Summary: Ms B complained that, since October 2021, the Council had not adhered to a communications protocol agreed with her. We found there were several occasions when the Council failed to comply with the protocol causing Ms B distress and inconvenience. In recognition of the injustice caused, the Council has agreed to make a payment to Ms B and issue a reminder to staff to ensure they comply with the protocol.

The complaint

1. Ms B complains that the Council has not adhered to the communications protocol agreed at a meeting in October 2021. As a result, she has suffered avoidable uncertainty and worry about what the Council is doing for her daughter, who is a vulnerable adult. She has also been put to time and trouble in chasing the Council for information.

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The Ombudsman’s role and powers

2. We investigate complaints about ‘maladministration’ and ‘service failure’. In this statement, I have used the word fault to refer to these. We must also consider whether any fault has had an adverse impact on the person making the complaint. I refer to this as ‘injustice’. If there has been fault which has caused an injustice, we may suggest a remedy. (Local Government Act 1974, sections 26(1) and 26A(1), as amended)
3. If we are satisfied with an organisation’s actions or proposed actions, we can complete our investigation and issue a decision statement. (Local Government Act 1974, section 30(1B) and 34H(i), as amended)

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How I considered this complaint

4. I have considered all the information provided by Ms B, made enquiries of the Council and considered its comments and the documents it provided.
5. Ms B and the Council had an opportunity to comment on my draft decision. I considered any comments received before making a final decision.

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What I found

Key facts

6. Ms B’s daughter, D, is a vulnerable adult who lives independently but receives support from a support worker who helps with daily living skills.
7. A communication protocol had been agreed between the Council and D as a way of keeping her up to date and managing her expectations in relation to responses to emails and telephone calls.
8. In September 2021 Ms B complained about her recent experience of contact with social services in the social worker’s absence. The Council responded to her complaint and decided to hold a meeting to review the communication protocol and consider D’s current support plan and complete a risk management review.
9. The meeting took place in October 2021. The Council agreed a communication protocol (‘the protocol’) with Ms B which stated:
• the social worker would try to contact D by telephone weekly and visit her at least once per month. If the social worker was unable to contact D she would contact the support provider to ensure a worker had seen her that week. If neither a worker nor a family member had seen or heard from D the social worker would contact the police to carry out a welfare check;
• if the social worker was absent from work for over a week (either planned leave or sickness) the duty worker would make weekly contact with D;
• the social worker would send Ms B an email at the end of each week to update her and answer any non-urgent queries;
• if the social worker was on planned leave she would tell Ms B and, where appropriate, provide an update before going on leave;
• if Ms B raised a concern by email, it would be responded to by email at the end of the week. If the email was of a safeguarding nature, Ms B would receive a more immediate response;
• if Ms B had a concern in the social worker’s absence, she could ring the duty line and leave a message. If the query was deemed to be not urgent, the duty team would send a message to the social worker asking her to respond on her return. If the matter was urgent, the duty team would respond as required and update Ms B when possible; and
• if the social worker was due to be off work unexpectedly for over a week her manager would inform Ms B.
10. In February 2022 Ms B complained about the Council’s failure to adhere to the protocol. The service delivery manager accepted that visits/calls between the social worker and D had either not been recorded or had not taken place which was unacceptable. She apologised for the lack of consistency around implementing the communication plan and said it would be implemented consistently by the social worker for the next 3 to 4 months and this would be overseen by managers.
11. Ms B was dissatisfied with the response and complained to the Ombudsman.

