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LEADERSHIP TEAM REPORT 1 November 2017

LEAD OFFICER: Richard Edmunds, Head of Democratic & Strategic Services REPORT AUTHOR: Caron Davies, Complaints & FOI Manager

COMPLAINTS – ANNUAL REPORT 2016/17 & MID YEAR UPDATE FOR 2017/18 1. Purpose of report 1.1 To provide Leadership Team with an update on the changes made to the

administration of complaints and an overview of the complaints performance for the financial year 1st April 2016 to 31st March 2017; and for the period 1 April 2017 to 30 September 2017.

2. Key messages 2.1 2.2 2.3 2.4 2.5 2.6 2.7

During the 2016/17 financial year, the authority received a total of 123 complaints:

95 stage one;

6 stage two; and

22 via the Public Services Ombudsman for Wales. This represents a 27.65% decrease on the previous financial year when there were a total of 170 complaints. There was a spike in corporate complaints in quarter one during 2016/17, however the complaints decreased steadily after this period. It is disappointing to note that there were 11 late responses to complaints during the financial year, resulting in an overall compliance rate of 91.1%. There were 2 late stage one and one late stage two responses for Social Care and 8 late corporate stage one responses. The Administration and Business Services Review initially had a negative effect on complaints performance however the creation of the central complaints team quickly had a positive impact. The Team now places a greater emphasis on supporting service areas resolve issues to prevent complaint escalation and repetition. During the first half of the 2017/18 financial year (1 April – 30 September), the authority received a total of 45 complaints compared with 77 in the same period last year. This represents a 41.56% decrease for the same period in the previous year. The compliance has increased dramatically from 87% last year when there were 10 late complaints to 97.78% this year when there was one late response.

3. Recommendations 3.1 Leadership Team are invited to note the information presented in this report, and agree

to support the central Complaints and FOI Team in their work. The Team aims to work proactively with service areas to focus on learning and service improvement to reduce

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the number of complaints received by the authority.

4. Background 4.1 4.2 4.3 4.4 4.5 5. 5.1 5.2 5.3

Complaints received by the authority are dealt with via one of two complaints processes:

• Social Care complaints follow a statutory procedure Social Services Complaints Procedure (Wales) Regulations 2014 and the Representations Procedure (Wales) Regulations 2014.

• All other complaints relating to the central council service areas are dealt with via the Corporate Complaints Procedure. This is not a statutory procedure, but follows the Model Concerns and Complaints Policy issued by the Welsh Government.

Since August 2016, a central Complaints and FOI Team has been responsible for coordinating responses to all complaints and FOI requests. This Team was formed as part of the Council’s Administration and Business Support Review. All complaints, outcomes and lessons learned (apart from those relating to schools; received from the Welsh Language Commissioner; and internal HR issues) are now managed centrally. Despite improvements in the number of complaints received during 2016/17, the Council still receives a large number of enquiries which divert resources away from front line service delivery. This reduces overall customer satisfaction when people are using or receiving Council services. The introduction of a centralised Team is providing a more consistent and efficient approach to managing the Council’s complaints process. The team has been meeting with service areas to analyse complaints, review lessons learned, develop relationships and provide support. Going forward we are keen to review service standards for customer contact in more detail, in an attempt to improve communication to further reduce customer enquiries and complaints. Summary of overall performance The total number of complaints received by the Council has decreased considerably over the past three years. This trend is also reflected in the number of complaints received to date in the current financial year. Overall, both stage one and stage two complaints decreased significantly during the financial year 2016/17. In the period 1 April – 30 September 2017, both stage one and stage two complaints have continued to decrease. There was a drop in stage one complaints from 138 during 2015/16 to 95 during 2016/17. Stage 2 decreased from 17 in 2015/16 to 6 in 2016/17. There was an increase in complaints made to the Public Services Ombudsman of Wales (PSOW) from 16 during the period 2015/16 to 22 during 2016/17 however four of these complaints were from a group of neighbours regarding the same issue.

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5.4 5.5 5.6

5.7

There was one investigation by the Ombudsman during 2016/17, a Social Care complaint was investigated but settled at an early stage. The authority provided the complainant with a report into the outcome of an investigation regarding issues raised by the resident at a care home. The number of complaints upheld in the financial year 2016/17 was; Upheld Part Upheld Not Upheld Quick Fix Social Care Stage 1 0 2 4 N/A Social Care Stage 2 0 1 0 N/A Corporate Stage 1 35 4 50 N/A Corporate Stage 2 2 2 1 N/A PSOW 0 0 20 2

For the period 1 April – 30 September 2017, stage one complaints decreased from 59 during 2016 to 29. Stage 2 decreased from 5 to 3. The complaints made to the Public Services Ombudsman of Wales remained the same at 13. During the period April – September 2017, there were 13 complaints made to the Public Services Ombudsman for Wales, however none of those complaints were investigated. The number of complaints upheld in the period April-September 2017 was; Upheld Part Upheld Not Upheld Quick Fix Social Care Stage 1 1 3 6 Social Care Stage 2 0 1 0 Corporate Stage 1 8 2 9 Corporate Stage 2 0 2 0 PSOW 0 0 13

The number of complaints per quarter is as per the graph below.

