R&I Unit Policy on Management of complaints about regulated care servi

Summary

A request was made for complaint records and investigation reports regarding Abbotswood Nursing Home and a review of the 2014 R&I Unit Policy. The Department of Health and Social Care withheld all requested information, citing exemptions related to confidential sources and ongoing investigations.

Key Facts

• The request concerned the Registrations and Inspection Unit's policy on managing complaints about regulated care services.
• Specific documents requested included complaint records and an investigation report regarding Abbotswood Nursing Home from April 2020.
• The Department stated the concerns were handled as part of an ongoing investigation rather than under the standard complaints policy.
• All information was withheld under Section 31(2)(b) of the Freedom of Information Act.
• The policy in question was originally dated January 2014 and was due for review in January 2019.

Data Disclosed

• 2020-07-28
• 2020-08-18
• January 2014
• 23 April 2020
• 13th April 2020
• January 2019
• 28 days
• 14
• 2
• 1390361

Exemptions Cited

• Section 31(2)(b) - obtaining of information from confidential sources

Original Request

The Registrations and Inspection Unit has a policy on the management of complaints about regulated care services. The latest copy I have seen is dated January 2014 ('the Policy'). Question 1. The Policy says 'Once notified about a complaint R&I will record details within the services contact sheet and may decide to open a complaints file.' An investigation document written by Catriona Bradley on 23 April 2020 concerning Abbotswood Nursing Home states that 'visiting professionals on 13th April raised concerns'. Please provide a copy of the complaints record and complaints file in relation to the foregoing. Question 2. The Policy says ''Following a complaint inspection a report will be produced within 28 days of receipt of the complaint. Where this cannot be achieved a holding letter will be sent out stating the reasons as to why this cannot be achieved.' Please provide a copy of the report produced following the complaint investigation referred to in (1) above. Question 3. The Policy was due for a review in January 2019. Please provide a copy of the new policy (i.e. as reviewed in January 2019) and any notes concerning the review of the Policy and/or any information concerning why the Policy was not reviewed.

Data Tables (1)

Full Response Text

Chief Executive: Kathryn Magson Freedom of Information Team Crookall House Demesne Road Douglas Isle of Man IM1 3QA

(01624) 642621 dhsc@foi.gov.im Website: www.gov.im/dhsc

Our ref: 1390361 7 August 2020

Dear ###

We write further to your request which was received on 28 July 2020 and which states:

"The Registrations and Inspection Unit has a policy on the management of complaints about regulated care services. The latest copy I have seen is dated January 2014 ('the Policy'). Question 1. The Policy says 'Once notified about a complaint R&I will record details within the services contact sheet and may decide to open a complaints file.' An investigation document written by Catriona Bradley on 23 April 2020 concerning Abbotswood Nursing Home states that 'visiting professionals on 13th April raised concerns'. Please provide a copy of the complaints record and complaints file in relation to the foregoing. Question 2. The Policy says ''Following a complaint inspection a report will be produced within 28 days of receipt of the complaint. Where this cannot be achieved a holding letter will be sent out stating the reasons as to why this cannot be achieved.' Please provide a copy of the report produced following the complaint investigation referred to in (1) above. Question 3. The Policy was due for a review in January 2019. Please provide a copy of the new policy (i.e. as reviewed in January 2019) and any notes concerning the review of the Policy and/or any information concerning why the Policy was not reviewed."

Our response: Question 1. The Policy says 'Once notified about a complaint R&I will record details within the services contact sheet and may decide to open a complaints file.' An investigation document written by Catriona Bradley on 23 April 2020 concerning Abbotswood Nursing Home states that 'visiting professionals on 13th April raised concerns'. Please provide a copy of the complaints record and complaints file in relation to the foregoing. Question 2. The Policy says ''Following a complaint inspection a report will be produced within 28 days of receipt of the complaint. Where this cannot be achieved a holding letter will be sent out stating the reasons as to why this cannot be achieved.' Please provide a copy of the report produced following the complaint investigation referred to in (1) above. The Department of Health and Social Care (“the Department”) dealt with the concerns raised by visiting professionals on the 13th April 2020 not as part of Registration and Inspections Management of Complaints Policy but as part of the ongoing investigation around Abbotswood. Section 31(2) (b) While our aim is to provide information whenever possible, in this instance the information is exempt from disclosure under section 31(2) (b) of the Act as it relates to the obtaining of information from confidential sources. As section 31 is a qualified exemption, it is subject to a public interest test. The public interest must be something that is of serious concern and benefit to the public at large.