Contact with D

12. The social worker, Officer X, arranged to meet D on 24 November 2021. But, on 12 November, D sent a text message saying she did not wish to see her until after Christmas. Officer X attempted to telephone D but there was no response. She informed Ms B.
13. D texted Officer X again on 1 and 2 December saying she did not wish her to visit any more. But she spoke to her the following day and again on 8 and 14 December. Officer X was then on sick leave from 16 to 30 December.
14. On 31 December 2021 Ms B asked the team manager why no one had contacted D while Officer X was on sick leave and Ms B was on holiday between 16 and 30 December. The team manager explained that neither she nor the duty worker had done so because they had both been on leave. This was fault. The communications protocol states that if the social worker was absent from work for over a week (either planned leave or sickness) the duty worker would contact D. I accept the service was closed for Christmas between 25 and 28 December, but arrangements should have been made for another duty worker to contact D between 16 and 24 December as Officer X was on leave for over a week. The Council apologised that no contact was made with D during this period.
15. During the week ending 21 January 2022 Officer X did not contact D or her support worker. This does not comply with the communication protocol.
16. A new social worker, Officer Y, was appointed and visited D on 31 January.
17. Officer Y did not contact D or her support worker during the week ending 25 of February 2022. This was fault.
18. Officer Y visited D on 2 March 2022.
19. Officer Y did not contact D or her support worker during the week ending 25 March. She had arranged a further visit for 29 March but this was cancelled by D. Officer Y repeatedly tried to rearrange this visit.
20. Meanwhile, D continued to meet regularly with the support worker who reported back to social services. Officer Y confirmed to Ms B on 14 April that they were satisfied from the support worker’s visits that D was safe and well. But she would continue to encourage D to see her.
21. Because D was refusing to accept visits from her, Officer Y made an unannounced visit on 12 May 2022 and was able to have a conversation with D. She visited again on 16 May as agreed but D would not let her in.
22. Officer Y did not contact D or her support worker during the weeks ending 22 April or 6 May 2022. This was fault.
23. A further visit was arranged for 25 May but D cancelled this.
24. Officer Y successfully completed another visit on 21 June 2022.
25. On Friday 1 July 2022 Ms B queried who had spoken to D while Officer Y was on leave. The team manager explained that a duty worker had been asked to contact D but forgot because of the volume of work on duty. She apologised that this had not been done but said the duty worker had been texting with D the following Monday and the support worker had visited D on Friday.

Analysis

26. Since October 2021, there have been several occasions where social workers have failed to speak to D or meet with her, mostly because she would not engage with them. However, support workers visited weekly and sent updates to the social workers.
27. The protocol states that the social worker should try to contact D, not that she must do so. Social services are unable to force D to meet with them. However, if the social worker was unable to contact D, she should contact the support provider to ensure a worker had seen her that week.
28. I am satisfied that the social workers generally complied with the protocol and tried to engage with D by text and have conversations and meetings with her. However, there were several occasions when they did not try to contact D or her support worker. This was fault and caused Ms D uncertainty and anxiety about the support her daughter was receiving.

