COMPLAINTS POLICY AND PROCEDURE –
SERVICE USERS
Contents
Page
Contents
2
1.0
Flowchart
3
2.0
Introduction
3
3.0
Complaints Framework
3-4
4.0
Policy Objectives
4
5.0
Key Principles
4
6.0 Complaints Responsibility
4
7.0
What is a complaint and who can complain?
4-5
8.0
Complaints Procedure
5
5
5-6
6
8.1
8.2
8.3
8. 9.0
Complaints made in person
Complaints made via the telephone.
Written Complaints
Communications
6
10.0 Additional support
6
11.0 Resolution meetings
6
12.0 Support for staff complained against
7
13.0 Timescales for complaint handling
7
14.0 Requests for further information
7
15.0 Monitoring complaints
Managing Complaints Service Users
1.0
Flowchart
Are you making your complaint:
In person?
By telephone?
Visit your nearest Shelter
Cymru office.
Ring your nearest Shelter
Cymru office.
If the person you speak to
cannot resolve your
complaint immediately, s/he
will take your details and will
pass these to the relevant
manager / supervisor.
Your details will be taken,
including the nature of your
complaint and your contact
details.
Should this be the case, we
will ask you to return later to
speak to someone who may
be able to help resolve your
complaint.
In writing?
Send your written complaint to
your nearest Shelter Cymru
office.
You will receive a letter of
acknowledgement within five
working days of receipt of your
letter setting out the
points/concerns raised with a
target response date –
normally 20 working days from
receipt of your letter.
These details will be passed
to the person dealing with
your complaint who will
contact you to discuss in
more detail.
If we are not able to respond
within the 20 days, we will
write to you explaining the
reason for the delay with an
expected date of response.
If this is not possible, we will
write to you within 5 working
days of your complaint being
made to let you know who is
dealing with your complaint.
Having received a response, if
you remain dissatisfied you
should implement Stage 2 and
write to the appropriate Senior
Manager* within 7 working
days of receipt of our letter.
You will receive a response
to your complaint within 20
working days. You will be
informed in writing if there
are any delays detailing the
likely response date.
S/he will respond to your letter
within 20 working days of
receipt.
Should you remain dissatisfied,
you can refer the matter to the
Director within 7 working days
(Stage 3).
You will receive a response
within 20 working days, or, if
that is not possible you will be
informed in wring of the reason
for the delay and when you
can expect to receive a reply.
Should you remain dissatisfied,
you may make a written appeal
to an independent arbiter*
(Stage 4). The appeal hearing
will be held within 20 working
days of receipt of your written
appeal.
*At all stages, we will keep you informed of the next stage and who will be involved.
The appointment of the independent arbiter will be fully discussed with you and will only be appointed by mutual consent.
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Managing Complaints Service Users
2.0 Introduction
It is Shelter Cymru’s policy to elicit views from all our service users about the services we provide
whenever possible. The Complaints Policy and Procedure is a vital cornerstone of this approach. Any
complaint will be seen as an opportunity to continuously improve the quality of the services that we
provide and to learn lessons from mistakes that may have occurred. Complaints, criticism or
suggestions, whether oral or written made by our service users will be taken seriously, handled
appropriately and sensitively. Shelter Cymru will always make every attempt to resolve complaints
within the spirit of the ‘local resolution’ principle. Staff who provide a service on behalf of Shelter
Cymru will make every attempt to resolve complaints at an early stage.
The purpose of local resolution is to provide an opportunity for the complainant and the Shelter Cymru,
to attempt a rapid and fair resolution of the problem. The complaints process will be fair and flexible,
and will enable open communication on all sides.
This policy outlines the principles and procedures for dealing with complaints from customers/clients
and/or any other member of the local community about any aspect of the service provided by Shelter
Cymru.
Shelter Cymru will treat complaints positively and recognise them as a way of finding out what people
think of our services.
3.0 Complaints Framework
There are four stages to the complaints process in Shelter Cymru. This policy primarily deals with
stage one and the responsibility of Shelter Cymru to signpost you to the second stage. The stages
are;
1.