Factors in favour of disclosure • We recognise there is a general public interest in disclosure of information in the interests of openness, and fairness and which would facilitate the accountability and transparency of public authorities for decisions taken by them. We also recognise the public interest in providing this information may help build greater public confidence in our processes. • The request concerns providing copies of the complaints record/file and a copy of a report following the complaint investigation. This information is from confidential sources. The Department acknowledges that nature of the complaints and the investigation of such has generated a lot of public interest with concern raised regarding the residents of the nursing home. There is therefore, an argument to be made that there is a strong public interest in the information. • There is significant public interest served in disclosing information that increases the transparency of the decisions made by the Department. Specifically, in disclosing complaint information and the complaint investigation report, this would serve to promote openness and transparency of the position of the Department.

Factors in favour of withholding • There are other factors, however, which argue the case for public interest lying in not releasing the material that we hold, notably the likelihood of releasing the information which would prejudice the ongoing investigation. • It is vital that the complaints information is kept confidential to ensure any investigation is carried out independently, without influence or interferences from the public. The public interest is best served to ensure that any criminal offences are investigated without influence or interference from the public, the media or any other party. In assessing the weight to be attributed to each of the factors in favour of disclosing the information and maintaining the exemption, the Department has taken the following into consideration: • The severity of the impact of the prejudice is significantly weighted towards maintaining the exemption to ensure the investigation is conducted independently without influence or interference from the public, the media or any other party.
• The age of the information has been considered and as this is still an ongoing investigation; the Department maintains that the information should not be disclosed. • While disclosure would further the public interests identified above, the Department does not believe these factors outweigh the likely damage that could be caused following disclosure which would be publication to the world, in terms of the investigation and potential proceedings, not least any damage to individuals identified within such documentation (if any). • While disclosure would reassure the public that complaints are dealt with, the Department does not consider that this outweighs the factors of maintaining this exemption at this time, due to likelihood of interference with the ongoing investigation. In taking these factors into account the Department of Health and Social Care determined that the factors in favour of maintaining the exemption outweigh the factors in favour of disclosing the information.

Section 32(1) (a)-(d) While our aim is to provide information whenever possible, in this instance the information is exempt under section 32(1) of the act as disclosure of this information would be likely to prejudice: (a) the prevention or detection of crime; (b) the apprehension or prosecution of offenders; (c) the administration of justice. As section 32 is a qualified exemption, it is subject to a public interest test. The public interest must be something that is of serious concern and benefit to the public at large.

Factors in favour of disclosure • We recognise there is a general public interest in disclosure of information in the interests of openness, and fairness and which would facilitate the accountability and transparency of public authorities for decisions taken by them. We also recognise the public interest in providing this information may help build greater public confidence in our processes. • We acknowledge there is a general public interest in disclosure of information in the interests of informing the public as to how decisions are made. • There is also general public information in the information that illustrates procedural fairness or means that justice is seen to be done.

Factors in favour of withholding • The severity of the impact of the prejudice is significantly weighted towards maintaining the exemption to ensure the investigation is conducted independently without influence or interference from the public, the media or any other party.
• The need to prevent disclosures which would be likely to prejudice either an ongoing investigation or the investigatory and prosecution processes generally, including prejudice to further investigations and future proceedings. • Disclosures prior to the conclusion of a court case could interfere with an individual's right to a fair trial. • The information requested constitutes the personal data of third parties.

