Complaints Policy

1.0 Purpose

1.1 The Owl Centre is committed to delivering clinically safe, effective and person-centred services. We recognise that concerns and complaints are an important source of feedback and learning.

1.2 This policy sets out how concerns and complaints are raised, investigated and resolved in a fair, transparent and timely manner. It ensures:

Complaints are handled consistently and proportionately
Individuals are treated with respect
Learning is identified and implemented
Statutory and regulatory obligations are met

1.3 This policy applies to all clients, parents, carers and other stakeholders.

2.0 Principles

2.1 The Owl Centre will ensure that complaints are handled:

Promptly
Impartially
Respectfully
Confidentially
In accordance with UK law and CQC regulations

2.2 Raising a concern or complaint will not negatively affect the care provided.

3.0 Definitions

3.1 Concern
An expression of worry or doubt about an aspect of service, where reassurance or clarification is sought and where formal investigation is not initially required.

3.2 Complaint
An expression of dissatisfaction about an action taken, or a failure to act, which requires formal investigation and response.

4.0 Safeguarding

4.1 Safeguarding is the highest priority of The Owl Centre.

4.2 Where a complaint raises a safeguarding concern, this will be managed in accordance with the Safeguarding Policy and may involve referral to the appropriate safeguarding and/or regulatory authorities.

4.3 Safeguarding procedures take precedence over this policy.

5.0 Scope

5.1 This policy covers complaints relating to:

Clinical care and decision-making, including complaints resulting from review of outcome requests
Communication
Service delivery
Administrative processes
Professional conduct

5.2 It does not replace:

Safeguarding procedure
Staff grievance procedures
Data protection subject access rights
Regulatory or legal processes

5.3 Anonymous complaints will be reviewed where sufficient information is provided.

6.0 Time Limits

6.1 Complaints should normally be raised within 3 months of the issue arising.

6.1 Complaints outside this timeframe may be considered where:

There is reasonable justification for delay;
New information has come to light;
The matter is serious in nature.

6.2 The decision to investigate late complaints rests with the Clinical Governance team.

6.3 Time limits do not apply where the complaint relates to an allegation of abuse or other safeguarding concerns.

7.0 Complaints Procedure

7.1 The Owl Centre operates a three-stage process.

7.2 Stage 1 – Informal Resolution

7.2.1 Most concerns can be resolved quickly through direct discussion.

7.2.2 Process:

The concern should be raised with the relevant staff member or a member of leadership. Clients can raise concerns directly to: clinicalgovernance@theowl.org
A concern or complaint can be raised verbally, on the phone, during an appointment or sent in writing from the website form or by emailing clinicalgovernance@theowl.org
Acknowledgement will be provided by email within 2 working days. The Owl Centre will determine whether a complaint is handled informally or formally. This will typically be based on whether it can be quickly resolved or whether investigation is required.
A response will normally be provided within 15 working days.

7.2. 3 A written record will be maintained on NEST2 in accordance with UK GDPR and the Data Protection Act 2018.

7.2.4 If the matter is not resolved, the complainant or the organisation may escalate to Stage 2.

7.3 Stage 2 – Formal Investigation

7.3.1 Submission
A formal complaint will typically be submitted in writing to: Clinicalgovernance@theowl.org

If a complainant requires assistance to submit their complaint, reasonable support will be provided. This may involve reasonable adjustments such as alternative methods of communication.

7.3.2 Responsibility
Stage 2 investigations will be managed by the Clinical Governance Manager.
The Clinical Governance Manager will ensure the investigation is fair, proportionate, and evidence based.

7.3.3 Acknowledgement
The complaint will be acknowledged within 5 working days of receipt.

The acknowledgement will confirm:

The scope of the complaint
The investigation process
The expected response timeframe

7.3.4 Investigation Process
The investigation may include:

Review of clinical records (where applicable)
Review of administrative or operational records, such as phone records
Statements from relevant staff
Review of correspondence
Interviews where appropriate
Consideration of relevant policies, procedures or contractual requirements

A written response will normally be issued within 30 working days, unless a revised timeframe is agreed due to complexity.

7.3.5 Outcome
The outcome may include:

Complaint upheld
Complaint partially upheld
Complaint not upheld
Service improvements or remedial actions

Where appropriate, learning outcomes will be documented and reviewed through governance structures.