0

20

40

60

80

100ComplaintsReceivedperQuarter

Stage1SCH

Stage2SCH

Stage1Corp

Stage2Corp

PSOW

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5.8 5.9 6. 6.1 6.2

Lessons learned for both periods included;

• Adding communication as a standing item on the agenda for team meetings to ensure information is shared

• The importance of reviewing and updating webpages • Reviewing policies and procedures and ensuring teams are fully briefed

regarding any changes • Meetings and training between service areas to improve knowledge and

communication • Teams being aware of their responsibility and taking ownership • Mystery shopping is ongoing, also targeting areas that historically have had

issues. Charge hands have responsibility for that and for follow up spot checks. Responsibility with charge hands to then follow up with residents regarding issues raised. More ownership has led to very positive feedback from residents including one formal compliment.

• Management of correspondence through a generic mailbox • Being mindful of how residents could perceive visits by officers of the council

and of the Data Protection Act • Making forms more customer friendly • Manage expectations by communicating responsibilities clearly from the start

There were a number of compliments received thanking the council for support and various services provided, they are listed in the service area summary in Appendix 1 and included: • A resident passed on thanks for the work being completed by crews in the

Wainfelin area.

• “Social work is a very hard job and so often criticised and so it is then all the more important to recognise and praise good child focused practice.”

• “thank you for being there and caring in the way that you do, above and beyond what is expected. Without you, I know that my sister would not be able to cope.”

• “I feel the contribution of Young Carers has been significant and wanted to say thanks to you and your team for what you have done and continue to do”

Comparison of performance with other authorities It is currently not possible to quantify the level of complaints received by the Council compared to other local authorities and public bodies as no nationally defined measures are collected to benchmark performance. Other local authorities record service issues, enquires, comments and complaints in different ways which makes comparisons difficult to make. The PSOW have advised they are considering collating information from local authorities for benchmarking in the future. However, the PSOW does provide some comparison figures. This information shows there was an increase in the number of public body complaints received by the Ombudsman’s office. Torfaen still had a lower than average number of complaints when the figures were adjusted for population distribution – as demonstrated in the extract from the Public

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7. 7.1

Services Ombudsman of Wales’ Annual letter to the Council as set out below: Overall my office’s caseload has increased by 13% this year, with public body complaints seeing a 3% increase. Once again there has been a further rise in the percentage of health complaints, from 36% to 38%. Housing (13%), social services (9%) and planning and building control (8%) remain other significant areas of complaint.

In reference to your local authority, the number of complaints has increased from 16 in 2015/16 to 23 in 2016/17. Planning and Building Control (4) and Children’s Social Services (4) were the most complained about subject areas. Only 9% of complaints required PSOW intervention. The average number of complaints adjusted for population distribution was 25. Performance summary by service area 2016/17 Financial Year A full break down of the complaints received by each service area during the 2016/17 financial year is outlined in appendix one to this report. The number of stage one complaints received by each service area during 2016/17 is shown in the chart below;

The number of stage 2 complaints received by service area in 2016/17 is shown in the chart below.

2

1

3

52110

9

6

38

Stage1complaints2016/17

Corporate

CSU

Educa=on

NeighbourhoodServices

PPP

PSSU

Resources

SocialCare

1

1

11

2

Stage2complaints2016/17

CSU

NeighbourhoodServices

PPP

SocialCare

CrossDepartmental

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7.2

Stage One Complaints There were reductions in stage one complaints in the following areas; Neighbourhood Services reduced from 70 in 2015/16 to 52 in 2016/17. This may be attributed to the proactive work being undertaken by Waste teams in particular, as well as the Complaints/FOI Team separating complaints from service issues. Planning and Public Protection reduced from 16 in 2015/16 to 11 during 2016/17. There is a continuing trend of complainants not understanding how decisions are reached. Whilst this may be attributed to communication, the processes involved are often complex and may be ingrained in Planning law that affords certain discretion. The decisions made may often be unpopular with at least one party. Resources complaints reduced from 16 during 2015/16 to 9 in 2016/17. There was only one theme which was in relation to communication. Revenues & Benefits in particular have taken steps to improve literature and rectify any system issues that had been identified. Social Care complaints decreased from 7 to 4 in Adults Services and decreased from 3 to 2 in Children’s services. There were no discernable trends as the responses were more about providing clarity to aid customers understanding of policy and processes. As a lessons learned we are looking to provide information leaflets to manage service users expectations. Stage Two Complaints The stage two corporate complaints decreased from 13 in 2015/16 to 5 in 2016/17. There were no recurring themes. Social Care stage 2 complaints decreased from 4 during 2015/16 to 1 in 2016/17. Current Financial Year (April – September 2017) Stage One complaints A summary of the number of stage one complaints received by each service area for the period April – September 2017 is shown in the chart below.

