Complaints, Concerns & Compliments Policy

01Introduction

Sanctura recognises that there may be occasions when patients, their families or carers, staff, or others express dissatisfaction with the care or services provided. We are committed to addressing concerns promptly and effectively. By handling issues quickly, we aim to resolve matters appropriately and identify opportunities to improve our services.

We also value compliments, which highlight areas of good practice. Positive feedback is shared with staff to recognise good practice and support continuous improvement in care standards. Sanctura ensures that its complaints procedure is fair, accessible, transparent and available to all.

02Policy Statement

All concerns and complaints are treated seriously and investigated promptly according to this policy. Staff receive appropriate guidance and training to handle concerns and complaints effectively, and all individuals have access to information on how to raise concerns.

Sanctura is committed to removing barriers that might prevent people from voicing concerns. Reasonable support will be provided to people who need assistance to make a complaint, which may include help to communicate their concerns, interpretation, accessible formats or information about appropriate advocacy support.

Lessons learned from feedback are used to improve services, and recommendations arising from complaints are shared across the organisation where appropriate.

Sanctura complies with its legal obligations under the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, including Regulation 16 concerning complaints and Regulation 20 concerning the Duty of Candour where applicable.

03How to Submit Feedback

Compliments and concerns may be provided verbally or in writing to any staff member or directly to the Registered Manager. Complaints may be made verbally or in writing, including by email or letter.

Where a complaint is made verbally, the person receiving the complaint will record the relevant details and ensure that it is passed to the Registered Manager or appropriate person for handling.

Social media comments are not normally considered formal complaints unless the individual clearly raises a complaint through that channel and provides sufficient information for it to be addressed. Where appropriate, the individual may be invited to continue the complaint through a more suitable communication channel.

This policy is available on the Sanctura website and in printed form in publicly accessible areas. Information is also available in alternative formats and languages where reasonably required.

04Compliments Management

All written compliments are documented and shared with relevant staff, highlighting areas of good practice. Verbal compliments do not require formal documentation, but recording them is encouraged.

Formal acknowledgement of compliments is not required but may be provided where appropriate.

05Concerns Management

Many concerns arise from misunderstandings or lack of information and can often be resolved by providing additional information, advice, or an apology. Staff should address immediate healthcare needs where applicable, clarify whether the individual wishes to make a formal complaint, and take steps to resolve the concern promptly.

Wherever possible, concerns should be addressed promptly and resolved at the earliest appropriate opportunity.

All concerns that require recording are documented in the complaints log, noting the details, resolution and any further actions. Concerns that cannot be resolved informally are forwarded to the Registered Manager or appropriate senior person for further consideration.

06Complaints Management

Upon receipt of a complaint, it will be recorded in the complaints log and acknowledged in writing within two working days.

The Registered Manager will either investigate the complaint or assign a Lead Investigator who has appropriate knowledge and experience and, where reasonably practicable, is independent of the matters being investigated. If a Lead Investigator is designated, the complainant will be informed of their name and contact details.

The investigator will handle the complaint promptly and without undue delay.

Complainants should receive a written response within 20 working days from receipt wherever reasonably practicable. Timely responses are balanced with the need for a thorough and proportionate investigation, ensuring appropriate outcomes and learning opportunities for the organisation.

Regular updates should be provided to the complainant where an investigation is ongoing, with clear timescales for response. If the investigation cannot be completed within the expected timescale, the complainant should be informed of the reason for the delay and provided with a revised timescale.

• Contact the complainant to clarify their desired outcome.
• Give the complainant the opportunity to provide their account.
• Review relevant documentation and staff testimonies.
• Develop a timeline of events.
• Identify any shortcomings in care or service provision.
• Use Root Cause Analysis where appropriate to determine underlying causes and identify corrective actions.

The Lead Investigator will decide whether the complaint is fully upheld, partially upheld, or not upheld and will document the findings and any actions arising from the investigation in the incident management system.

• How the complaint was reviewed.
• The conclusions drawn and whether the complaint was upheld in full, in part, or not upheld.
• Actions taken or proposed to address any issues identified.
• Information on how to request an internal appeal if the complainant remains dissatisfied.
• Information about further options available to the complainant.

07Internal Appeal

If a complainant is dissatisfied with the outcome, they may request an internal appeal.

A senior individual who was not involved in the original investigation will be appointed to review the complaint. The review may be undertaken by an appropriate member of Senior Leadership or the Directors, depending on the nature and circumstances of the complaint.

The complainant will be informed of who will carry out the review and how they can be contacted.

• Re-examine the investigation and the outcome.
• Speak with the complainant to ensure their concerns are fully understood.
• Carry out any further enquiries if needed.
• Decide whether the original outcome should be upheld or amended.
• Provide the complainant with a written response to the appeal decision within 20 working days, wherever reasonably practicable.

08Further Options

If the complainant remains dissatisfied following completion of the internal complaints process, they may provide feedback to the Care Quality Commission (CQC).

The CQC does not generally investigate individual complaints or act on behalf of complainants, but information received may be used to help monitor the quality and safety of healthcare services.

Where appropriate, complainants may also seek advice or support from an independent organisation or relevant professional or regulatory body.

09Monitoring and Learning

Sanctura views all feedback as an opportunity to improve care and services. We operate a ‘just culture’, where staff are not unfairly blamed for genuine mistakes but remain accountable for deliberate actions or inappropriate conduct.

Areas for improvement identified through complaints and concerns are addressed and shared across the organisation through appropriate governance meetings.

Complaint trends, themes, outcomes and actions are reviewed periodically to identify recurring issues and opportunities for service improvement.

Where appropriate, changes made as a result of complaints are communicated to relevant staff and incorporated into policies, procedures or training.

10Unreasonable or Vexatious Complaints

While most complaints are raised with the intention of seeking a resolution, some may be persistent, unreasonable or may have the effect of disrupting the complaints process.

Each case is considered individually and no complainant will be classified as unreasonable or vexatious solely because they have made repeated complaints or remain dissatisfied with an outcome.

Examples of unreasonable behaviour may include persistent contact after the complaints process has been exhausted, repeatedly raising substantially the same concerns without new information, making excessive demands on staff or resources, or threatening or abusive behaviour towards staff.

Where a complaint is considered unreasonable or vexatious, appropriate measures may include limiting communication to a single point of contact, agreeing a reasonable frequency or method of communication, or handling correspondence through an appropriate third party.

Any decision to apply such measures will be proportionate to the circumstances, documented and communicated to the complainant in writing. Any restrictions will be kept under review and may be lifted where circumstances change.

The application of this section will not prevent Sanctura from considering new or significant information or from taking action where there is a genuine concern about the safety or quality of care.

11Records Management

All complaints and related correspondence are securely recorded and retained in accordance with Sanctura's records retention requirements and applicable data protection legislation.

Information relating to complaints will be handled confidentially and access will be restricted to those who need the information for the purposes of investigating, managing or learning from the complaint.

Feedback correspondence will not routinely be included in a patient's clinical record unless it is directly relevant to their health, care or treatment.

The Registered Manager is responsible for ensuring that complaints records are appropriately maintained and securely stored within the incident management system.

12Monitoring Compliance

Compliance with this policy is monitored through regular review and audit of complaints and concerns.

• The number and nature of complaints and concerns received.
• Response and investigation timescales.
• Outcomes and actions arising from complaints.
• Recurring themes or trends.
• Whether learning and improvements have been implemented.

Lessons learned are shared electronically and through appropriate governance meetings with relevant staff.

The complaints process and this policy will be reviewed periodically to ensure that it remains effective, accessible and compliant with applicable regulatory requirements.

13Document Details & Revision History