Summary: Mr X complains the Council failed to follow its own procedures and statutory responsibilities in relation to the care of his grandson. Mr X says this caused him and his family distress. We have found fault in the actions of the Council for failing to follow the Children’s Statutory Complaint procedure and recommend the Council completes the process.

The complaint

1. Mr X complains the Council failed to follow its own procedures and statutory responsibilities in relation to the care of his grandson.
2. Mr X says this caused him and his family distress.

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The Ombudsman’s role and powers

3. We investigate complaints about ‘maladministration’ and ‘service failure’. In this statement, I have used the word fault to refer to these. We provide a free service but must use public money carefully. We may decide not to start or continue with an investigation if we are satisfied with the actions a council has taken or proposes to take. (Local Government Act 1974, section 24A(7), as amended
4. 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)
5. Under our information sharing agreement, we will share this decision with the Office for Standards in Education, Children’s Services and Skills (Ofsted).

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How I considered this complaint

6. I have considered the information provided by Mr X and have spoken to him on the telephone about his complaint.
7. I have also considered the information the Council provided.
8. Both Mr X and the Council have had the opportunity to comment on my draft decision. Any comments received have been considered before a final decision was issued.

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What I found

9. The law sets out a three-stage procedure for councils to follow when looking at complaints about children’s social care services. The accompanying statutory guidance, ‘Getting the Best from Complaints’, explains councils’ responsibilities in more detail. We also published practitioner guidance on the procedures, setting out our expectations.
10. The first stage of the procedure is local resolution. Councils have up to 20 working days to respond.
11. If a complainant is not happy with a council’s stage one response, they can ask that it is considered at stage two. At this stage of the procedure, councils appoint an investigating officer (IO) to look into the complaint and an independent person (IP) who is responsible for overseeing the investigation and ensuring its independence.
12. Following the investigation, a senior manager (the adjudicating officer) at the council should carry out an adjudication. The officer considers the IO report and any report from the IP. They decide what the council’s response to the complaint will be, including what action it will take. The adjudicating officer should then write to the complainant with a copy of the investigation report, any report from the independent person and the adjudication response.
13. The whole stage two process should be completed within 25 working days but guidance allows an extension for up to 65 working days where required.
14. If a complainant is unhappy with the outcome of the stage two investigation, they can ask for a stage three review by an independent panel. The council must hold the panel within 30 working days of the date of request, and then issue a final response within 20 working days of the panel hearing.

Our role

15. The statutory children’s complaints procedure was set up to provide children, young people and those involved in their welfare with access to an independent, thorough and prompt response to their concerns. Because of this, if a council has investigated something under the statutory children’s complaint process, the Ombudsman would not normally re-investigate it.
16. However, we may look at whether there were any flaws in the stage two investigation or stage three review panel that could call the findings into question. We may also consider whether a council properly considered the findings and recommendations of the independent investigation and review panel, and whether it has completed any recommendations without delay.

What happened

17. Mr X complained to the Council in January 2023 as he had concerns about the conduct of the social care team that were responsible for his grandson.
18. The Council investigated the complaint and issued a response towards the end of January 2023 which partially upheld one of Mr X’s complaints. The Council sent a copy of the Childrens Statutory Complaints Procedure process and told Mr X he could progress his complaint to stage two of the process if he remained unhappy with the outcome.
19. Mr X asked the Council to refer his complaint to stage two and it issued a response in July 2023. The Investigating Officer’s report upheld 16 of Mr X’s 45 complaints and six complaints were partially upheld. The Council apologised for the complaints which were upheld and said what action it would take.
20. The Council’s adjudication letter which accompanied the Investigating Officers report and the Independent Person’s report told Mr X he should contact the Council within 20 working days to discuss the next steps. However, it did not mention stage three of the Childrens Statutory Complaints process.
21. Mr X emailed the Council in July 2023 to say he reserved the right to further comment on the Council’s letter once he had ‘fully digested its content’.
22. Mr X raised a second complaint in October 2023 about withholding information, failing to provide assessments and the content of the Child in Need plan. The Council issued a response in November 2023 under its corporate process.
23. Mr X contacted the Council in November 2023 to request the first complaint be escalated to stage three. The Council declined this as they said there was a subsequent complaint, ongoing court proceedings and due to the length of time which had elapsed.
24. He also asked for his second complaint to be escalated to stage two but the Council advised it had not looked the complaint under the Children’s Statutory Complaints Procedure. The Council said this was because it was appropriate for the issues complained about to be dealt with under its one stage corporate process. It referred Mr X to the Ombudsman.
25. Mr X contacted the Ombudsman in May 2024.
26. The Ombudsman wrote to the Council in July 2024 and invited it to set up a stage three review panel for the January 2023 complaint and to carry out a Childrens Act stage two investigation of Mr X’s October 2023 complaint. The Council responded to this request to say it was concerned about doing so.

Analysis

27. The Council reviewed Mr X’s January 2023 complaint through the Childrens Statutory complaint process. After stage two was completed, I cannot see the Council told Mr X he had the right to request a stage three panel review.
28. The Councils adjudication letter in July 2023 told Mr X he should contact it within 20 working days to discuss next steps. But it failed to tell him he could request the complaint could be passed to stage three. This is fault and has caused Mr X confusion, distress and frustration.
29. I accept the Council had previously sent Mr X a leaflet describing the complaint process. However, the Council issued that several months before and I would not expect Mr X to have to rely on this to understand how to progress his complaint.
30. The Council dealt with Mr X’s second complaint in October 2023 under its corporate complaint process. However, the complaint is about issues concerning the Child in Need assessment and Child in Need plan and should therefore have been dealt with under the Childrens Statutory Complaint procedure. This is fault and has caused Mr X distress and frustration.
31. I accept there was a delay in Mr X asking for his complaint to go to stage three. However, Mr X had not been informed of his right to take the complaint to stage three in the Council’s response. There was also a further delay in him bringing the complaint to the Ombudsman.
32. In response to our enquiries, the Council said it had concerns about carrying out a stage three review panel as it is unlikely to achieve anything further. It is not for the Council to pre-emptively decide this. It is Mr X’s right to request a stage three review panel if he remains unhappy, as per the statutory complaints process.

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Agreed action

33. Within one month of a final decision being issued, the Council should:

• Write to Mr X to apologise for the faults identified.
• Write to Mr X to offer to set up a stage three review panel for the January 2023 complaint and then do so within the regulations’ timescale, provided he replies to the Council’s letter within 20 working days.
• Write to Mr X to offer to carry out a Children Act stage two investigation for his October 2023 complaint, and then do so within the regulations’ timescale, provided he replies to the Council’s letter and confirms he agrees to this within 20 working days of the Council’s letter.
• Review how the Council will ensure that it tells complainants of their stage three rights at the end of stage two and remind complaint handling staff that complainants have the right to request a stage three review panel if they remain unhappy.

34. The Council should provide us with evidence it has complied with the above actions.

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Final decision

35. I have found fault in the Councils actions for failing to follow the Childrens Statutory Complaint procedure.

Investigator’s final decision on behalf of the Ombudsman

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Investigator's decision on behalf of the Ombudsman