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8. 8.1 8.2

There was a large reduction in stage one complaints in Neighbourhood Services, falling from 38 to 10. Reductions have also been visible across other service areas including Resources, Education and the Chief Executive’s Service. The only area that has seen an increase has been Social Care. 10 complaints have been received in comparison to 3 for the same period during 2016. There were 5 complaints for both Children’s and Adult Services. There were no themes in Children’s Services, but in Adults Services a few complaints have been around Continuing Health Care (CHC) funding which is approved by the Local Health Board; and the families of elderly residents who have complained about decisions which have been made based on the wishes of the service user that they disagree with. Stage Two complaints The number of stage 2 complaints received by service areas during the period April to September 2017 is shown in the chart below.

The stage two corporate complaints decreased from 5 during the period April to September 2016 to 2 during the same period in 2017. One was part upheld and one was not upheld. Social Care complaints had one stage two complaints during the period April to September 2016 and one stage two complaint during the same period in 2017, which

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63

10

StageonecomplaintsbyserviceareaApril-September2017

NeighbourhoodServices

PPP

Resources

SocialCareandHousing

1

1

1

StagetwocomplaintsbyserviceareaApril-September2017

Resources PPP SocialCare

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8.3 9. 9.1

9.2

was part upheld.

Overall response rates The agreed target for the Council to respond to complaints is that 95% of complaints received will be responded to on time. During 2016/17 there was a decrease in the compliance with response time at stage one from 97.1% to 88.42%. There were 5 late responses from Neighbourhood Services, 2 from P&PP, 1 from Resources and 2 from Social Care. There was 1 late Stage 2 response that was Social Care. This was due in part to sudden staff changes during the Administration and Business Services review.

Complaints received and responded to

Financial Year

Stage 1

Late response

% on time

Stage 2

Late response

% on time Omb Inv

2014/15 167 14 91.62% 24 0 100% 26 0

2015/16 138 4 97.10% 17 4 76% 15 1

2016/17 95 11 88.42% 6 1 83% 22 1

2017/18 Apr-Sep 29 1 96.55% 3 0 100% 13 0

From 1 April to 30 September 2017, the stage one response rate has increased to 96.55%. There was one late response in Social Care in Adult Services due to key staff not being available. Complaint prevention

Whilst the Leadership Team can be assured that the complaints process is robust and the Council is responding appropriately to complaints received, there is still an opportunity to improve service delivery by: • Considering and acting upon the intelligence afforded through repeated enquiries

and complaints; • Ensuring there are sufficient cover arrangements in place in service areas when

officers are absent from work; and

• Ensuring service areas provide requested information in a timely manner to ensure the Council’s target of 95% is met.

During the past year, service areas have started to work more proactively with the Corporate Complaints / FOI Manager focusing on complaints prevention. The following are good examples of work undertaken: • Regular meetings are held by the Complaints/FOI Manager and key officers in

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9.3

service areas to discuss matters arising and lessons that can be learned. • Relationships and communication has improved between the Waste, Customer

Services and Complaints and FOI teams. When service issues are addressed promptly the number of complaints is reduced.

• Monthly meetings take place with the Heads of Adult Services and Children & Family Services. This ensures that information is shared to resolve as well as prevent complaints. This also assists with the Complaints Team’s understanding of the processes involved within the Social Care arena.

• Departments have taken advice with regards to gaps that were present on the

website and have worked to rectify these issues. These have been identified following previous complaints so updates should ensure that customers are properly informed in advance.

• Identifying areas where advice leaflets in Social Care can provide service users

and staff with key information, this will ensure that people are aware of what is or is not available from the onset which is crucial in managing expectations.

• The Public Services Ombudsman publishes a quarterly case book of complaints

they have investigated. This is reviewed by the complaints team and circulated to relevant service areas to learn from complaints against other authorities and to share recommendations.

All of these actions demonstrate the benefits of effective shared learning and collaborative working. Communication has historically been a primary cause for complaints, the efforts being made to improve upon this has seen the reduction in service issues escalating into complaints, particularly within Neighbourhood Services.

10. Conclusions and further action 10.1

The authority is provided with a wealth of information via complaints and customer comments and it is a missed opportunity if service areas do not act on the intelligence received to improve their services. When feedback is ignored it risks changing from being an asset to a cost.

10.2 10.3 10.4 10.5

A critical part of dealing with and resolving complaints are the lessons learned and the actions that have been agreed and implemented as a part of the resolution. There is a risk to the council’s reputation if residents and the Public Services Ombudsman’s Office perceive that complaints are not dealt with appropriately. Whereas the reactive nature of complaints previously caused difficulties for the service areas allocating time to investigate, the new team is now focused on undertaking these tasks and working with service areas to gather the necessary information to provide a timely response. We also use this opportunity to discuss intelligence and challenge their enquires, complaints and responses, in an attempt to further reduce the overall number of complaints and enquires received. During the time that it has been established, the Complaints Team has worked closely with many of the service areas to support officers with various issues. The team has continued to provide advice regarding Cemeteries and Allotments. Training opportunities within Social Care also remains a focus. It is also intended that the information in this report is presented to CPA at the next meeting on 8th November 2017.

