Meeting documents

            Meeting: Standards Committee (County Hall, Durham - Committee Room 1A - 20/11/2007 10:00:00 AM)

                  Item: A9 Complaints Handling for period July to September 2007

         

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Standards Committee 20 November 2007 Complaints Handling for the Period July to September 2007
Report of Lesley Davies, Acting Director (Corporate Services) and Monitoring Officer

Purpose of the Report

1. To provide details of complaints handling in the Council during the period in question.

Background

2. The Committee previously agreed that information on complaints handling should in future be presented on a quarterly basis.

3. Attached at Appendix 1 is a summary of complaints received for the period 1 July to 30 September 2007. It is usual practice to incorporate details of the statistics for the comparative period in the previous year in the table, however as a consequence of the revised reporting arrangements following the Internal Audit Review a direct Service comparison is not possible. The relevant data is attached at Appendix 2.

Summary Analysis and Comparison

4. In the second quarter of 2007/08, 44 complaints were received averaging 15 per month, compared with 24 per month in the period July to September 2006.

5. The quarterly trend for numbers of complaints in 2005/06, 2006/07 and the current year is as follows:

Quarter	2005/06	2006/07	2007/08
April to June	58	77	76
July to September	92	73	44
October to December	64	69
January to March	85	70
Total	299	289

6. 98% of complaints received in this latest quarter were acknowledged within the Council’s performance targets. 82 % of the Stage 1 complaints resolved were also done so within target.
7. 43 complainants were either satisfied as to how their complaint was handled or did not pursue their complaint further beyond Stage 1.

8. In this quarter, poor service was the largest single category of complaint at 42% compared with 58% in the same period in 2006. Staff conduct represented 21% of complaints received in the final quarter of this year compared with 23% in the same period in 2006.

Additional Background

9. Individual Services have provided the following additional information on the nature and outcome of complaints received during this second quarter of 2007/08.

Adult and Community Services

10. This is the second quarterly report about complaints that includes data and narrative across the directorate and its services for adults. The adult social care complaints continue to be reported separately to ensure that the statutory procedures, based upon the regulations and guidance issued for adult social care services complaints by the Department of Health, are transparently presented.

Reforms to the Statutory Complaints Procedures

11. Further information has been received from the Department of Health about the proposed reforms to the statutory complaints procedures across health and adult social care. There is a commitment to develop a single complaints system, across health and social care by 2009, which includes all providers across the public, private, voluntary and charitable sectors.

12. The focus of any new procedures will be the local resolution of complaints with a more personal and comprehensive approach to complaints handling to overcome fragmentation and complexity for service users. The new proposals aim to move away from process-driven procedures to improve responsiveness and the quality of outcomes and to drive continual improvements in services.

13. The complaints framework would become a two stage framework, being Local Resolution and the Ombudsman. There will no longer be a linear/incremental model that complainants progress through (being stages 1, 2 and 3 with timescales attached) if their complaint cannot be resolved. More creative options for the resolution of complaints will become available with the service working in consultation and collaboration with service users. Whilst these may include in-depth (including independent) investigations there will also be a focus on conciliation and redress rather than the current adversarial approach where complainants are presented with a decision and invited to challenge this through the linear stages of the procedures. Any unresolved complaint will be referred directly to the Ombudsmen.


14. The proposed changes are significant. There will need to be resources invested to provide:-

· information, to raise awareness for service-users and staff;
· publicity and marketing materials
· training for staff;
· IT developments to make the SSID ‘fit for purpose’ for the new procedures Further updates will be provided in future reports.

Adult Social Care Complaints (Statutory procedures)

15. The accurate and comprehensive reporting of adult social care complaints on the SSID continues to be problematic for the purposes of capturing reliable data. Senior management will consider proposals for changes to the administration of stage one complaints to ensure timely and appropriate responses whilst ensuring that accurate data collection is facilitated.

16. Improving communication and outcomes and, most importantly, extracting learning opportunities to improve the individual experiences of service-users and disseminate to staff and inform the wider quality agenda continues to be a high priority.

Stage 1 Complaints

17. Of the 17 Stage One complaints six were coded as related to ‘poor service’, and three to ‘staff conduct’ and one example of each is detailed below

Poor Service

· A service user with complex care needs complained that he had been without a Social Worker to care-manage his case. Within 7 days of receipt of the complaint a caseworker had been appointed and apologies were given for the delay.

Staff Conduct

· A complaint was made by a carer about a member of staff that insufficient action had been taken to provide alcohol rehabilitation for her mother. A full explanation was provided detailing the mother’s refusal to accept support and rehabilitation services, which was accepted. In addressing the complaint it emerged that the carer was not receiving any practical or emotional support in dealing with a very difficult situation. Support and arrangements were put in place for her to receive carer support, including sitting services. This complaint exemplifies how the complaints procedure can reveal other difficulties and stresses that the complainant may be experiencing and how a responsive service can address issues that previously were unknown.

