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Complaints Policy


This policy aims to enable Smart Health Care Compliance LTD to establish and operate systems for identifying, receiving, recording, handling and responding to complaints. As a result of following these procedures Smart Health Care Compliance LTDwill investigate and take necessary proportionate action in response to any failure identified by a complainant or investigation. We will ensure that:

  • Members know how to complain and that their comments and complaints are effectively listened to and acted upon. Member know that they will not be discriminated against for making a complaint.
  • Member feel confident and comfortable in voicing their complaints and concerns.
  • Complaints are treated as learning opportunities and also as an opportunity to improve care procedures.


The Registered Provider must establish and operate an effective and accessible complaints system. The Registered Manager and/or Complaints Manager (or Lead) should ensure that business policies are followed.


  • Registered Provider
  • Complaints Lead
  • Members
  • Relatives/Guardians, where appropriate
  • Other professionals outside agencies
  • All employees


It is the policy of this business to ensure that:

  • There is a clear complaints procedure in place, which is publicized to members in the public areas of Smart Health Care Compliance LTD.
  • Complaints Lead have responsibility for collating, responding and investigating complaints.
  • The Registered or nominated Complaints Manager has responsibility for ensuring the team has induction training followed up with regular updates in complaints handling.
  • The Registered or nominated Complaints Manager has responsibility for ensuing the complaints procedure is carried out correctly.
  • It is clear from the procedure that the complaints will be dealt with respectfully and without prejudice.
  • Members are kept informed of the timescale and at each stage of the handling of a complaint.
  • The procedure makes it clear what they should do if they are not happy with the result of a
  • If it becomes clear that litigation, or the intent, has started then the complaints procedure may be terminated.
  • Smart Health Care Compliance LTDwill cooperate with any further investigation by the relevant commissioning body or any involvement by a recognized organization.
  • Consent and confidentiality must not be compromised during the complaint process unless there are professional or statutory obligations, such as safeguarding, that make this necessary.


To meet these policy requirements Smart Health Care Compliance LTD will observe the following procedures:

  • Identifying and Receiving Complaints
  • Members may raise concerns to any member of staff, verbally or in writing. Complaints can be put in writing to [email protected] or posted to Smart Health Compliance, Mitre House 66 Abbey Road Enfield EN1 2QN.
  • They will be directed to Smart Health Care Compliance LTDManager or Complaints Lead to hear them, or to address a written concern.
  • In all cases an acknowledgement will be raised in writing and provided to the complainant within three working days.
  • A written response, including the result of investigation, will be issued to the Member at that time. If this is not possible, the Member will be informed in writing why, and a new time frame issued.
  • Written documentation is retained.
  • Members are informed of the address of the relevant commissioning body, Ombudsman Services: Communications, P.O. Box 730, Warrington, WA4 6WU - 0330 440 1614 - [email protected] - Registered address and offices: Ombudsman Services, 3300 Daresbury Park, Daresbury, Warrington, WA4 4HS.
  • All complaints are recorded on a complaints record sheet. Regular review of complaints records will assist the Management team in identifying any trends.
  • All complaints will be acknowledged in writing within 3 working days. Complainants will be replied to within 10 working days of the complaint arising or we will give an estimate of the time required to investigate the complaint and the complainant will be given the opportunity to agree an alternative timescale if needed.
  • The response will substantiate or not substantiate all points made and give a detailed outcome response with all actions to be taken to resolve issues that have been raised.
Investigating the Complaint
  • Investigations and the related results will be recorded on the complaints form, including additional sheets, if required.
  • Complaints will be investigated in the first instance by Complaints Lead, and referred up the chain of management as necessary to reach a satisfactory outcome for the complainant the Complaints Lead will become aware of the matters dealt with by other persons by way of the regular review of the file.
  • The Complaints Lead will take corrective action if it is felt during this review that complaints are not being appropriately referred up the line of management.
  • The person investigating the complaint should gather the information or evidence necessary to fully understand the complainant's concerns. This may include reviewing additional records or speaking to any witnesses.
Recording the Complaint
  • All employees are warned that written complaints recording rules must be complied with, and those records held where they are freely available to supervisors and managers. Any attempt to conceal a complaint may give rise to formal disciplinary action.
  • The complainant will be requested to examine the written records of the complaint and sign to indicate agreement with the outcome.
  • Records must be kept of all complaints, including those for which no actions were considered necessary after a full and fair investigation.
  • The completed complaints form will then be handed to nominated Complaints Lead for permanent filing, in the complaints file.
  • The Management Meeting will periodically (recommended every three months) review all complaints and significant event analysis carried out since the previous review, in order to identify trends and matters which may have appeared to be relatively minor at the time, but which indicate a deeper problem.
  • The services action plan should be updated to include all actions to be taken to resolve any requirements or recommendations made following any investigation.
Complaints Analysis - Following a full and fair investigation
  • The Complaints Lead will conduct a significant event analysis (SEA) for each complaint received.
  • Findings from the SEA will be presented at a policy review meeting to make recommendations to improve services.
  • A full report of the SEA findings along with recommendations to prevent recurrences will be presented to the Registered Provider and after full consideration of the recommendations agreed, relevant policy changes will be made and the team updated.
  • Measures taken to improve services will be reviewed on an ongoing basis to ensure that improvements have been maintained.
Staff Training
  • This practice will ensure that every team member is familiar with Smart Health Care Compliance LTD complaints procedure.
  • We will provide initial training and regular updates to ensure staff can deal with patientsconcerns and complaints, and know how to apologies and offer practical solutions.


Trading Standards -
https://www.citizensadvice.org.uk/consumer/get-more-help/report-to-trading-standards/ https://www.gov.uk/complain-company Ombudsman Services:
P.O. Box 730,

0330 440 1614
[email protected]

Registered address and offices:
Ombudsman Services, 3300 Daresbury Park, Daresbury, Warrington, WA4 4HS

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