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Information Classification: PUBLICAdult Social Care AnnualReport 2020/21Compliments, Comments and Complaints03/06/2021 Version 1.0Information Governance and Feedback
Information Classification: PUBLICAdult Social Care Annual Report2020/21Compliments, Comments and ComplaintsOverviewOverview for 2020/2021TimescalesComplaint Categories / ThemesComplaints OutcomesReimbursement and paymentsWho raised the complaint?Complaints by ChannelComplaints referred to the Local Government and Social Care Ombudsman(LGSCO)What works well and what needs to improve in our complaints handlingPlanned Activity for 2021/2022681314141616161739402
Information Classification: PUBLICExecutive SummaryA revised Adult Social Care complaints policy was implemented from 1 October2018 providing a one stage complaint investigation with oversight by therelevant Head of Service. Prior to October 2018 the Adult Social Care complaintspolicy detailed a two‐stage complaint process, the second stage beingundertaken by an independent officer.During the reporting period to 31 March 2021, a total of 42 complaints wereclosed, compared with 65 in the year ending 31 March 2020. This represents a35% decrease in the number of complaints compared to the year ending 31March 2020. This report highlights a higher number of complaints being closedwithin the Adult Care and Support – West locality team. During the reporting period 100% of all complaints were responded towithin the timescale agreed with the customer. The main themes of complaints were lack of information (27), and Lack ofService or a response (10). The outcomes were that 22 (52.38%) were upheld, 5 (11.90%) were partiallyupheld and 15 (35.71%) were not upheld 6,941 was paid out in reimbursement. During 2020/21 27 (64.28%) of all complaints were upheld or partiallyupheld. Where this is the outcome, the recording and reporting systemexpects Lessons Learned and Actions to be recorded following the complaintinvestigation and the Information Governance and Feedback Team monitorthese.A total of 13 Ombudsman final decisions were issued; 8 were upheld whichrepresents 62% of the total being upheld. This is compared to 26 decisions inthe year ending 31 March 2020, when 13 decisions (50.0%) were upheld. Therehas been a 50% decrease in decisions issued since the last financial year, with a12% increase in the number of these decisions being upheld against CornwallCouncil Adult Social Care.*This figure includes two Public Interest Decisions Reports issued by theOmbudsman3
Information Classification: PUBLIC Payment was awarded by the Ombudsman regarding five cases where thefinding was ‘Upheld – Maladministration and Injustice’, totalling 8,591.00.We have recognised the need to do better at capturing lessons learned andapplying those across Adult Social Care in a more systematic way. It should benoted that work volumes have significantly increased during the coronaviruspandemic, resources have been reallocated to our Covid‐19 response, andtherefore this has not always been the Service’s priority. We will continue tomake it a priority for 2021/22 and the introduction of the Chief Social Workerand Locality Area Directors posts will support this.4
Information Classification: PUBLICIntroductionLocal Authorities have a statutory duty to publish an Annual report in respect ofSocial Care Complaints. The purpose of this report is to ensure complaintsinformation for the Adult Social Care Directorate is available to the public,Members of Cornwall Council and Staff.The report is an indication of the importance of feedback from service users andtheir representatives on the Directorate’s performance. Through monitoringand evaluating complaints and compliments, the Directorate’s Leadership Teamgains information on the services that are delivered to a good standard andthose that need improvement. The Directorate can then instigate changes topolicies, procedures and practices as a result of the learning recorded fromFeedback.This report relates to the full year 1 April 2020 to 31 March 2021. It relates tostatutory complaints closed by the Directorate and contains details regardingthe number and type of complaints received by the service including timescalesand outcomes and, where appropriate, any service improvement identified.It evidences how information from complaints contributes to practicedevelopment and service improvement.A revised Adult Social Care complaints policy was implemented from 1 October2018 providing a one stage complaint investigation with oversight by therelevant Head of Service/ Area Director – the legislation allows us to be flexiblein dealing with complaints – they do not prescribe specific timescales or methodof resolution as long as we agree a complaint resolution plan at the outset.The Ombudsman produces an Annual Report and this can be found ils-performance/council/Cornwall%20CouncilWe believe that Compliments and Comments are also important elements offeedback and we have included these in this report.5