18. During the quarter three Stage 2 complaints have been resolved to the clients’ satisfaction without progressing to Independent Review and details of these complaints are as follows:

· Following a period of hospitalisation a service user had been provided with a care package to support the recovery and rehabilitation process including assistance with personal care and shopping tasks. Over time some difficulties arose in the relationship between the service user and a number of independent sector providers and these accelerated a review of the care plan. Following re-assessment it was deemed that the service user no longer met the criteria for services as her health and mobility had considerably improved. The withdrawal of the service was the main element of the complaint and the Independent Investigating Officer concurred that the service user no longer met the criteria for services and found the complaint not upheld. With the detailed explanations provided in the Stage 2 report the complainant is not pursuing the matter further.

· A stage 2 investigation into delays in adaptations to living accommodation and the failure to respond to a Stage 1 complaint has resulted in compensatory redress for the complainant in recognition of the time and effort spent on bringing the complaint, the distress suffered and the unreasonable delay in obtaining necessary adaptations to the home environment.

Compliments

19. 54 compliments were received during the Quarter.

Examples of compliments are as follows:-

· 9 compliments were addressed to Dean Lodge, providing respite · 15 compliments were addressed to Grampian House which provides intermediate care/rehabilitation for older people. Clients/relatives thanked staff for the care and attention they had received. Many references are made in the compliments to the staff’s kindness, tolerance, patience, care and concern. Compliments are made about the high standard of hygiene thanks to the domestic staff.
· 6 compliments were received by Shafto House. The quality of the care and the staff are praised.
· 8 compliments were paid to Promoting Independence Teams.
· 4 compliments were received by the Sensory Support Team.

20. Underlying these compliments are examples of excellent practice in service delivery that can easily be overlooked. One compliment mentions the fact that an older client in respite care was regularly accompanied into the garden to feed the birds, something she enjoyed doing in her everyday life. Another stated that a respite care service provided a “family home” environment. The Derwentside PIT were thanked for their help, kindness and understanding from a carer who admitted that her frustrations were often taken out on the staff for which she apologised. Another Derwentside PIT client thanked a member of staff for giving him his autonomy and how that had made a massive difference in his life. The Direct Payments Team were also praised for their advice and support.

21. We need to learn from these compliments as much as we learn from complaints. The staff delivering such high levels of care, so appreciated by service users, that promotes independence, dignity and quality of life, are an invaluable resource.

Adult and Community Services (non statutory)

22. One complaint was received, within Libraries, Leisure and Culture relating to changes to the Mobile Library service in the south west of the county and an apparent lack of communication or consultation with service-users. There was a delay in responding to the complaint and the matter proceeded to Stage 2. The complaint was fully acknowledged and apologies were repeated for the failures in communication and processes. A commitment was given that procedures would be reviewed to ensure that this would not re-occur in a similar situation in the future. The complaint is now being reviewed under Stage 3 of procedures.

23. No complaints were received by the Community Development, Community Safety or Welfare Rights Services.

Chief Executive’s Office

24. The Chief Executive’s Office received three complaints during the quarter each of which were resolved at Stage 1 of procedures. The first related to the standard of service offered by the Highways action Line in response to an enquiry about residents’ parking permits in Durham The complainant was unhappy because he had been prompted to refer the question to the Parking Shop in the City without any further explanation. The Contact Centre Manager provided an explanation and apologised to the complainant. The remaining two complaints related to the Countywide publication, one concerned the delivery to a resident’s address - the matter was handled by the distributor and the complainant received an apology and an assurance the problem should not happen again. The second issue referred to the failure to include a full address and telephone number alongside the internet details in an article. The recipient complained that not everyone has access to email. The information was provided with an assurance that consideration would be given to incorporating full information in all articles in future. On a positive note the complainant indicated she did enjoy reading Countywide.

25. The Chief Executive received fourteen complaints during the quarter.

Children and Young People’s Services

26. In this quarter, 11 complaints were received in relation to Children and Young People’s Service and entered at Stage 1 of the Complaints Procedure, compared to 18 in the previous quarter. It is encouraging to see more children complaining in their own right indicating that better access to the procedures is available to them. The Service continues to be pro-active in encouraging clients to voice their opinion about the service provided with a view to improving that service.

27. During this quarter, there is one Stage 2 complaint that has been ongoing since the previous quarter.

28. Education received one complaint which was completed on target in their timescale of 15 days and one complaint which is ongoing at stage 2.

General Comments

29. Overall performance is reported in this quarter with more accuracy and there has been a significant improvement this quarter in the way that complaints have been logged. During the last three months we have continued to consolidate relationships with the advocacy service and since the introduction of the new procedures an independent investigator and independent person have been utilised in our stage 2 complaint.

30. In addition to the formal complaints procedures, each team continues to try to fulfil the needs of all our service users by dealing with concerns at a local level, as per government guidance and team training is ongoing to establish good staff attitude and conduct.