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Appendices Appendix one - Performance breakdown by service area for the financial years 2016/17 and 2017/18 (April – September)

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APPENDIX ONE BREAKDOWN OF COMPLAINTS BY SERVICE AREA Community Services Unit The number of complaints received by the service area over the past three years is;

Stage 1 Late Compliance Stage 2 Ombudsman 2014/15 2 0 100% 1 0 2015/16 3 0 100% 0 1 2016/17 1 0 100% 1 1 2017/18 April to Sept 0 0 N/A 0 0

2016/17 Annual Update; The stage one complaint was upheld. • A course had been changed with only one week notice being given. Complainant was

told he could be compensated and claimed gender bias was displayed by the staff member.

The stage two complaint was recorded as a stage one during 2015/16 and was in relation to poor communication and a failure to explain to the complainant how to escalate their complaint to stage two. This complaint was part upheld. There was one complaint to the Public Services Ombudsman’s Office, this was premature and the authority were asked to deal with the complaint at stage 2 (see above) and pay £25 time and trouble for failure to advise of the process. Lessons learned included equalities training and communication added as a standing item on the agenda for team meetings with the manager undertaking file audits. 2017/18 April - September There were no complaints for the Community Services Unit between April and September 2017.

Corporate

A new category was created during 2016/17 to record complaints that fall outside of a specific service area or cross between departments.

The two complaints below were received in social care but related to financial matters. Addressing these via the Corporate Complaints procedure is permitted as the complaints are not relating to the care provided. The process is more straightforward and does not incur extra cost if the complaint is escalated to stage 2.

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The number of complaints received during 2016/17 is:

Stage 1 Late Compliance Stage 2 Ombudsman 2016/17 2 0 100% 1 1 2017/18 April to Sept

0 0 N/A 0 1

Both stage one complaints were part upheld.

The complaints for 2016/17 were: • Complaint regarding the financial assessment for Direct Payment charges. The resident

believed that our inclusion of Disability Living Allowance care component did not correlate with regulations within the Social Care & Well-being Act.

• The second complaint related to allocation of sheltered accommodation. A resident was in hospital and did not move into the accommodation. They had been misinformed by a social worker that Housing Benefit would be paid. A factsheet was disseminated by Revenues & Benefits to social care teams as a result.

The first complaint progressed to stage 2. The findings were that the authority acted within accordance of the Act. It was acknowledged that more could have been done regarding consideration of income; a new assessment was completed although it did not affect the outcome. An individual complained to the Public Services Ombudsman’s Office about the actions the council had taken restricting their access to a council building. The Ombudsman found that the council had taken the appropriate action in line with their policy. 2017/18 April – September No Stage 1 or Stage 2 Complaints for April to September 2017.

However, a complaint from the previous year was escalated to the Ombudsman. This complaint encompassed both social care and finance, the Ombudsman made the decision not to investigate further.

Chief Executive’s Service

The number of complaints received by the service area over the past three years is; Stage 1 Late Compliance Stage 2 Ombudsman 2014/15 3 0 100% 0 0 2015/16 2 0 100% 0 0 2016/17 4 0 100% 0 0 2017/18 April to Sept 0 0 N/A 0 0

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Of the stage one complaints received during 2016/17, two were upheld, one partially upheld and one not upheld. There was an increase in complaints to the previous year. Two were regarding the Welsh Language (signage and wording on election forms) which were upheld. Two were regarding elections, one relating to the online process for a postal vote was part upheld and one regarding the removal of a local polling station was not upheld. Lessons learned included an email sent out to all staff within the authority to advise them of the importance of ensuring that signage should display both Welsh and English languages equally and proof reading of documentation. 2017/18 April – September There were no complaints recorded for Chief Executive’s Service during April and September 2017. Customer Services The number of complaints received by this area over the past three years is; Stage 1 Late Compliance Stage 2 Ombudsman 2014/15 10 0 100% 1 1 2015/16 9 0 100% 0 0 2016/17 4 0 100% 0 0 2017/18 April to Sept 0 0 N/A 0 0

Of the stage one complaints received during 2016/17, 3 were upheld and 1 was not upheld. • The provision of a Welsh Language telephone line not being answered was upheld.

• A refusal of a blue badge was upheld, lessons learned from this were that the website

was updated, reviewed links to guidance, messages sent via MCS and wording on award letters.

• A complaint relating to a bulky collection for waste was not upheld.

• The final complaint focussed on lack of communication following a report regarding staff conduct.

