Step by Step Supporting Independence LTD.

September 2026

This policy is intended to comply with Regulation 16: Receiving and Acting on Complaints under the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014.

Current CQC guidance states that providers must operate an effective and accessible system for identifying, receiving, recording, handling and responding to complaints, and must investigate complaints thoroughly and take necessary and proportionate action where failures are identified.

This organisation believes that if a service user, family member or advocate wishes to make a complaint, register a concern or make a compliment, they should find it easy to do so. It is Step by Step policy to welcome complaints as well as compliments, and look upon them as an opportunity to learn, adapt, improve, and provide better services. This policy is intended to ensure that complaints are dealt with properly and that all complaints or comments by service users and their relatives and advocates are taken seriously.

A copy of this policy is displayed on the company website and an easy read complaints procedure is displayed in service users homes.

The policy is not designed to apportion blame, to consider the possibility of negligence or to provide compensation. It is not part of the organisation’s disciplinary procedure.

Step by Step believes that failure to listen to or acknowledge complaints can lead to problems escalating, service user dissatisfaction, and possible regulatory concern. Step by Step supports early, open, honest and local resolution wherever possible. If the complainant remains dissatisfied after Step by Step has completed its complaints process, they should be signposted to the Local Government and Social Care Ombudsman for individual adult social care complaints. CQC does not usually investigate individual complaints, but information about concerns can be shared with CQC where it may indicate a risk to people using the service or a wider regulatory issue.

Current regulatory requirements

Under Regulation 16, Step by Step must ensure that complaints can be made easily, including verbally or in writing and to any member of staff. Complaints must be identified, received, recorded, handled and responded to through an accessible and effective system. Any complaint received must be investigated and any necessary and proportionate action must be taken in response to failures identified by the complaint or investigation.

When requested by CQC, Step by Step must provide a summary of complaints, responses, further correspondence withcomplaints and any other relevant complaints information requested by CQC no later than 28 days beginning on the day after the request is received. Failure to provide this information may result in enforcement action.

Step by Step believes that, wherever possible, complaints are best dealt with locally between the complainant and Step by Step. If the complainant is not satisfied with the final response, they should be given details of the Local Government and Social Care Ombudsman. Where a complaint raises a concern about safety, quality, risk or regulatory compliance, information may also be shared with CQC. Contact details are as follows:

CQC telephone: 03000 616161

Complaints Procedure

Registered Managers, Gary Bowld and Kirsty Poole are responsible for the administration of the complaints procedure.

a) Every written complaint is acknowledged within 5 working days.

b) All complaints are investigated within 14 days of being made.

c) All complaints are responded to in writing by Step by Step within 28 days of being made.

d) Complaints are dealt with promptly, fairly, and sensitively with due regard to the upset and worry that they can cause to both staff and service users.

e) Changes are made to practice where necessary to ensure that problems/issues underlying complaints are dealt with thoroughly.

Verbal Complaints

• The organisation accepts that all verbal complaints, no matter how seemingly unimportant, must be taken seriously.
• Support workers who receive a verbal complaint are expected to seek to
  solve the problem immediately.
• If they cannot solve the problem immediately, they should offer to get their line manager to deal with the problem.
• Staff are expected to remain polite, courteous, sympathetic and professional to the complainant. They are taught that there is nothing to be gained by adopting a defensive or aggressive attitude.
• At all times in responding to the complaint, staff are encouraged to remain calm and respectful.
• Staff should not, make excuses or blame other staff.
• If the complaint is being made on behalf of the Service user by an advocate, it must first be verified that the person has permission to speak for the Service user, especially if confidential information is involved. (It is very easy to assume that the advocate has the right or power to act for the Service user when they may not). If in doubt it should be assumed that the Service user’s explicit permission is needed prior to discussing the complaint with the advocate.
• After discussing the problem, the manager or member of staff dealing with the complaint will suggest a means of resolving it. If this course of action is
  acceptable then the member of staff should clarify the agreement with the
  complainant and agree a way in which the results of the complaint will be
  communicated to the complainant (i.e. through another meeting or by letter).
• If the suggested plan of action is not acceptable to the complainant, then the
  member of staff or manager will ask the complainant to put their complaint in
  writing to the Registered Manager. The complainant should be given a copy of
  the company’s complaints procedure if they do not already have one.
• Details of all verbal and written complaints must be recorded in a complaints
  Form.

Serious or Written Complaints

Preliminary steps:

When we receive a written complaint, it is passed to the designated lead
manager, who records it in a complaints form and sends an
acknowledgment letter within 5 working days to the complainant.

