our staff and volunteers are well equipped to pick up on minor issues before they escalate and we encourage everyone to raise and discuss these issues so that we can put things right immediately.

Whilst nursing we work under the adage that we only look after people for a short time and we don’t get a second chance to put things right, so it’s important to be aware and to act when things don’t seem quite right for someone.

Principles of this policy

This policy adheres to local and national guidance and policy including the Parliamentary and Health Care Ombudsman principles of Good complaint handling and the NHS Complaints process. From the moment they hear a grumble of discontent, they work to prevent escalation, with staff exploring the reasons for the grumbles and acting to resolve them as quickly as possible.

The Local Government and Social Care Ombudsman has everything we need to understand and implement best practice when it comes to dealing with complaints. We can also access decision reports on complaints the ombudsman has received and provided adjudication on, both local authority and all types of adult service provision. These can be utilised for training and supervision purposes.

We comply with the Code of Fundraising Practice (the code), defined by the Fundraising Regulator, which outlines the legal requirements and best practice expected of all charitable fundraising organisations across the UK.

A complaint can be made by:

• Any person who receives or has received services provided by the organisation or a person acting on their behalf, provided consent has been received.

• Any person who is affected or likely to be affected by the action, omission, or decision of the organisation that is the subject of the complaint.

If it is felt that the person making the complaint on behalf of another person is not doing so in the best interests of the other person, the complaint must not be considered (regulation 16 of The Health and Social Care Act 2008) and written notification must be given to the representative stating the reason for the decision.

In handling the complaint, we expect that the person making the complaint is entitled to:

Have their complaint acknowledged and properly investigated.
Be kept informed of progress and informed when there is an outcome.
Be treated fairly, politely, and with respect throughout the process.
Have confidence that their care and treatment will not be affected as a result of making a complaint.
Have the opportunity to discuss the complaint with a manager.
Expect appropriate action to be taken following the complaint.

According to the Parliamentary and Health Care Ombudsman the principles of Good complaint handling as are follows:

In practice, this means that we will ensure that our process:

Is timely (first response will be within 2 working days) and includes frequent updates for the complainant, likely weekly or when significant updates are made in the process.
Includes local resolution meetings sensitively handled between complainant and relevant staff, when appropriate.
Is documented, followed up, and actions taken where appropriate.
Is communicated to the complainant and an explanation of what impact this will have on changes made within our service.

Time limit to make a complaint

To enable us to look into a complaint with access to all relevant information whilst it is contemporary it should be made as soon as possible after an event. This means not more than 12 months after the date the matter complained about occurred, or the date that the person was aware of the event. The time limit can be extended if there were good grounds for not making the complaint earlier and it is still possible to investigate the complaint fairly and effectively.

Confidentiality

We will seek to protect anyone raising a complaint or concern from victimisation and harassment, all complaints will be treated in the strictest confidence.

Duty of candour

We understand our responsibilities relating to the statutory duty of candour.

As such a representative of Kate’s Home Nursing will notify the relevant person as soon as reasonably practicable after becoming aware that a notifiable safety incident has occurred.

As part of this we will provide an account, which will be accurate and will contain all the facts the Registered person knows about the incident as at the date of the notification.

We will also advise the relevant person what further enquiries into the incident we believe to be appropriate to fully comply with our responsibilities under the duty of candour.

This will include an apology and will be recorded in a written record that will be kept securely by KHN.

Access to medical records

Where the investigation of the complaint requires consideration of the patient’s medical records, the complaints officer must inform the patient or person acting on their behalf if the investigation will involve disclosure of information contained in those records to a person other than the practice or an employee of the practice.

KHN will keep a record of all complaints and copies of all correspondence relating to complaints, but such records must be kept separate from patients’ medical records.

A consent form should be sent if the person making the complaint is not the patient and there is a need to disclose confidential information within the response.