There were no stage two complaints or complaints to the Ombudsman’s office. Lessons learned included reviewing shift patterns, a voicemail and hunt groups were implemented. Website updated, reviewed links to guidance, messages sent via MCS and the wording on award letters. Update to the App regarding customer response requirements. 2017/18 April – September No complaints were received during this time period.

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Education The number of complaints received by the service area over the past three years is; Stage 1 Late Compliance Stage 2 Ombudsman 2014/15 14 0 100% 4 4 2015/16 5 0 100% 2 2 2016/17 3 0 100% 0 4 2017/18 April to Sept 0 0 N/A 0 0

Of the stage one complaints received in 2016/17, 2 complaints were not upheld and one was part upheld.

• One complaint related to a notice served by the Education Welfare Service • The second complaint was regarding a pupil who had a nut allergy • The final complaint related to missing dinner money and the processes in place

There were no stage two complaints.

There were four complaints received via the Public Services Ombudsman for Wales.

• Two were regarding a school closure; one was premature and was not investigated as the council had not made the final decision, one was not addressed as the Ombudsman was satisfied the council had taken the necessary steps.

• Two were relating to unsuccessful school admissions; both were not investigated as

there was nothing to show that the decision was not made properly by the authority or the Panel.

Lessons learned were that a lockable tin was introduced to the schools for dinner money but it is difficult for the authority to manage this procedure when the collection is made at the school.

2017/18 April – September

There were no complaints during this time period.

Neighbourhood Services

The number of complaints received by the service area over the past three years is;

Stage 1 Late Compliance Stage 2 Ombudsman 2014/15 89 6 93.26 7 9 2015/16 70 1 98.57 6 3

2016/17 52 5 90.39 1+1* 5

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2017/18 April to Sept 10 0 100% 0 2

*cross departmental complaint with insurance 2016/17 Annual Update

Of the stage one complaints received in 2016/17, 24 complaints were upheld and 28 were not upheld. The number of stage one complaints received during 2016/17 decreased on the previous year, however initially the uncertainty around the Administration and Business Services review had a negative impact on performance due to sudden staff changes. The formation of the new Complaints/FOI team in September 2016 has had a positive impact and contributed to service issues being identified and processed via the correct channels, rather than recording all as complaints. The complaints were relating to the following services; • The number of complaints relating to all aspects of the waste service decreased from 51

in 2015/16 to 33 in 2016/17. The majority of complaints related to on-going missed collections and the non-return of items. Monitoring exercises have continued which involved visiting areas before crews attended, watching them work, and then looking at an area after they left. Other actions taken as a result of complaints were;

i. Letter drops to residents regarding vehicle access issues,

ii. Crews reminded about expected standards and behaviours that lead to complaints being made,

iii. Maps and lists being provided to crews for repeatedly missed properties,

• There were 8 complaints in relation to streetscene, one of which highlighted inaccuracies on the website regarding abandoned vehicles which has been amended by the department.

• The remaining 11 complaints related to highways, allotments, cemeteries, transport and one complaint that incorporated aspects of waste, highways and streetscene.

Lessons learned included;

• updating the webpages • being aware of the importance of prompt communication • all staff and contractors being mindful of the importance of customer service

o officers knowledge of council policies o staff training o policy reviews o waste chargehands feedback to management on complaints, o changed the system for closing down waste calls which has improved management

of customer requests The Complaints Team has been made aware of one compliment received during the period in which a resident passed on thanks for the work being completed by crews in the Wainfelin area.

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2017/18 April – September Stage 1 complaints have decreased from 35 to 10 for the same time period last year. There were 5 for Waste, 3 for Grounds Maintenance, 2 in respect of Transportation. Three complaints were upheld. The 2 complaints for Transportation were in relation to school transport – one alleged discrimination against a faith school pupil who was refused a bus pass and the other delays with taxi transport for a child to the family home. Waste complaints were primarily missed collections, with one complaint about the HWRC. Grounds maintenance included 2 complaints in respect of trees and 1 for staff attitude. Lessons learned: Customer Services do not follow up on calls to residents. It is up to the service area to reply to a resident request. Explore ways to see if alerts can be provided for follow up actions in Mayrise. Waste; • Poor performing crews have been addressed. There were some recurring issues last

year which led to disciplinary action. The service area has since trained up other loaders to become drivers to provide more adequate cover, looking to recruit to fill vacancies in waste collection teams. This also spanned over the previous year.

• Mystery shopping is ongoing, also targeting areas that historically have had issues.

Charge hands have responsibility for that and for follow up spot checks. Responsibility with charge hands to then follow up with residents regarding issues raised. More ownership has led to very positive feedback from residents including one formal compliment.

• Directing all queries through the waste mailbox has led to better management of

correspondence. • The waste team have continued to have regular meetings with Corporate Complaints

and Customer Services enabling more proactive communication. There were no Stage 2 complaints. Both complaints to the Ombudsman were in respect of school transport and the criteria for a bus pass, the Ombudsman has declined to investigate as the authority was following its policy. A compliment for the Waste department was received from a resident who had been having on-going issues with missed recycling. As per the departments new processes, the Chargehand went to the property and spoke to the complainant, the crew arranged the collection & this was monitored going forward. The resident thought that the whole process was very efficient.