2.
2.
4.
local resolution
Senior Manager
referral to Director
appeal to independent arbiter (with a short report submitted to Director and the Board).
4.0 Objectives
The primary objective is to provide the fullest possible opportunity for investigation and resolution of
the complaint, as quickly as is sensible in the circumstances.
The aim will be to resolve complaints at an early stage. The process will be fair, open, flexible and
conciliatory and will be easy to access for all service users. Rigid, bureaucratic and legalistic
approaches will be avoided.
a)
b)
c)
d)
e)
f)
g)
h)
To provide you with a responsive, effective and efficient means of resolving dissatisfaction
with services provided by Shelter Cymru.
To resolve complaints as quickly as possible.
To provide a clear procedure for dealing with complaints.
To enable effective communicate.
To continually review the Complaints Procedure with a view to making improvements
where required and ascertaining ways to improve services to continually meet your needs.
To provide a way of rectifying injustice whenever possible.
To provide a way of monitoring information on your complaints and ways of reviewing the
quality of the service provided.
To resolve as many complaints locally as possible
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Managing Complaints Service Users
i)
j)
k)
l)
To support staff complained against during the handling of the complaint
To ensure clear and accurate documentation about complaints is held by the relevant
senior manager.
To ensure information from complaints is collected, analysed and the causes of complaints
identified and remedied.
To ensure the protection of service users’ confidentiality and compliance with the Data
Protection Act.
5.0 Key Principles
The Director is responsible, on behalf of the Shelter Cymru Board, for ensuring the appropriate
framework is in place to manage complaints effectively and that it is integrated with other appropriate
internal policies e.g. Child Protection/Welsh Language Policy etc.
All complaints, whether verbal or written, will be investigated promptly, thoroughly and fairly,
respecting confidentiality.
6.0 Responsibility
The appropriate manager within each area has responsibility for taking actions as the ‘Complaints
Manager’.
Senior Managers are responsible for the management of complaints within their own areas and are
expected to ensure compliance through effective implementation of this policy.
Front line staff, as well as managers have an important role in dealing with local resolution issues – as
they are often the first point of contact for the complainant.
In cases where the issue looks serious or complex, or is put in writing, the appropriate manager will
intervene - either to investigate the problem or to co-ordinate, in conjunction with appropriate staff, the
resolution of the issue.
It is the overall responsibility of the Complaints Manager to;
•
•
•
receive complaints and co-ordinate the investigation and response appropriately and effectively
in line with the Complaints policy;
advise staff dealing with complaints and who have complaints made against them;
support and ensure training is provided to those in contact with service users on how to deal with
concerns and complaints when they first arise.
7.0 What is a complaint and who can complain?
An expression of concern / dissatisfaction about a service provided by Shelter Cymru, whether verbal
or written, which requires a response.
The Complaints Procedure is available to all service users.
8.0 Complaints Procedure
Stage One: Local Resolution
8.1 Complaints made in person
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Managing Complaints Service Users
If you have a complaint and you are able to do that in person, you should speak to a member of staff
at the nearest Shelter Cymru office
If you are not able to attend a local office, you should telephone or submit your complaint in writing.
We will endeavour to resolve your complaint locally. If we are not able to do this, we will take your
details and either pass these to the relevant manager to take forward, or, we may ask you to return
later to speak to someone who may be able to help resolve your complaint.
If this is not possible, a written acknowledgement will be sent to you within five (5) working days of
the complaint being made. If you are not satisfied at this stage and want a formal investigation,
details will be taken and forwarded to the appropriate Complaints Manager.
You will be informed in writing of any action resulting from a verbal complaint following consultation
with the relevant line manager.
We will write to you about your complaint within twenty (20) working days. You will be informed in
writing if there are delays in resolving your complaint, which will outline the reason for any delay and
we will provide you with a likely response date.
8.2 Verbal complaint made over the telephone:
Should you wish to telephone us with a complaint, your contact details will be taken along with the
nature of your complaint. These details will be passed to the relevant person who will look into the
matter and s/he will contact you to discuss your complaint in more detail.