Procedure

The procedure for handling a complaint about our clinical service is based on The NMC Code– Standards of Conduct, Performance and Ethics for Nurses & Midwives (NMC 2015). This can be viewed or downloaded on the following link: http://www.nmc.org.uk/standards/code/

Our overall aim is for all KHN staff to provide a consistent and sympathetic approach to all aspects of handling feedback of all kinds, and particularly complaints. Effective handling which inspires confidence can often reduce the negative impact of a complaint, just as any lapses in its handling can have the effect of increasing concerns about any aspect of our service.

It is the responsibility of the duty Nursing Co-ordinator (NC) to ask routinely for feedback after each session of nursing and to take any necessary follow up action with the nurse concerned or the Nursing Manager (NM) if the feedback raises any issues about our service.

If it becomes apparent to a Nurse during a shift that the patient, their family or carer are not entirely happy with an aspect of our service, the Nurse must refer this at the earliest practicable opportunity to the Duty NC. This may often in practice mean the next morning if the person making the comments during a night sit agrees this timescale.

If the feedback relates to any potentially serious shortcoming in the provision of our clinical service or anything whatsoever with a time critical outcome, for example allegations of potential danger, abuse, criminal activity, the importance of informing the Duty NC as soon as practicably possible is obviously paramount.

When the Duty NC receives such a call, they should ascertain whether they need to take immediate action, such as attend a patient’s home immediately in person to manage the situation.

If, exceptionally, the issues raised mean that the patient, their family or carers are not happy for the nurse present to continue to nurse the patient even until the end of the shift, the nurse must leave the patient’s home but it may not be possible for the duty NC to send a replacement. The Duty NC must then inform the Clinical Manager of this action at the first practicable opportunity. It also follows that the Duty NC should, without prejudice to the investigation, use other nurses for future sits and ensure that any nurse undertaking future shifts is aware of any facts surrounding the complaint that they need to know and briefed about how to handle it.

Complaint Record

A complaint must recorded in writing by the person receiving the information and then handled by Clinical Manager if a clinical complaint, or if non clinical to the CEO to investigate and respond.

A record must be created, which should be a document titled Complaint, the name of the complainant and dated. This document should be stored on TeamNet and access given only to those who need it.

The log must contain as a minimum the information below, following the timetable for responding to complaints. It is important that the log contains as much detail as possible.

Names of people investigating
People named in the complaint
Date complaint received.
Date complaint acknowledged to the complainant. (This must be within 2 working days of receipt)
Confirmation that the complainant has been sent a copy of our Handling Complaints Policy or is happy to access it on our website.
The facts of the complaint, or refer to the written complaint and file it with the log.
Immediate decisions taken as to how to investigate the complaint.
record and date each step of the investigation including policies or regulations referred to, statements of people involved.
record recommended action.
record and date the recommended actions discussed with the involved people.
Record all communications with the CEO and Board of Trustees.
Record and date findings discussed with other relevant people who need to know (for example nurses, NCs, volunteers, staff members or other).
Record and date feedback given to the complainant.
Detail the follow-up action plan and training needs identified, record dates for follow up and any deadlines.
Record and date whether the CQC, NMC, Charity Commission, Fundraising Regulator or other regulatory body was informed.

Timetable for responding to complaints

1-5 days: Acknowledgment and copy of Handling Complaints Policy to be sent to the complainant within 2 working days of receipt.
Within 28 days: The investigation should be completed and outcome advised to the complainant, together with the reasoning, any lessons learned and changes to our practices put into place.

If the complainant wishes to take matters further, to our board of trustees:-

14 days: Our trustees will aim to respond within 14 days.

If a Fundraising Complaint can not be considered or resolved by the charity

The CEO will direct the person to the Fundraising Regulator. The Fundraising Regulator is the independent regulator of charitable fundraising in England, Wales and Northern Ireland. The Regulator will investigate complaints about fundraising where these cannot be resolved by the organisations themselves. They do so by considering whether the fundraising organisation has complied with the Code of Fundraising Practice (the code), which outlines the legal requirements and best practice expected of all charitable fundraising organisations across the UK.

Reporting

At each trustee meeting the CEO and Clinical Manager are responsible for reporting to the Board of Trustees on the number and nature of complaints received and the outcome of those complaints, including whether they have led to a change in services, policies or procedures.

