Clinical Complaints Policy

Policy Statement

AESN Care welcomes concerns, complaints and feedback about care and support. Complaints will be listened to, treated respectfully, investigated proportionately and used to improve services. A complaint will never remove a person's right to safe care, safeguarding support, advocacy or appropriate escalation.

1. Introduction

In AESN Care's environment, complaints may concern care, support, communication, staff conduct, dignity, medication support where applicable, care planning, missed or inadequate support, delays, safeguarding or the experience of people we support and their families or representatives.

2. Purpose

The purpose is to provide a clear route for raising and resolving concerns, ensure appropriate investigation, protect people from detriment, and turn complaints into learning.

3. Scope

This policy applies to complaints made by people we support, families, representatives, advocates, employees and other relevant persons about AESN Care's services or care experience.

4. Policy Objectives

• Make complaints accessible and easy to raise.
• Respond fairly, respectfully and without retaliation.
• Identify safeguarding or immediate safety risks quickly.
• Investigate concerns proportionately and objectively.
• Provide a clear response and appropriate escalation route.
• Use learning to improve care and support.

5. Definitions

A concern is an issue that may be resolved informally. A formal complaint is an expressed dissatisfaction requiring investigation or a formal response. A safeguarding concern is a concern about abuse, neglect, exploitation or risk of harm and must be handled under safeguarding procedures as well as complaint arrangements where appropriate.

6. Legal and Regulatory Framework

The policy supports applicable CQC requirements and relevant provisions of the Health and Social Care Act 2008 and associated regulations, the Care Act 2014 where applicable, equality and human-rights duties, data protection law and relevant complaints guidance.

7. Roles and Responsibilities

• AESN Care Management is responsible for ensuring complaints are handled fairly and learning is acted upon.
• Managers should acknowledge, assess, investigate or allocate complaints appropriately.
• Staff must listen respectfully, record relevant information and escalate urgent concerns.
• People raising complaints should be treated without victimisation.

8. Policy Requirements / Principles

• Complaints should be accessible regardless of disability, communication need or literacy.
• People may be supported by an advocate or representative where appropriate.
• Safeguarding, serious incidents or immediate risks must be escalated without waiting for the complaint process.
• Complaints should be investigated by someone sufficiently independent of the issue where practicable.
• Responses should explain findings and actions without disclosing inappropriate confidential information about others.

9. Procedures

Raising a complaint

A complaint may be raised verbally or in writing through appropriate AESN Care channels. Staff receiving a concern should listen, thank the person for raising it and make a suitable record.

Informal resolution

Where safe and appropriate, straightforward issues may be resolved promptly with the person's agreement.

Formal investigation

A formal complaint should be acknowledged within a reasonable period, assessed for safeguarding or immediate risk, investigated fairly and answered in clear language. Relevant records, care documentation, communications and witness information may be reviewed.

Response and escalation

The response should explain what was considered, what was found, any actions taken and how the person can raise further concerns if dissatisfied. External escalation routes will be signposted where applicable.

10. Reporting and Escalation

Safeguarding concerns, allegations of abuse, serious clinical or medication incidents where applicable, or immediate risks must be escalated promptly. Emergency situations should be referred to emergency services where necessary.

11. Records and Documentation

Complaints and outcomes will be recorded securely, including relevant dates, issues raised, investigation activity, response and learning. Records will be handled under data protection requirements.

12. Training and Competence

Relevant staff will receive guidance on listening to concerns, complaint recording, safeguarding escalation, confidentiality and respectful communication.

13. Monitoring and Compliance

Management will monitor complaint themes, response quality, recurring issues and actions. Trends may be reviewed alongside incidents, safeguarding concerns, feedback and quality audits.

14. Breaches / Non-Compliance

Failure to respond appropriately to complaints may be addressed through management action and, where relevant, disciplinary, safeguarding or governance processes.

15. Equality, Diversity and Human Rights

Complaint handling will respect dignity, equality, communication needs, cultural needs, disability, advocacy rights and human rights.

16. Confidentiality and Data Protection

Complaint information will be shared only where lawful and necessary. Special category information, including health information, will receive appropriate protection.

17. Related Policies and Procedures

• Safeguarding Policy
• Whistleblowing Policy
• Data Protection Policy
• Privacy Policy
• Quality Assurance Policy
• Quality Policy

18. Review and Continuous Improvement

Complaints will be treated as a source of learning. Actions may include changes to care planning, communication, training, supervision, procedures or service arrangements.

19. Policy Review

This policy will be reviewed periodically and following significant legislative, regulatory or service changes.

Related Policies

• Safeguarding Policy
• Whistleblowing Policy
• Quality Assurance Policy
• Quality Policy

Review Arrangements

This policy will be reviewed by AESN Care Management at appropriate intervals and sooner where there is a significant change in legislation, regulation, service delivery, risk, guidance, learning from incidents or complaints, or organisational arrangements. Review findings and resulting actions will be documented.

Approval

Approved by: AESN Care Management