A copy of the complaints procedure is included with the above.

If necessary, further details are obtained from the complainant; if the
complaint is not made by the Service user but on the Service user’s behalf, then consent of the Service user, preferably in writing, must be obtained from the complainant where required.

If the complaint raises potentially serious matters, advice could be
sought from a legal advisor. If legal action is taken at this stage, any
investigation by the organisation under the complaint’s procedure
ceases immediately.

Investigation of the complaint by the organisation:

Immediately on receipt of the complaint, Gary/Kirsty will
start an investigation and within 14 days should be in a position to
provide a full explanation to the complainant, either in writing or by
arranging a meeting with the individuals concerned.

If the issues are too complex for the investigation to be completed within
28 days, the complainant will be informed of any delays.

Meeting:

If a meeting is arranged, the complainant will be advised that they may,
if so desired, bring a friend, relative or a representative such as an
advocate.

At the meeting a detailed explanation of the results of the investigation
will be given, in addition to an apology if deemed appropriate (an apology
is not necessarily an admission of liability)

Such a meeting gives the management the opportunity to show the
complainant that the matter has been taken seriously and investigated
thoroughly.

Follow-up action:

After the meeting, or if the complainant does not want a meeting, a
written account of the investigation will be sent to the complainant. This
includes details of how to approach the Local Government and Social Care Ombudsman if the complainant is not satisfied with the outcome, and how to share information with CQC where the concern may indicate a regulatory risk.

The outcomes of the investigation and the meeting are recorded in the
complaints form, and any shortcomings in company procedures will be
identified and acted upon.

The company management formally reviews all complaints at least every
six months as part of its quality monitoring and improvement procedures
to identify the lessons learned

Step by Step supports the concept that most complaints can be resolved locally between the complainant and Step by Step. If this does not resolve the matter, the complainant will be signposted to the Local Government and Social Care Ombudsman. Step by Step will also consider whether the concern should be shared with CQC where it raises a risk to people using the service, a possible breach of the fundamental standards, or a wider regulatory concern.

Time Limits
You should complain as soon as you can after the date on which the event occurred or came to your notice. If you complain more than 12 months later, it can be more difficult to investigate properly. However, we will consider whether you had a good reason for not making the complaint sooner and whether, despite the delay, it is still possible to investigate the complaint effectively and fairly.

Local Government Ombudsman (LGO)
Since October 2010 the Local Government Ombudsman (LGO) can consider
complaints from people who arrange or fund their own adult social care. This is in addition to complaints about care arranged and funded by local authorities, which the LGO has dealt with for more than 35 years.

The LGO’s new role includes those who “self-fund” from their own resources or have a personalised budget. It will ensure that everyone has access to the same independent ombudsman service, regardless of how the care service is funded. In most cases they will only consider a complaint once the care provider has been given reasonable opportunity to deal with the situation. It is a free service. Their job is to investigate complaints in a fair and independent way; they are not biased and do not champion complaints; they are independent of politicians, local authorities, government department, advocacy and campaigning groups, the care industry, and
the CQC; they are not a regulator and do not inspect care providers.

The LGO is fully independent of the CQC. They deal with individual injustices that people have suffered and the CQC will refer all such complaints to them. The CQC deals with complaints about registered services as a whole and does not consider individual matters. They can share information with the CQC but only when deemed appropriate. The CQC will redirect individual complaints to the LGO, and the LGO will inform CQC about outcomes that point to regulatory failures.

Local Authority-funded Service users
Any Service user part or wholly funded by their Local Authority can complain directly to the complaints manager (Adults) who is employed directly via the Local Authority, In many of our service users cases (but not exclusively), Devon county council.

Making a Compliment or Suggestion

Often, people feel more comfortable making comments or compliments, suggesting improvements, than complaining formally.

Compliments and suggestions can be made by anyone receiving services from us, or from their friends and family. To make a suggestion, you can:

• Speak directly to Gary or Kirsty by ringing the office on 01626 867624.
• Utilise available feedback survey’s we undertake such as annual quality assurance.
• Send it to Gary or Kirsty by email or post.

Gary@stepbystepdomcare.com
Kirsty@stepbystepdomcare.com

3 Oak Park villas, Dawlish, devon ex7 0de.

Training

Kirsty Poole is responsible for organising and co-ordinating training.

All Step by Step should be trained in dealing with and responding to complaints. Complaints policy training is included in the induction training of all new staff, and in-house training sessions on handling complaints are conducted at least annually and all relevant staff should attend.

Name Gary Bowld
Date September 2026

Policy Review Date September 2027