Complaints & Compliments Policy

Executive Summary

This procedure describes the method to investigate complaints from service users, staff, volunteers, members, and partners, and determine why we have failed or what we are missing in the services provided by RRR. This procedure also describes the ways for recording positive feedback from service users, staff, volunteers, members, and partners, i.e. compliments.

Scope

The policy and procedure apply to all staff and members of Red Rose Recovery, whilst in the performance of their duties, roles, and responsibilities, including senior managers and the board of trustees, paid staff, members, volunteers, and students or anyone working on behalf of Red Rose Recovery; all for the purposes of this policy will be referred to as Red Rose Recovery or RRR herein.

Purpose

  1. To define the method to be applied to investigate complaints and determine the root causes of any failings or shortfalls in the services provided by RRR.
  2. To provide a mechanism for recording positive feedback from service users/partners, i.e. compliments.

This procedure is designed to achieve the following objectives:

  • Prevent the re-occurrence of identified failings/shortfalls.
  • Make recommendations for the improvement of the system, processes, or service.
  • Prevent the inadvertent release and/or use of a Project, or Service.
  • Identify and investigate the root cause(s) of a shortfall.
  • Identify and eliminate waste.
  • Identify poor or unsatisfactory service.
  • Record positive customer feedback to encourage good practice.

Responsibilities

The Managing Director is responsible for the operation of this procedure, the maintenance of the Customer Complaints Register, and the maintenance of the Customer Compliments Register.

Staff are responsible for policies, procedures, and/or protocols and ensuring that related procedures are complied with.

It is the responsibility of all staff to implement this procedure as a whole.

Relevant and Related Policies and Procedures

  • Equality and Diversity
  • Confidentiality Policy
  • Code of Conduct
  • Employee Handbook

Dealing with Complaints – Initial Concerns

It is important to be clear about the difference between a concern and a complaint. Taking informal concerns seriously at the earliest stage will reduce the numbers that develop into formal complaints.

These key messages deal with complaints, but the underlying principle is that concerns ought to be handled, if possible, without the need for formal procedures. The requirement to have a complaints procedure need not in any way undermine efforts to resolve the concern informally.

It would be helpful if staff were able to resolve issues on the spot, including apologising where necessary.

Dealing with Complaints – Formal Procedures

The formal procedures will need to be invoked when initial attempts to resolve the issue are unsuccessful, and the person raising the concern remains dissatisfied and wishes to take the matter further. However, it is hoped this policy will provide the opportunity to resolve most complaints without the need for formal resolution.

Framework of Principles

An effective Complaints Procedure will:

  • Encourage resolution of problems by informal means wherever possible.
  • Be easily accessible and publicised.
  • Be simple to understand and use.
  • Be impartial.
  • Be non-adversarial.
  • Allow swift handling with established time-limits for action and keeping people informed of the progress.
  • Ensure a full and fair investigation by an independent person where necessary.
  • Respect people’s desire for confidentiality.
  • Address all the points at issue and provide an effective response and appropriate redress, where necessary.
  • Provide, where appropriate, information to the RRR’s senior management team so that services can be improved.

Customer Complaints

A complaint can be made by a member of staff, service user/client, volunteer, partner, or member of the public. This procedure is designed to provide the process to manage all types of complaints.

The Stages of Complaints

The RRR Complaints procedure has well-defined stages. There may, on occasion, be a need for some flexibility; for example, the possibility of further meetings between the complainant and the member of staff directly involved and further investigations may be required after a meeting with the complainant.

Three RRR-based stages are likely to be sufficient for most complaint situations:

  • Stage one: Complaint investigated by Operations Director/Nominated member of staff.
  • Stage two: Complaint reviewed by Managing Director.
  • Stage three: Complaint reviewed by Board.

Nomination of Investigator and Timescales

When a complaint is received, a response must be sent to the customer within five working days by the Operations Director to acknowledge receipt of the complaint and advise that it is being investigated. The complaint and associated information are then sent to the RRR Operations Director.

On receipt of the complaint, the Operations Director enters details in the Customer Complaint Register and informs the Managing Director of the process and timescales. The Operations Director nominates an appropriate member of staff to investigate the complaint.

The nominated investigator is to complete the investigation within twenty working days of receipt of the complaint.

Where further investigations are necessary, new time limits can be set, and the complainant will be sent details of the new deadline and an explanation for the delay.

If the investigation cannot be completed within twenty working days, the matter is to be escalated to the Board of Trustees. The Operations Director is to update the Customer Feedback Register.

The customer is to be informed of the outcome of the investigation in writing by the Operations Director within 28 working days of receipt of the complaint. A copy of the response and relevant information is sent to the Managing Director. The Operations Director will update the Customer Feedback Register.

Copies of all documents relating to the complaint are to be stored by the Operations Director.

Prior to each Management Review Meeting, the Operations Director is to analyse the complaints to identify any adverse trends. The results of this analysis are to be presented to each Management Review meeting, and any Risks Identified recorded.

Investigating Complaints

The person investigating the complaint should ensure that they:

  • Establish what has happened so far, and who has been involved.
  • Clarify the nature of the complaint and what remains unresolved.
  • Meet with the complainant or contact them (if unsure or further information is necessary).
  • Clarify what the complainant feels would put things right.
  • Interview those involved in the matter and/or those complained of, allowing them to be accompanied if they wish.
  • Conduct the interview with an open mind and be prepared to persist in the questioning.
  • Keep notes of the interview.