Information Classification: PUBLICAdult Social Care ComplaintsOverviewThis report provides information about the feedback received by the AdultSocial Care directorate during 2020/21.The Local Authority has a duty to ensure that any individual (or appropriateperson acting on their behalf) who wishes to make a complaint about theactions, decisions or apparent failings of a local authorities’ social care provisionhave access to the appropriate Adult Social Care statutory complaintsprocedure.Adults Social Care services complaints are governed by The Local AuthoritySocial Services and National Health Service Complaints (England) Regulations2009. This legislation allows us to be flexible in dealing with complaints – theydo not prescribe specific timescales or method of resolution as long as we agreea complaint resolution plan at the outset.A revised Adult Social Care complaints policy was implemented from 1 October2018 providing a one stage complaint investigation with oversight by therelevant Head of Service/Area Director.When people have concerns, we listen to them, and, where possible, willnegotiate and agree a way forward to resolve the concern. We deal withcomplaints in a fair and transparent way, treating those who make them withcourtesy and respect. We encourage compliments and comments as well ascomplaints, as part of our commitment to continuous learning andimprovement.Our Directorate procedure is in line with the statutory requirements and allowsmanagers dealing with complaints to take a flexible and personalised approach.The complainant is put at the centre of the process and is expected tocontribute to a complaint resolution plan which sets out the nature of theirconcerns, what the complainant would like to happen as a desired outcome,and how long the complaint investigation is likely to last.The Head of Service/Area Director will oversee the complaint investigation oractions agreed and will sign‐off the complaint once everything possible hasbeen done to resolve it.6
Information Classification: PUBLICPrior to October 2018 the Adult Social Care complaints policy detailed a two‐stage complaint process, the second stage being undertaken by an independentofficer.Complaints which fall outside of the statutory social care regulations but relateto the services provided by Adult Social Care are addressed under the non‐statutory Cornwall Council complaints procedure. These are reported inCornwall Council’s complaints report for 2020/21.It should be noted that cases investigated by the Ombudsman may not havepreviously been considered by the Council as a complainant retains the right tocontact the Ombudsman at any time. However, before investigating acomplaint, the Ombudsman must normally be satisfied that the Council has hadan opportunity to investigate and to reply.The Ombudsman will consider complaints against Charging Assessment thathave not been considered under the complaints policy but have been throughthe relevant appeal route and these will therefore only be shown under theOmbudsman section of this report.7
Information Classification: PUBLICOverview for 2020/2021A total of 42 complaints about adult social care were resolved in 2020/21.Number of formal complaints closedOption 1Option 9781*182019‐202065Not applicable262020‐202142Not applicable13***For the period 1 April 2018 to 30 September 2018, the Adult Social Carecomplaints policy detailed a two‐stage complaint process. From 1 October 2018the implemented Adult Social Care complaints policy does not have an Option 2.** This figure includes two Public Interest Decisions Reports issued by theOmbudsman.During this reporting period, a total of 42 complaints were closed, comparedwith 65 in the year ending 31 March 2020. This represents a 35% decrease incomplaints compared to the year ending 31 March 2020.During this reporting period, a total of 13 Ombudsman final decisions wereissued, compared with 26 in the year ending 31 March 2020 which represents a50% decrease in decisions issued. This will be detailed further into this report.It should be noted that an individual can make more than one complaint, aslong as the subject matter of each complaint differs. The number of complaintspresented in the table above relate to the number of complaints rather thannumber of unique individual complainants.8
Information Classification: PUBLICTwo of the 42 complaints received were investigated under the Multi‐agencyProtocol with Health. This protocol provides a framework for the effectivemanagement of complaints involving organisations across health and socialcare. It is complementary to each organisation’s complaint policy andprocedures and does not define how complaints are managed by eachindividual organisation. It does however promote better joint working to ensurecomplaints can be resolved efficiently and within as timely a manner aspossible. The protocol details a shared approach to consent that removes theneed to delay investigations while people sign multiple consent forms acrosshealth and social care.However, we are clear that complaint volumes alone do not tell us enoughabout the quality of services, or people’s experience of them. For examples,rising numbers of complaints may be a positive by‐product of people feelingable to speak up and raise concerns because the Council demonstrates to thema willingness to listen and learn from feedback.9
Information Classification: PUBLICThe complaints by service area are outlined below.Complaints closed 2020‐21 by Service Area and ThemeDelay/ FailureDissatisfaction 000Charging Technical0104106Direct 0000000000020021110272142Adult Care and Support‐ MidAdult Care and Support‐ EastAdult Care and Support‐ WestAdult Care and Support– Hospitals and AccessProvider ServicesIndependentcommissionedPractice QualityAssurance andSafeguardingTotalCost of ServiceLack of Service/response0Actions of Staff/ConductLack of InformationService Area10
Information Classification: PUBLICComplaints closed by Adult Care and Support AreaComplaintsClosedNumberof ServiceUsers*Complaintsper 1,000ServiceUsersPopulation18 yrs. **Complaintsper 10,000populationAdult CareandSupport ‐MidAdult CareandSupport ‐EastAdult CareandSupport 83,6174.98132,3201.36Total2910,7362.70456,1990.64* These figures represent the number of service users who ha
A revised Adult Social Care complaints policy was implemented from 1 October 2018 providing a one stage complaint investigation with oversight by the relevant Head of Service. Prior to October 2018 the Adult Social Care complaints policy detailed a two‐stage complaint process, the second stage being undertakenby an independent officer.
