The CQC look at this as part of the Responsive KLOE.

The intention of this regulation is to make sure that people can make a complaint about their care and treatment. To meet this regulation providers must have an effective and accessible system for identifying, receiving, handling, and responding to complaints from people using the service, people acting on their behalf or other stakeholders. All complaints must be investigated thoroughly and any necessary action taken where failures have been identified.

When requested to do so, providers must provide CQC with a summary of complaints, responses and other related correspondence or information.

CQC can prosecute providers for a breach of the part of this regulation (16(3)) that relates to the provision of information to CQC about a complaint within 28 days when requested to do so. CQC can move directly to prosecution without first serving a Warning Notice.

16.—(1) Any complaint received must be investigated and necessary and proportionate action must be taken in response to any failure identified by

the complaint or investigation.

(2) The registered person must establish and operate effectively an accessible system for identifying, receiving, recording, handling and responding to

complaints by service users and other persons in relation to the carrying on of the regulated activity.

(3) The registered person must provide to the Commission, when requested to do so and by no later than 28 days beginning on the day after receipt of

the request, a summary of—

(a) complaints made under such complaints system,

(b) responses made by the registered person to such complaints and any further correspondence with the complainants in relation to such

complaints, and

(c) any other relevant information in relation to such complaints as the Commission may request.

Point 1

People must be able to make a complaint to any member of staff, either verbally or in writing.

• All staff must know how to respond when they receive a complaint.

• Unless they are anonymous, all complaints should be acknowledged whether they are written or verbal.

• Complainants must not be discriminated against or victimised. In particular, people’s care and treatment must

not be affected if they make a complaint, or if somebody complains on their behalf.

• Appropriate action must be taken without delay to respond to any failures identified by a complaint or the

investigation of a complaint.

• Information must be available to a complainant about how to take action if they are not satisfied with how the

provider manages and/or responds to their complaint. Information should include the internal procedures that

the provider must follow and should explain when complaints should/will be escalated to other appropriate

bodies.

• Where complainants escalate their complaint externally because they are dissatisfied with the local outcome, the

provider should cooperate with any independent review or process.

Point 2

Information and guidance about how to complain must be available and accessible to everyone who uses the

service. It should be available in appropriate languages and formats to meet the needs of the people using the

service.

• Providers must tell people how to complain, offer support and provide the level of support needed to help them

make a complaint. This may be through advocates, interpreter services and any other support identified or

requested.

• When complainants do not wish to identify themselves, the provider must still follow its complaints process as far

as possible.

• Providers must have effective systems to make sure that all complaints are investigated without delay. This

includes: Undertaking a review to establish the level of investigation and immediate action required, including referral

to appropriate authorities for investigation. This may include professional regulators or local authority

safeguarding teams.

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