The Charities (Protection and Social Investments) Act 2016, requires registered charities that, by law, must have their accounts audited to include extra information about fundraising complaints in their annual report and accounts. We undertake to do this.

Complaints against other professionals

Our role is to ensure that if we have first hand information concerning the performance of other professionals it is channeled to that organisation and, if required, regulatory body after consultation with the Clinical Manager and if it is appropriate to do so. If it involves a clinical situation a full record should be made.

Anything immediately affecting patient safety or care must be reported contemporaneously.

Equality and diversity impact assessment

In developing this policy, an equalities impact assessment has been undertaken. An adverse impact is unlikely, and on the contrary the policy has the clear potential to have a positive impact by reducing and removing barriers and inequalities that currently exist.

If, at any time, this policy is considered to be discriminatory in any way, the author of the policy should be contacted immediately to discuss these concerns.

Training

All staff and volunteers will be given training on handling complaints at induction, this will include explaining to service users and members of the public how to make a complaint.

Any training requirements will be identified within an individual’s Personal Development Reviews or during meetings where this policy is an agenda item, for example Fundraising Committee meetings.

Training is available in the Training module within TeamNet.

Seeking Guidance

It is the Clinical Managers’ responsibility to ensure that all newly-appointed nurses receive training in handling feedback and complaints and together with the Training Lead to ensure that there is regular discussion of our procedures (e.g. at our training days or via the monthly newsletter). As with all policy areas, all new nurses must thoroughly familiarise themselves with our procedures and policies.

If anyone else working on behalf of the charity requires further guidance or training following induction, they should speak with the CEO or Office Manager who will arrange and support this.

If anyone is not clear about any aspect of this policy area, it is vital to seek guidance without delay.

Distribution

Employees will be made aware of this policy via TeamNet.

Volunteers will be given a copy of this policy during their induction and following every update.

The policy is an agenda item at each fundraising committee meeting.

Monitoring and reporting

Monitoring and reporting in relation to this policy are the responsibility of the Clinical Manager and the CEO.

Any incidents relating to complaints will be monitored via incident reporting.

Summary of NHS legal and mandatory documentation

NHS England. Complaints policy https://www.england.nhs.uk/wp-content/uploads/2016/07/nhse-complaints-policy-june-2017.pdf

Department of Health and Social Care. NHS complaints guidance https://www.gov.uk/government/publications/the-nhs-constitution-for-england/how-do-i-give-feedback-or-make-a-complaint-about-an-nhs-service

Bibliography

The NMC Code – Standards of Conduct, Performance and Ethics for Nurses and Midwives (NMC 2015) and the guidelines laid out by the NMC on Safeguarding

NHS Improvement. Asking for advice or raising concerns with us. NHS staff or NHS foundation trust governors https://improvement.nhs.uk/contact-us/asking-advice-raising-complaints-and-concerns/#h2-nhs-staff-or-nhs-foundation-trust-governors

NHS England. Complaints policy https://www.england.nhs.uk/wp-content/uploads/2016/07/nhse-complaints-policy-june-2017.pdf

NHS England. How to complain about the NHS https://www.nhs.uk/using-the-nhs/about-the-nhs/how-to-complain-to-the-nhs/

NHS England. Assurance of good complaints handling for primary care: a toolkit for commissioners https://www.england.nhs.uk/publication/assurance-of-good-complaints-handling-for-primary-care-a-toolkit-for-commissioners/

NHS Digital. Data on written complaints in the NHS 2017-18 https://digital.nhs.uk/data-and-information/publications/statistical/data-on-written-complaints-in-the-nhs/2017-18

Parliamentary and Health Service Ombudsman. Principles of good complaint handling https://www.ombudsman.org.uk/about-us/our-principles/principles-good-complaint-handling

Fundraising Regulator

Complaints handling guidance for charities and third-party fundraising organisations | Fundraising Regulator

First Issued: 31.03.2013 – Latest Revision: 12.07.2022.KP