Transcript Training for Local Authorities

New rights for people complaining
about adult social care providers
– an introduction
Objectives
> Introduce the Local Government Ombudsman
> Raise awareness about the LGOs’ new role in
dealing with complaints about adult social care
providers
> Explore the implications and help prepare for
new service
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Who are LGO?
> Commission for Local Administration in
England - the Local Government Ombudsman
Anne Seex
York
Jane Martin
Coventry
> Established in 1974
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How LGO operates
>‘Inquisitorial’ not ‘adversarial’
> Accessible and flexible
> Apply ‘rules of natural justice’
> Authority delegated to managers &
investigators
4
1,000 complaints about
social care issues each
year
October 2010 – Complaints about
action of adult social care provider in
connection with adult social care
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Note:
‘arrange and pay’ for social care includes
> funding from own resources
OR
> using Direct Payments or a Personal
Budget
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New powers - the law
Part 3A Local Government Act 1974
Introduced by Health Act 2009 – Section 35
and Schedule 5
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LGO working assumptions
Dealing directly with 13,000 providers across
27,000 locations will be very different to
dealing with 387 local authorities
Dealing with private contractual arrangements
will be different to public law issues
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LGO working assumptions
Some complaints will involve local authority
functions and private arrangements – our
specialist Adult Social Care Teams will deal
with both
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LGO working assumptions
Some complaints will raise safeguarding
concerns
We will encourage person who contacts us to
refer to local authority / local procedures
We will refer as ‘informed citizen’ if appropriate
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The law says LGO can investigate
Complaints by anyone claiming injustice
caused by an adult social care provider in
connection with a regulated social care activity
IF…
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…Ombudsman is satisfied that provider
has been told about it and given a
‘reasonable opportunity’ to investigate
and respond
OR
Ombudsman decides to pursue anyway.
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LGO working assumptions
As now, we will often need to contact the
provider before judging whether has been given
a ‘reasonable opportunity to consider and
respond’ to a complaint.
We need ways of doing this quickly.
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LGO working assumptions
When a provider has not been able to consider
and respond, we will generally say it is not
‘reasonable’ to give that opportunity when:
> grounds to believe may not handle effectively
> already unreasonable delay by provider
> significant adverse impact on person affected
> in exceptional circumstances, where the
provider requests.
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The law says LGO cannot investigate
> Employer / employee issues
> ‘Commencement or conduct’ of court
proceedings
> Anything we could investigate under existing
powers
> Anything the Health Services Ombudsman
could investigate
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The law says LGO cannot investigate
> Matters more than 12 months old unless
> Person affected has died or
> LGO decides to pursue
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The law says
Ombudsman has the power to
discontinue or not investigate a
complaint explicitly, if ‘… satisfied with
action which the adult social care
provider concerned has taken or
proposes to take…’
No-one has the ‘right’ to have their
complaint investigated.
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Ombudsman will not normally
investigate if:
> issue is trivial
> claimed injustice is not significant
> investigation is not practicable
> no worthwhile outcome
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Who can complain? The law says:
>‘a member of the public who claims to have
sustained injustice in consequence of the
matter’
OR
> someone authorised in writing by them
OR
> if dead or incapacitated
> personal representative or someone LGO
decides is ‘suitable’
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LGO working assumptions
Many contacts & complaints will be made ‘on
behalf of’ the person affected
LGO must accept such complaints if person
affected has given written authority and will
accept if made by an appointed Deputy
Otherwise, we will facilitate person affected to
make complaint themselves unless they lack
capacity
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LGO working assumptions
In many cases we may need personal contact
with the person affected to:
> check whether they want to make a complaint
> decide whether to start an investigation.
We will use ‘associates’ for many such contacts
but investigators will make the decisions.
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The law says:
> investigations are in private
> the LGO decides how to investigate
> the LGO has powers of High Court Judge to
obtain information
> obstructing an investigation can be certified as
contempt of court
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The law says
LGO can disclose information to CQC,
other public service Ombudsmen and the
Information Commissioner
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LGO working assumptions
We will write to the registered office of the
provider to inform of and invite comments on a
complaint
Our enquiries will generally focus on the
‘location’ and will be addressed to the
‘individual’ or ‘partnership’ and/or the
registered manager
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LGO working assumptions
We expect both parties to see any evidence that
we rely upon in reaching a decision unless it is
personal information about a third party
Information obtained during or for the purposes
of an investigation is exempt from disclosure
under the Freedom of Information Act
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The law says
LGO must give the parties a statement of
reasons for all decisions
When an investigation is complete the
statement must include conclusions and
may include recommendations.
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The law says
A statement:
> must identify the provider unless doing so
would identify an individual and the LGO decides
that would not be appropriate
> must not identify an individual unless LGO
decides doing so would be in public interest
> can be copied to CQC and a council
> can be published in whole, part or summary
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LGO working assumptions
We will send the statement of our reasons
to the provider’s registered office and to
the person who has complained
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LGO working assumptions
In certain circumstances we will share the
statement of our reasons with CQC and
the local authority – we are currently
discussing the criteria for this
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The law says
If a LGO’s statement includes
recommendations the provider must
consider it and tell LGO of action it
proposes to take.
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The law says
LGO’s decision is final
No appeal except by application to High
Court for Judicial Review
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The law says
‘Adverse findings notice’ if LGO:
> does not get notification
or
> is not satisfied with proposed action
or
> is not satisfied that action has been taken in
set timescale
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LGO working assumptions
We will draw on the knowledge & insights
we gain from considering complaints to
identify significant issues, common themes
and good practice.
We will contribute to improving care
standards and provider practice by
publishing such information.
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Conclusion
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Key message
Ombudsmen are concerned with the individual’s
experience
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Hope you are now:
> feeling acquainted with us
> aware of our new jurisdiction over complaints
about adult social care
> briefed about how we work
> able to explore the implications for your
organisation or business
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Any questions?
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