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Planning and Public Protection The number of complaints received by the service area over the past three years is; Stage 1 Late Compliance Stage 2 Ombudsman 2014/15 21 4 81% 4 4 2015/16 16 0 100% 3 0 2016/17 11 2 81.82% 1 4 2017/18 April to Sept 6 0 100% 1 3

2016/17 Annual Update Of the stage one complaints received during 2016/17, 2 were upheld, 9 not upheld. Many of these could be based on the customer expectation versus Council’s limitations. In some cases the Council are governed by legislation or rely on professional bodies to enable them to carry out actions, such as food, health and safety guidelines or planning laws. There were 4 complaints received in relation to the Development Control (Planning) area. One was upheld which resulted in a credit of monies paid to allow a resubmission for a planning application, others were unhappy with the outcome of planning application decisions. Public Health received 6 complaints, 1 was upheld because a better explanation of the noise process could have been provided, other issues included dog control and health & food inspections. Licensing received 1 complaint regarding a licensing conviction appearing in the press, this was outside of the Council’s remit, press are allowed to report on information that is publicly available. There was one stage 2 complaint. This was a Tree Preservation Order (TPO) matter, this was not upheld as the process had been followed. There were 4 complaints made to the Ombudsman’s office. One Trading Standards complaint, where it was felt the council had handled the case appropriately: two Planning cases made, planning legislation had been followed in first case and second case was a premature complaint due to no application being received for proposed works; and one Public Health complaint in respect of a licence. The Ombudsman’s office advised none of the above cases would be investigated. 2017/18 April – September There were 6 Stage 1 complaints. The largest number of complaints (3) was received in relation to the Development Control (Planning) area, followed by 2 complaints for Public Health and 1 for Licensing. None of the complaints in Planning were upheld. All 3 complaints were regarding processes, one included alleged fraud by a neighbour which would need to be investigated by the Police rather than the Council.

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Public Health complaints were regarding intimidation (upheld) and an E-coli health scare (not upheld), the latter was referred to Public Health Wales, who are the organisation that carries out the testing of samples. The Licensing complaint was regarding victimisation by officers and was unfounded (not upheld). From a lesson learned perspective, public health officers were advised to be mindful of how people perceive their visits, to keep officer attendance to a minimum and work within the parameters of confidentiality and the data protection act. A student attended the call in addition to two officers from separate areas of the council that both had a part to play in the investigation which was a bit intimidating to two elderly residents. There was one stage 2 complaint regarding a lack of consultation from planning. This complaint was not upheld. Of the 3 cases that were presented to the Ombudsman, 2 had not previously complained to the authority and were anonymised; we were unable to match the 2 cases to any previous complaints. The third was a Planning complaint which had been dealt with at Stage 1 and Stage 2 but was not investigated by the Ombudsman’s office. Public Services Support Unit The number of complaints received by the service area over the past three years is; Stage 1 Late Compliance Stage 2 Ombudsman 2014/15 0 0 N/A 0 0 2015/16 0 0 N/A 0 0 2016/17 0 0 N/A 0 0 2017/18 April to Sept 0 0 N/A 0 0

There were no complaints for PSSU. Resources

The number of complaints received by the service area over the past three years is; Stage 1 Late Compliance Stage 2 Ombudsman 2014/15 17 2 88% 2 1 2015/16 16 0 100% 2 0 2016/17 9 1 89% 2* 1 2017/18 April to Sept 3 0 100% 1 0

2016/17 Annual Update Of the stage one complaints received during 2016/17, 3 were upheld and 6 were not upheld. A summary of the complaints and lessons learned is as follows:

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Financial Services – There were 7 stage one complaints in Revenues and Benefits, 1 in Insurance and 1 in Pensions. • 1 complaint related to the actions of an Enforcement Agency however no evidence to

support claims.

• A complaint regarding a summons being sent to an old address as a marker in the system had not been removed. This was the result of human error and apology provided.

• 1 resident complained that they had been told their account was clear but then received arrears letters. A balance needed to be paid before a direct debit could be set up, the customer accepted this.

• Another complaint related to an attachment of earning being enforced although the resident stated that they had not received a court summons.

• There was one complaint regarding the removal of an exemption from the Council Tax account, (the ownership had been passed to children prior to the death of the original owner). The new owner claimed that they had been informed differently. We explained the legislation but did acknowledge that explanations could have been clearer.

• Resident had provided documents although these were not processed resulting in a delay in benefits. The case has since being reviewed to ensure no repeat.

• There was a complaint about lack of communication and constantly changing benefit entitlements.

• A resident stated that they had chased an insurance claim several times and eventually told that they were waiting for a highways report. This resulted in procedures being reviewed.

