Effective Challenges to Decision Making - What to do when things go wrong

3. Complaints Procedure

Complaints to all of the 32 Authorities in Scotland should now be dealt with under the Public Sector Complaints Handling Procedure (CHP)

This standardised procedure was developed by the Complaints Standards Authority (CSA) in conjunction with stakeholders

It incorporates a Social Work Model for complaints handling which has been effective since April 2017

Social Work CHP

The CHP applies to all organisations under the Scottish Public Services’ (SPSO's) jurisdiction that deliver social work services.

Changes to the social work CHP have been brought about by the Public Services Reform (Social Work Complaints Procedure) (Scotland) Order 2016.

It now includes provision for the Ombudsman to consider the merits of social work decisions as part of the investigation of complaints. A copy can be accessed below.


It is split into three sections

  • What is a complaint?
  • The complaints handling process
  • Governance of the complaints handling procedure

What is a Complaint?

'An expression of dissatisfaction by one or more members of the public about the social work service's action or lack of action, or about the standard of service provided by or on behalf of the social work service.‘

Anyone who receives, requests, or is affected by social work services can make a complaint.

Consent
Third parties making complaints on behalf of others should normally obtain the customer's consent. However, in certain circumstances, the third party may raise a complaint without receiving consent, such as when there are concerns over someone's well-being. 


A complaint is not:

  • a routine first-time request for a service
  • a claim for compensation only
  • a disagreement with decisions or conditions that are based upon social work recommendations, but determined by a court or other statutory body, for example decisions made by a children's panel, parole board or mental health tribunal
  • an attempt to reopen a previously concluded complaint or to have a complaint reconsidered where we have already given our final decision.

The Complaints Handling Process

Frontline Resolution

The principle behind this stage is to quickly resolve straightforward complaints that need little or no investigation. 

Any member of staff may deal with complaints at this stage.
Investigation and resolution of the complaint must be completed within five working days

Investigation

This is Stage 2 of the Complaints Handling Procedure and represents an escalation in the process.  In certain circumstances the complaint must be dealt with under Stage 2

When must a complaint be escalated?

  • Frontline Resolution was tried but the Complainant remains dissatisfied and requests an investigation
  • The Complainant refuses to take part in the frontline resolution process
  • The issues raised are complex and require detailed investigation
  • The Complaint relates to serious, high-risk or high-profile issues

“An investigation aims to establish all the facts relevant to the points made in the complaint and to give the customer a full, objective and proportionate response that represents [our] final position.”

(CHP p17)


Timelines

The following deadlines should apply at the investigation stage:

  • complaints must be acknowledged within three working days
  • a full response to the complaint should be provided as soon as possible but not later than 20 working days from the date the complaint received.
  • Extensions should be rare

External Review

Once the investigation stage has been completed, the Complainant should have the right to approach the SPSO if still dissatisfied.

The Authority must inform the Complainant that their investigation of the complaint is concluded and signpost to the SPSO, including details of time limits and how to contact them