Complaints
This policy describes the procedure if a person has a complaint about the conduct of the HTA, its employees or people acting on its behalf.
Complaints
Principles the HTA will apply when handling complaints
The HTA will ensure that:- Ways of reporting complaints/concerns are clear and understood
- Complainants are kept informed about the progress of their complaint at regular intervals
- The outcome of any investigation into a complaint is communicated as quickly as possible
- Complainants are advised of any constraints in terms of the investigation in relation to the limitations of the HT Act
- Complaints are handled in confidence and effectively
- When a complainant wishes to remain anonymous, that wish is respected, except in rare circumstances
- In operating this procedure the HTA will aim to learn from any mistakes and use the feedback to ensure that similar events do not happen again
Definition of a complaint
A complaint is an expression of dissatisfaction requiring a response. A complaint becomes formal when it is put in writing.
Complaints covered by this procedure
This procedure covers complaints about all aspects of the work of the HTA in carrying out its regulatory, communication and information roles and responsibilities, including its policies and procedures. The HTA will be limited when trying to investigate any complaints or concerns from anonymous complainants and in these instances will carry out an internal investigation to determine the validity of the complaint/concern.
Complaints which cannot be covered by this procedure
The following complaints are not covered by this policy:
- Complaints against particular licensed establishments – these are handles by the Regulation Department under the HTA procedure for complaints against licensed establishments.
- If the complaint concerns a licensing decision it will be referred through the HTA Appeals and Representations process;
- Complaints about the statutory and legal framework in which the HTA operates or matters that are the responsibility of other regulatory bodies, for example the Healthcare Commission.
- A complaint about the HTA’s relationship with its employees, which should be directed to the Assistant Director of Human Resources.
If a complaint is upheld
If a complaint is upheld the HTA will:
- Offer an apology by letter, telephone or in person
- Provide a full explanation of what happened and why
- Be able to demonstrate what action has been taken to ensure that issues surrounding the complaint do not occur again.
The process
Note: There is no time limit for making complaints, but complainants will need to be made aware that a more satisfactory investigation and outcome is likely to result if the complaint is reported as soon as possible after the event/incident has occurred.
Stage 1
Local resolution and reporting
When the complaint is received in writing it is recorded on the complaints database by the Personal Assistant to the Chief Executive. A copy of the complaint is then given to the Chief Executive within one working day to take action and to the Chief Executive for information. The relevant Director will contact the complainant within three working days of receipt of the letter. This is an opportunity for both the complainant to have an informal discussion about his/her concerns and the Director to advise whether or not the complaint is within the HTA’s scope to handle. If the complaint is within the HTA’s scope to handle the Director will proceed to carry out the investigation. When the investigation is complete the Director will personally explain the outcome to the complainant and confirm it in writing. The total time to conduct the investigation and advise the complainant of the result should be no longer than four weeks. This should be the case for the majority of complaints. However, on occasion a complaint may require more in-depth research and as a result is likely to exceed the four-week period. In these circumstances the complainant will be informed in writing at the earliest opportunity that this is likely to be the case, and given an indicative resolution time. The Director will be responsible for monitoring the implementation of any action/s required of his/her department arising from the complaint. The Chief Executive will be given a summary of the complaint, outcome and proposed remedial action. A report of all complaints about the HTA will be made annually to the Authority by the Chief Executive.
Note: If a complaint concerns a Director it will be investigated by another Director
Stage 2
Chief Executive involvement
If the complainant is still not satisfied with the outcome he/she will need to inform the Chief Executive, in writing, within two weeks of receipt of the Director’s response. The Chief Executive will then confirm receipt of the complainant’s letter within three working days, and advise the likely timescale to carry out a formal investigation into the matter. When the formal investigation is complete the Chief Executive will confirm the outcome in writing to the complainant.
Note: Complaints involving the Chief Executive will be investigated by the Chair and one other member of the Authority.
Stage 3
Chair of The Authority involvement
If the complainant is not satisfied with the Chief Executive’s response he/she should advise the Chair of The Authority in writing within two weeks of receipt of the Chief Executive’s letter. The Chair will then appoint an independent panel of three persons to review the conduct of the investigation of the complaint and the action taken. The Chair of the panel will usually be the Deputy Chair of the HTA (although this can be delegated to another Authority member). The other two panel members will be identified and selected by the Chair of the Panel for their knowledge and expertise of specific areas. The Chair will not sit on the panel and will act as an impartial reviewer of the findings of the panel, decide further action and respond to the complainant.
Note: if a complaint concerns the Chair, the Deputy Chair and one other Authority Member will carry out the investigation.
Final stage
Ombudsman
If the complainant remains dissatisfied after all three stages he/she is entitled to refer the matter to the Parliamentary Commissioner for Administration (the Parliamentary Ombudsman).
Monitoring and recording
All complaints will be recorded on a central complaints database, so that it is possible to monitor the types of problems that are occurring, how they are best resolved and the time taken to resolve them. This knowledge will be used to improve the way in which the HTA continues to operate. Complaints about HTA will be monitored by the Senior Management Team and, where appropriate, the Audit Committee.
Freedom of Information Act 2000
The HTA complies with the Secretary of State for Constitutional Affairs’ Code of Practice issued under S.45 of the FOI Act, on the discharge of public authorities’