7.3.6 Escalation
If dissatisfied with the Stage 2 outcome, the complainant may escalate to Stage 3 within 15 working days of receiving the Stage 2 response.

7.4 Stage 3 – Review / Appeal

7.4.1 Purpose
Stage 3 is a formal review of the Stage 2 investigation.

It is not a full reinvestigation unless new material evidence is presented. The purpose is to determine whether:

The investigation was conducted fairly and proportionately
All relevant evidence was considered
The outcome was reasonable

7.4.2 Responsible Reviewer
Stage 3 will be conducted by a senior leader who was not involved in Stage 2, as follows:

Administrative or operational complaints will be reviewed by the Client Journey Manager.
Clinical complaints will be reviewed by the Head of Neurodevelopmental Services (Head of ND).

7.4.3 Review Process

The request for review must be submitted in writing within 15 working days of the Stage 2 outcome.
The review will normally be completed within 30 working days of receipt.
The reviewer may:
Re-examine documentation
Seek clarification from relevant parties
Consider whether further investigation is necessary

7.4.4 Possible Outcomes
The reviewer may:

Uphold the complaint
Partially uphold the complaint
Dismiss the complaint
Recommend further remedial action
Recommend systemic or procedural improvements

7.4.5 Final Decision
A final written decision will be issued within 10 working days of completion of the review.
This concludes The Owl Centre’s internal complaints process.

8.0 Complaints Involving Senior Leadership

8.1 Where the complaint concerns a member of the Senior Leadership Team:

The complaint should be directed to a Director, Nicola Lathey, or Chief of department.
If this is not appropriate, external escalation routes are available (see Section 11.0)

9.0 Staff Disciplinary Matters

9.1 If a complaint results in staff capability or disciplinary proceedings:

These will be managed under internal HR processes.
Specific disciplinary outcomes remain confidential.

10.0 Record Keeping

10.1 The Owl Centre will maintain secure records of:

The complaint
Investigation process
Outcome
Actions taken
Learning identified

10.2 Records will be stored securely in accordance with:

UK GDPR
Data Protection Act 2018
NHS Records Management Code of Practice (where applicable)

10.3 Complaint records are retained separately from staff personnel files.

11.0 External Escalation

11.1 If a complainant remains dissatisfied after Stage 3, they may escalate their concerns externally as follows:

11.2 NHS-Commissioned Clients

11.2.1 Clients referred under an NHS contract (including Right to Choose arrangements) may contact:

The relevant Integrated Care Board (ICB) responsible for commissioning the service; or
Patient Advice and Liaison Service (PALS) for the commissioning NHS Trust or ICB.

11.2.2 PALS can provide independent advice, support and guidance on NHS complaints processes.

11.2.4 Where a complaint relates to commissioning decisions, waiting times determined by the ICB, or funding arrangements, the complainant may be directed to the relevant ICB.

11.3 All Clients

11.3.1 All clients may contact:

Care Quality Commission (CQC) – for concerns relating to regulated activities and standards of care
Information Commissioner’s Office (ICO) – for concerns relating to data protection or confidentiality
Relevant professional regulators, such as:
Health and Care Professions Council (HCPC)
Nursing and Midwifery Council (NMC)
General Medical Council (GMC) (where applicable)
Independent legal advisors

11.3.2 The Owl Centre will cooperate fully with any regulatory, statutory or commissioning body in relation to complaints or investigations.

12.0 Unreasonable or Persistent Complaints

12.1 The Owl Centre is committed to fair access to its complaints process.

12.2 However, we reserve the right to manage contact where behaviour is:

Abusive, threatening or discriminatory
Excessive or harassing
Repetitive after full process completion
Knowingly false or defamatory

12.3 Where behaviour becomes unreasonable:

The concern will first be discussed with the complainant.
Written notification will be issued if behaviour continues.
Reasonable adjustments to contact methods may be implemented.

12.4 Any incident involving threats or violence will be reported to the police.

13.0 Social Media

13.1 Complaints should be raised directly with The Owl Centre to enable proper investigation.

13.2 We will not respond to individual complaints via social media platforms in order to protect confidentiality. The Owl Centre will only communicate with the Primary Contact listed on file, unless this contact provides permission for us to liaise with another contact. The Primary contact is usually the client themselves if adults, or someone with legal parental responsibility for children and young people.

13.3 Clients are asked not to contact staff through personal social media accounts.