Resolving Complaints

At each stage in the procedure, it is important to consider ways in which a complaint can be resolved. It might be sufficient to acknowledge that the complaint is valid in whole or in part. In addition, it may be appropriate to offer one or more of the following:

  • An apology.
  • An explanation.
  • An admission that the situation could have been handled differently or better.
  • An assurance that the event complained of will not recur.
  • An explanation of the steps that have been taken to ensure that it will not happen again.
  • An undertaking to review RRR policies in light of the complaint.

It would be useful if complainants were encouraged to state what actions they feel might resolve the problem at any stage. An admission that RRR could have handled the situation better is not the same as an admission of negligence.
An effective procedure will identify areas of agreement between the parties. It is also of equal importance to clarify any misunderstandings that might have occurred as this can create a positive atmosphere in which to discuss any outstanding issues.

Vexatious Complaints

The complaints procedure will limit the number of complaints that become protracted, however, there will be occasions when, despite all stages of the procedures having been followed, the complainant remains dissatisfied. If the complainant tries to reopen the same issue, they will be informed in writing that the procedure has been exhausted and that the matter is now closed.

Outcomes/Actions from Complaint

Where outcomes from a complaint identify possible changes to the way RRR works or improvements to the way RRR works which result in changes to RRR policies, procedures, protocols, or forms, a Corrective/Preventive Action Form must be completed and sent to the Managing Director/Board of Trustees.

Any identified risks must be recorded.

Managing and Recording Complaints

RRR is required to record the progress of the complaint and the final outcome. A complaint may be made in person, by telephone, or in writing. At the end of a meeting or telephone call, the member of staff must try to ensure that the complainant and RRR have the same understanding of what was discussed and agreed. A brief note of meetings and telephone calls can be kept, and a copy of any written response added to the record.

The Operations Director will be responsible for storing records and holding them centrally at RRR premises. Copies of all documentation must be sent to the Managing Director at the conclusion of the complaint.

Board Risk Review

The Operations Director is responsible for reporting quarterly on the volume and type of complaints received by RRR.

As well as addressing an individual’s complaints, the process of listening to and resolving complaints will contribute to RRR improvement, as individual complaints may identify underlying issues that need to be addressed within the organisation. The monitoring and review of complaints by the Board can be a useful tool in evaluating this area.

Publicising the Procedure

There is a legal requirement for the Complaints Policy to be publicised. Therefore, it can be found in:

  • The RRR Employee Handbook.
  • The information given to staff members/volunteers etc. when they join RRR.
  • RRR website and Internal computers.

Complaints about the Freedom of Information or Data Protection Act

Complaints about the operation of the Freedom of Information Act and the Data Protection Act are dealt with via separate structures and procedures. The Operations Director is responsible for the operation of these structures and should be contacted in the first instance.

Complaints Giving Rise to Issues Which Are the Concern of Other Agencies

Occasionally, concerns may arise which need to be referred to other agencies (e.g. the Police, Probation Services, Prison authorities, professional regulatory bodies, etc.). In such cases, the advice of the relevant Board Member should be sought.

In the event of any doubt, or if a specific Director is not available, the concerns should be discussed with another Director, who will make an interim decision based on the available evidence.

Outcomes/Actions from Complaints/Compliments

The Operations Director must be informed of compliments received by RRR about individuals, projects, or services. A copy of the compliment (if written) must also be passed to the Operations Director.

The Operations Director will register the compliment in the Complaints/Compliments Register. If the compliment is written, this will also be stored by the Operations Director.

The Operations Director will then inform the following people of the compliment:

  • The member(s) of staff it concerns.
  • The staff member’s Operations Director, if not already informed (to be noted at Supervision Meeting).
  • RRR Management at the Management Review meeting (Board).

Quality Records

All papers relevant to complaints are retained for 3 years.

Stage One: Complaint Heard by Operations Director

It is in everyone’s interest that complaints are resolved at the earliest possible stage. The experience of the first contact between the complainant and RRR can be crucial in determining whether the complaint will escalate. To that end, if staff are made aware of the procedures, they know what to do when they receive a complaint.

If a complainant indicates that he/she would have difficulty discussing a complaint with a particular member of staff, the Operations Director can refer the complainant to another staff member. Where the complaint concerns the Operations Director, the complainant can be referred to another nominated person.

Similarly, if the member of staff directly involved feels too compromised to deal with a complaint, the Operations Director may consider referring the complainant to another staff member. The member of staff may be more senior but does not have to be. The ability to consider the complaint objectively and impartially is crucial.

Stage Two: Complaint Heard by Managing Director

At this point, the complainant may be dissatisfied with the way the complaint was handled at Stage One, as well as pursuing their initial complaint. The Managing Director may delegate the task of collating the information to another staff member but not the decision on the action to be taken.

Stage Three: Complaint Heard by Board of Trustees

The complainant is required to write to the appropriate Trustees giving details of the complaint. This stage of the process is the last stage of the complaints process and is not convened merely to rubber-stamp previous decisions.

Review Mechanism

The complaints and compliments policy will be reviewed annually by the Senior Management Team (SMT) and the Board of Trustees.

Raising a Complaint or Compliment

If you wish to raise a complaint, or compliment, you can do so by emailing us at: Admin@RedRoseRecovery.org.uk

Or by writing to us at:

Red Rose Recovery

St Wilfrid’s Building,

Fox Street,

Preston

PR1 2AB