• A daughter contacted regarding mother’s pension, daughter was asked to submit POA although she stated that this had already been done. Pension payment had been stopped in the meantime. POA was provided and matter resolved.

There were two stage 2 complaints that were partially the responsibility of Resources: A cross departmental complaint between insurance and Neighbourhood services - resident complained about a lack of response to an insurance claim which was upheld. There was an issue with the tracker on a vehicle initially and a delay from the insurance company, but both waste and insurance agreed they could have responded sooner. A complaint was received that related to both Social Care and Benefits, the complainant wanted a calculation system reviewed to not include Disability Living Allowance (DLA) as income. There was one complaint to the Ombudsman; An ex-employee claimed financial loss and hardship as the authority had requested a private occupational health report in order to process access to superannuation. The Ombudsman is not able to investigate as it is a private matter but advised a union, ACAS or Citizens Advice might be able to assist.

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Lessons learned included; • a review of a benefit case with clerical officers to ensure there is no reoccurrence of the

error.

• Insurance reviewed procedures and implemented an action task when additional assistance may be required.

• Insurance and Neighbourhood Services met to discuss a way to improve communication, requests will go through a nominated officer in Neighbourhood Services in future to co-ordinate information required.

2017/18 April - September There were 3 complaints during the period April to September 2017. These were all in relation to Revenues and Benefits. One was partially upheld and this was due to some confusion regarding an explanation, financial redress of £50 offered for time and trouble. There was one Stage 2 complaint in relation to Council Tax discount (as above) which was part upheld. Lessons learned include making forms more user-friendly including wording to better explain how benefit adjustments may be off-set. Systems looked at regarding timing of Council Tax bills and benefit adjustments. There were no complaints to the Public Services Ombudsman. Social Care and Housing Social Care Stage 1 Late Compliance Stage 2 Ombudsman 2014/15 8 2 N/A 2 1 2015/16 10 3 N/A 4 7 2016/17 6 2 N/A 1 5 2017/18 10 1 N/A 1 7 April to Sept 2016/17 Annual Update Social Care During 2016/17 the number of Stage 1 complaints received has decreased from 10 in 2015/16 to 6. It is worth noting that a further 77 queries for Children and Family Services and 39 for Adult Services were received. These were either referred elsewhere or not accepted as a complaint, but still required a significant amount of officer time. There is still learning that we have taken from the customer contact such as reviewing and amending processes and procedures and resident’s concerns passed onto the Commissioning Team to investigate.

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Under the Social Services Complaints Procedure (Wales) Regulations 2014 if a complaint is resolved to the satisfaction of the person who made the complaint by the end of the next working day that is excluded from consideration as a complaint. This investment in prompt resolution is crucial to competent complaint management and supports the creation of the central team to effectively handle such contacts. It increases customer satisfaction as sufficient resourcing enables an early response to complaints. The total number of calls (queries and complaints) dealt with in 2016/17 was 123 which is an increase on the 102 received in 2015/16. A total of 6 Stage 1 complaints were received: • 4 (66.67%) for Adult Services; and

• 2 (33.33%) for Children and Family Services.

No complaints for Adult Services went straight to formal investigation (Stage 2). 1 complaint for Children & Family Services went straight to formal investigation at stage 2 as directed by the Public Services Ombudsman for Wales. 5 complaints went to the Public Services Ombudsman for Wales; • 1 complaint went to stage 1 investigation for Adult Services at the request of the

Ombudsman.

• 1 Adult Services complaint was not investigated but the Ombudsman requested that we send details of a Commissioning report to provide the complainant with closure.

• 3 Children & Family Services complaints were not investigated. At completion of every stage of complaint the authority record the lessons learned. At the end of every Stage 2 and Ombudsman complaint an action plan meeting is established to ensure that all actions that have been agreed are taken forward and monitored on a regular basis. As a result of the complaints and concerns received, several lessons have been learned which have instigated changes in usual practices in order to prevent repeat occurrences and improve services going forward. These have included; Following a complaint for Children & Family Services, it has been recommended that meeting requests held in shared calendars should be made private and confidential. This estricts user access and will prevent officers who are not attendees viewing any content or attachments. Looking into a carers experience to develop a proforma to ensure each carer gets the same service. A complaint that was handled via the Corporate process due to benefit involvement also highlighted a training need within social care teams regarding Housing Benefit regulations. As a result of this the Head of Revenues & Benefits agreed to create a fact sheet for social workers to assist with basic understanding of requirements.

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There were 14 compliments during the year, 10 for Adult Services and 4 for Children & Family Services. The comments provided praise for care services and the way in which teams and individual staff members had dealt with specific cases and included; • “Very grateful for help and support when my father’s health deteriorated. He has been

outstanding and is a credit to the team.” • “Expressed thanks about everything done for father. Appreciated professionalism,

kindness and support what for us has been a difficult time in that we were very often unaware of how to cope with the situations that we were having to face. We have always had complete confidence and trust in the way you have assisted our father and knowing that we could rely on your competence has been a huge relief for us.”