31. The Service actively responds to comments from children at the “Agenda Meetings” which have been facilitated by the investing in children team. Strategic Managers attending these meetings take back both positive and negative comments to their team managers to discuss, in supervision sessions, ways forward to improve the service provided.

Examples of Stage 1 Complaints

32. Complaint: A Father complained about the unreliable transport arrangements enabling his son to continue with contact visits.

33. Complaint: A lady complained about the changes of dates of core meetings related to her children.

34. Complaint: A child complained with the assistance of an advocate
about his placement at a residential school.

Compliments

35. There were 10 compliments recorded In SSID for this quarter, as opposed to 6 in the previous quarter, indicating an improved use of recording. It is essential to share best practice which can lead to an improved service and to provide a balanced picture of representations. All compliments were received in appreciation of the support and hard work of social workers. One of those commended Durham in its commitment to ensuring that the child’s best interests were served. Others praised social workers for their continued help and support. It remains our view that whilst there has been a noticeable increase recorded, under reporting of compliments still continues and hence will continue to be a focus for improvement.

36. Compliments regarding Education totalled 16 - 2 expressions of satisfaction for the work of the School Funding Team (Finance Services), 9 expressions of satisfaction for the work of Sure Start County Durham (Extended Services), 4 expressions of satisfaction for the work of the Education Welfare Service (Access and Inclusion Services) and 1 expression of satisfaction for the work of Secure Services (Safeguarding and Specialist Services)

Corporate Services

37. Corporate Services received 2 complaints during the period in question. One person complained about the lack of visitor parking experienced when he attended a Seminar in County Hall. The Facilities Manager apologised for any inconvenience and explained that event organisers are advised to ensure attendees are informed of the parking situation namely that onsite parking is limited and that overflow facilities are available at the DLI Museum car park.

38. The remaining matter related to the Registration service and the way in which an officer addressed the complainants when they attended to register the death of a relative. After his investigation the Registration Service Manager was able to assure the complainants this had been an isolated incident and offered them a full apology which was accepted. An appropriate reminder has been issued to all staff to prevent the recurrence of such an incident.

39. Corporate services received a total of 57 complaints during the quarter as follows: six for the County Hall team, 49 for the Registration service, 1 relating to the admission of a Schools Admission Appeal and 1 for the project leadership provided by Design Services Division.

Environment

40. A total of 6 complaints were received during this quarter relating to provision of off-street parking facilities, integrated transport, faulty street lighting, Trading Standards and lack of consultation on issues regarding Hardwick Park.

41. 2 of the complaints related to home to school transport arrangements. In one instance the Integrated Transport Unit Operations Manager investigated and apologised for on-route delays which had occurred. The Manager has reminded the contractor about his obligations to report any problems. The second complaint occurred as a result of a change to transport arrangements. The Manager has outlined fully the reasons for the change and apologised for the inconvenience caused. The complainant is happy with the outcome.

42. Environment has received 17 compliments during the quarter.


Service Direct

43. Service Direct received 2 complaints in the quarter. One complainant made an allegation about standards of driving against a Service Direct employee. However during the course of the investigation the complainant changed the allegations. This employee who has no history of driver related problems has been reminded of his duties as a driver.

44. In the second matter, a member of the public complained about inappropriate behaviour and poor driving by Service Direct employees. Investigation showed that the complaint regarding inappropriate behaviour was justified. However, the poor driving complaint was found to be not justified. The Disciplinary procedure was invoked. The employee offered an apology for his behaviour and appropriate action was taken to prevent recurrence.

Compliments

45. Members will recall that in order to present a more balanced picture, details are now included of evidenced compliments/expressions of appreciation that are received. During this second quarter of 2007/08, a total of 192 compliments were received.

Review of Completed Complaints

46. In Part B of the meeting (closed session) Members of the Committee will be invited to review completed complaints files in order to satisfy themselves on the robustness of the process followed.


Local Government Ombudsman - Current Activity

47. In the July to September quarter the Ombudsman referred 1 Environment matter to the Council for consideration under our corporate procedures as we had not previously had the opportunity to do so.

48. 1 Children and Young People’s Services matter was concluded during the quarter as a local settlement when the Council agreed to arrange a fresh school admissions appeal.

49. The Ombudsman made a determination of No or Insufficient Evidence of Maladministration in 2 cases. 1 Education matter related to provision of Statement of Educational Needs and school transport provision. The second was an Environment matter considered jointly with Easington District Council regarding trees blocking light to a resident’s property.

Conclusion

50. When the current reporting regime for complaints handling was introduced it was on the understanding that refinements/further development would take place as a continuing process. The views of Members as part of this process are always welcome.

Background Papers

51. Correspondence from Departments and the Local Government Ombudsman.

Contact: Allison Mallabar Tel: (0191) 383 5580