Communication with Ms B

29. The Council sends email updates to Ms B on a Friday to address all the concerns she has raised during the week.
30. Ms B says the social worker does not always answer all her queries in her weekly email. However, it is a matter for the officer’s professional judgement how to respond to the issues raised.
31. There have been several occasions since October 2021 when emails have not been sent to Ms B in accordance with the communication protocol.
32. On Friday 19 November 2021 no email was sent because Officer X was absent from work due to sickness. She returned to work on Monday 22 November and sent an email to Ms B. As the email was sent the next working day, there are no grounds to criticise this.
33. On Friday, 26 November 2021 Officer X sent a brief email to Ms B explaining she could not send a longer update because of an emergency but would email again after the weekend with a full update. On Monday 29 November she sent a detailed email. I find no grounds to criticise this. There was a good reason why Officer X could not send a full update on the Friday and she contacted Ms B to explain this and sent her a detailed update the following working day.
34. On Friday, 10 December 2021 no email update was sent. The following Tuesday Ms B complained. Officer X explained she had not sent an email as she thought Ms B was on holiday and agreed to send an update the following day. I find it was fault for Officer X not to send an update regardless of whether Ms B was on holiday. She had not asked Officer X to suspend emails while she was away.
35. On Monday 19 December 2021 Ms B again complained that she had not received an update. Officer X sent an email the following day.
36. On Friday 24 December no email was sent because Officer X was dealing with crisis work on duty. The service was then closed until 29 December for Christmas. Officer X sent an email update to Ms B on 31 December and apologised for failing to do so the previous week.
37. On Friday, 7 January 2022 the team manager sent an email to Ms B explaining Officer X was on sick leave so no email update would be sent. The following working day (Monday 10 January) Officer X sent an email update to Ms B and apologised for not doing so on the Friday. This complied with the protocol.
38. On Friday, 21 January 2022 Officer X was absent from work due to sickness and so did not send an email. Ms B sent an email asking why she had not received her weekly update. The team manager responded on Monday 24 January explaining that Officer X was on sick leave. She confirmed that in her absence, a duty worker had spoken to D on Friday 14 January and the team manager had sent Ms B an email the same day explaining this. Ms B responded saying the protocol stated she would receive an update on a Friday when the social worker was off sick.
39. The protocol says the duty worker will update Ms B on a Friday if the social worker is absent for more than a week. So, the duty worker should have sent Ms B an email on Friday, 21 January 2022.
40. On 28 January 2022 Officer Y did not provide Ms B with an update email.
41. On 11 March 2022 Officer Y did not provide Ms B with an update because she was on leave. The duty worker contacted D but did not send an update to Ms B. Ms B sent an email asking why she had not received her weekly update. The team manager responded on the following working day explaining Officer Y was on leave and reminded Ms B of the protocol.
42. Ms B said it had been agreed that if the social worker was on leave the team manager would send the update. She also queried why Officer Y had not sent the update the day before if she knew she was going on leave.
43. The team manager said it was agreed that, where the social worker is on planned leave, she would inform Ms B and, where appropriate, provide an update before her leave began. But, as Officer Y had only recently taken over the case, she was not aware of this. She apologised that Officer Y had not been made fully aware of the communication protocol and confirmed she would provide an update prior to her leave in future.
44. On Friday 25 March 2022 Officer Y failed to send an update. Ms B queried this. On Tuesday 29 March Officer Y responded explaining she had just returned from a day’s leave and realised that, although she had drafted the email, she had failed to send it. She apologised and sent the update.
45. On 8 April 2022 Officer Y was on leave so no email update was sent. In accordance with the protocol, she should have sent an update before going on leave.
46. Officer Y did not send an email on Friday, 3 June 2022 because it was the Jubilee Bank Holiday and the office was closed on 2 and 3 June. On Monday 6 June the social worker apologised that she had drafted an email the previous week but was busy on duty and hadn’t managed to send it before the bank holiday. She apologised for this and provided the update. A further weekly update was sent on 10 June.

Analysis

47. From the evidence I have seen, I am satisfied the Council has largely complied with the communication protocol. However, there have been several occasions where updates were not sent to Ms B on Fridays as agreed. These instances have mainly arisen due to the social workers being on leave or dealing with an emergency and bank holidays. On each occasion the reason was explained to Ms B and updates were sent shortly afterwards. However, the failure to comply with the protocol caused Ms B avoidable uncertainty about what was happening with her daughter and she has been put to time and trouble in repeatedly having to chase the Council for updates.

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Agreed action

48. The Council accepts the failure to always adhere strictly to the terms of the protocol has caused Ms B distress and anxiety and she has been put to time and trouble in repeatedly having to chase the Council for updates. It apologised for this in in its response to her complaint in February 2022.
49. The Council has agreed that, within one month, it will:
• make a further apology to Ms B;
• pay Ms B £100 in recognition of the anxiety and distress caused and a further £100 in recognition of the time and trouble she was put to in pursuing her complaint; and
• issue a reminder to all relevant staff to ensure they comply with the communication protocol.

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Final decision

50. I find the Council was at fault in that there have been several occasions when it failed to comply with the communication protocol agreed with Ms B causing her injustice.
51. I have completed my investigation on the basis that the Council has agreed to remedy the injustice caused.

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Investigator's decision on behalf of the Ombudsman