• “these people are amazing and wonderful and superhuman!... I absolutely am in awe of their skill, tenacity, patience and love!”

• “Social work is a very hard job and so often criticised and so it is then all the more important to recognise and praise good child focussed practice.”

• “thank you for being there and caring in the way that you do, above and beyond what is expected. Without you, I know that my sister would not be able to cope.”

• “I feel the contribution of Young Carers has been significant and wanted to say thanks to you and your team for what you have done and continue to do”

• “Thank you all so much for your input and, if there is anything we can do to support your work, please do not be afraid to ask.”

2017/18 April - September Of the 60 queries received, 39 calls received for Children & Family Services and 21 for Adult Services, only 10 have become Stage 1 complaints. There have been 5 Stage 1 complaints in Children & Family Services and 5 in Adult Services. Many of the queries received are referred elsewhere e.g. POVA referral or not accepted as a complaint, but still required a significant amount of officer time. The number of Stage 1 complaints received has increased from 3 in the same period in 2016/17 to 10. There was one late stage one response in Adult Services. There were no themes in Children’s services but in Adults Services a few complaints have been around CHC funding which is approved by the Local Health Board and the families of elderly residents have complained about decisions which have been made based on the wishes of the service user that they disagree with. There was one Stage 2 complaint for Adult Services which was partly upheld in that the authority did not adequately consult with a family prior to care changes being implemented. The fact that the changes were made was not upheld as the authority has a duty of care to both the staff and the service user. 6 complaints went to the Public Services Ombudsman for Wales, none of which the Ombudsman intends to investigate: • PSOW unable to investigate 2 cases due to court action being in place. • PSOW not investigating due to external organisation being responsible for the delays. • No investigations as contact with Council under complaints process has not been made • Two complaints concluded there was sufficient action taken by Council.

Lessons learned included;

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• Reminder for teams to communicate outcomes with families, good practice to re-visit for this purpose.

• Communication could be improved to manage service users and their families expectations, especially around the “What matters to the service user” conversation and to clarify responsibilities of health and social care

• Raise awareness that the phones cannot make overseas calls, but the system only gives an engaged tone so that officers are not made aware of this when trying to call.

There were a lot of compliments for Social Care, where service users and their families thanked officers for their empathy, compassion, professionalism, care, advice, help and support. Also thanks when the implementation of services has led to service users and their families having more confidence and mobility. Other comments were; • “she conducts herself in reassuringly professional yet friendly manner and her

communications are both timely and informative” • “I cannot speak highly enough of the service we received and we feel lucky to have had

such kind people on our case. Thanks again.” • “I am writing to thank you for the exceptional support and assistance you have provided

my parents over the last year, particularly in relation to the provision of care to Dad over recent months.”

• “Your prompt action in arranging an alternative Care Provider has made a significant impact on the quality of life for Dad and also importantly, my mum and for that I am most grateful.”

• “Could I send sincere thanks to your team for the care given to our father. From care given at home rapid response to emergency care. The ladies were the best we could we could have expected. That care allowed dad to stay at home with palliative care. Care & equipment was put in place quickly and efficiently. The care also included me as the main carer which I am very grateful making my job much easier.”

• “I noticed a lady passing my house, who suffers from Alzheimer’s. She was walking in the road and traffic was trying to avoid her, I went down the road after her. When I reached her she was holding the hand of a young lady who was obviously concerned not knowing who she was or where she came from, my neighbour sadly has lost all communication with people. I said I would take her home, the young lady could see that I would have difficulty with her on my own and she came with me. The reason I am telling you this is because she was an employee of the council on the home care team and I saw at first hand a young lady who went out of her way to help, she was in between her other clients but her immediate action was to offer support, she was so kind she took off her coat and made sure my neighbour was warm and stayed with us until we eventually reached her home which I might add was a very long way. I asked her how long she had worked for the council, she said she had been with you for 3 years and that she loved her job. This young woman showed such caring professionalism”.

Housing

Stage 1 Late Compliance Stage 2 Ombudsman 2014/15 3 0 N/A 0 0 2015/16 7 0 N/A 1 0 2016/17 3 0 N/A 0 0

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2017/18 0 0 N/A 0 0 April to Sept Housing follows the corporate complaints procedure. During 2016/17 a total of 3 Stage 1 complaints were received, none of these complaints went to an investigation at Stage 2.

No complaints went to the Public Services Ombudsman for investigation.

One complaint related to communication issues whilst the others were regarding poor workmanship and the unsuitability of an allocated property respectively. There were no discernible trends and no lessons to be drawn from the outcomes of all 3 complaints. 2017/18 April - September There were no Stage 1, Stage 2 or Ombudsman Housing complaints. There was one compliment from a resident for assistance in providing advice to his daughter regarding bidding for housing and commending the officer on their quick response and fast action.