Regardless of how the complaint is received (in person or via the telephone) where verbal abuse is
directed towards Shelter Cymru staff, you will politely be asked to stop. Should this continue, you will
either be asked to leave if you at making your complaint in person or, staff will have to terminate the
conversation and hang-up.
8.3 Written Complaints
Should you wish to submit your complaint in writing, you should send your complaint to your nearest
Shelter Cymru office.
The appropriate manager will send you a letter of acknowledgement within five (5) working days of
receipt of your letter, setting out the points/concerns raised and notifying you of the target response
date (within twenty (20) working days from receipt of your first letter).
Where it is not possible to respond to your written complaint within twenty (20) working days, we will
send you a letter explaining the reason for the delay and the expected date of response.
A copy of the final response will also be copied to all members of staff involved in the complaint.
Stage Two
If, after receiving the initial response, you remain dissatisfied, you should confirm your continued
dissatisfaction in writing to the appropriate Senior Manager within 7 working days of receipt of the
letter confirming the outcome of the initial investigation. The Senior Manager will lead a
reinvestigation and confirm the findings of such to you within 20 working days of receipt of your
letter.
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Stage Three
If you continue to remain dissatisfied with the outcome of Stage 2, you may refer the matter in writing
(within 7 working days) to the Director of Shelter Cymru. You will be notified of the contact details in
our letter to you as part of the Stage 2 process. The Director will respond within 20 working days
from receipt of your letter.
If it is not possible to complete the investigation within this time, you will be informed in writing of the
reason for the delay and when you can expect to receive a reply.
Final Appeal Stage
If you remain dissatisfied following the outcome at Stage 3, you may wish to make a written appeal to
an independent arbiter. Should you wish to take up this final option, you have 7 working days in which
to submit a written appeal once a mutually agreed arbiter has been assigned to your case. The
Director will confirm contact details to you in writing and will prepare a report to be forwarded to the
relevant Trustee outlining the progress of the case. The appeal hearing will be convened no later than
twenty (20) working days from receipt of your appeal letter.
At all stages, we will continue to keep you informed of who to direct your letters of complaint to.
However, any member of staff who receives a letter of complaint directly will immediately refer this to
the appropriate manager, who will delegate appropriately.
9.0
Communications
All correspondence will be marked ‘PRIVATE AND CONFIDENTIAL and sent by first class post or via
e-mail (depending on your preferences).
A member of staff dealing with your complaint may contact you directly by phone to discuss the issues
further.
10.0 Additional Support in making complaints
If you require additional assistance to make a complaint, please tell us and we will endeavour to
ensure support is arranged for you e.g. interpretation of other languages, literacy or communication
difficulties, assistance for individuals who are visually or hearing impaired.
11.0 Resolution meetings
Where it is felt appropriate you may be offered a meeting with key individuals involved who may be
able to clarify issues of concern you have. Notes will be taken during such meetings a copy will be
sent to you following the meeting to reinforce discussions relating to attempts to resolve the complaint.
12.0 Support for staff complained against
Staff will be informed at the start when a complaint has been made against them. Individual members
of staff will also see any letters of complaint in which they are mentioned. All staff named in a
complaint will be updated during the process and informed of the outcome of the complaint.
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Managing Complaints Service Users
13.0 Timescales for complaint handling
You should make a complaint within six months from the incident, or, within six months of the date of
discovering the problem, provided that this is within 12 months of the incident. If a complaint is out of
time, the Complaints Manager can ask you for reasons for the delay and extend time limits if
appropriate.
If a complaint is not investigated because it is out of time, you will be given reasons why.
14.0 Requests for further information
If, at any time, you are not satisfied with a response, you can request to see the full response and
relevant complaint file under the Data Protection Act.
15.0 Monitoring Complaints
A summary of complaints on an anonymous basis will be reported at appropriate meetings as a
means to looking/identifying preventative measures and as a means of reviewing effectiveness and
quality.
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