The purpose of the exemption is to ensure any criminal offences will be effectively investigated and carried out without constraints. If the information is disclosed then it would be likely to cause the following: • Severely prejudice the ongoing investigation or the investigatory and prosecution processes generally, including prejudice to further investigations and future proceedings. In taking all of these factors into account the Department determines that the factors in favour of maintaining the exemption outweigh the factors in favour of disclosing the information. Question 3. The Policy was due for a review in January 2019. Please provide a copy of the new policy (i.e. as reviewed in January 2019) and any notes concerning the review of the Policy and/or any information concerning why the Policy was not reviewed." Please find attached a copy of Registration and Inspection Policy on Management of Complaints about regulated care services (including whistle-blowing). This policy was due to be reviewed in January 2019, however, in August 2018 the Registration and Inspection Unit held a Learning day and as an outcome of this the Complaints policy and procedure was reviewed – earlier than identified on the policy. The new review date for this policy is October 2021. The actions and outcomes from that day created a work plan for the unit. This was shared with the inspection team during an Inspectors forum (attached).

Please quote the reference number 1390361 in any future communications.

Your right to request a review

If you are unhappy with this response to your freedom of information request, you may ask us to carry out an internal review of the response, by completing a complaint form and submitting it electronically or by delivery/post.

An electronic version of our complaint form can be found by going to our website at https://services.gov.im/freedom-of-information/Review . If you would like a paper version of our complaint form to be sent to you by post, please contact me and I will be happy to arrange for this. Your review request should explain why you are dissatisfied with this response, and should be made as soon as practicable. We will respond as soon as the review has been concluded.

If you are not satisfied with the result of the review, you then have the right to appeal to the Information Commissioner for a decision on; 1. Whether we have responded to your request for information in accordance with Part 2 of the Freedom of Information Act 2015; or 2. Whether we are justified in refusing to give you the information requested.
In response to an application for review, the Information Commissioner may, at any time, attempt to resolve a matter by negotiation, conciliation, mediation or another form of alternative dispute resolution and will have regard to any outcome of this in making any subsequent decision. More detailed information on your right to a review can be found on the Information Commissioner’s website at www.inforights.im. Should you have any queries concerning this letter, please do not hesitate to contact me. Further information about freedom of information requests can be found at www.gov.im/foi.

I will now close your request as of this date.

Yours sincerely

Page 1

Registration & Inspection Unit

Policy on Management of complaints about
regulated care services
(including whistle-blowing)

        Reviewed October 2018

Department of Health and Social Care

Page 2

Contents

Introduction ................................................................................................................ 3 Purpose ....................................................................................................................... 3 Policy .......................................................................................................................... 3 Vulnerable Adults & Children ......................................................................................... 4 Complaints referred to the service provider .................................................................... 4 Complaints scrutinised by the Registration and Inspection Unit ........................................ 5 Timescales .................................................................................................................. 5 Reports of concern about care from staff members (Whistle-blowing) .............................. 6 Complaints about the Registration and Inspection Unit .................................................... 6 Appendix 1 .................................................................................................................. 7 Guidance on essential components of effective complaints Investigations ......................... 7

Page 3

Introduction Inspectors have a statutory duty to undertake inspections of registered services to ensure that requirements imposed are being adhered to and that service users are being looked after in accordance with the law and accepted standards.
The Department does not have a specific statutory duty to investigate complaints about registered services. However, due consideration will be given to the nature of the complaint and whether or not providers have breached any statutory requirement placed upon them. In many instances it will be deemed inappropriate for the Registration and Inspection Unit (R&I) to conduct an investigation and more appropriate to refer the complaint back to the service provider to investigate under their own procedures. (See flowchart) This approach increases the accountability on the part of the care provider. There will also be occasions when all or some of the issues contained within complaints may constitute abuse. This will come under the scope of either the Isle of Man Safeguarding Adults Policy & Procedures or the Children Safeguarding Policy & Procedures. https://www.gov.im/about-the- government/departments/health-and-social-care/safeguarding/
Where a complaint is made R&I will assess the seriousness of the issues raised, the potential for significant risk or harm and whether or not regulatory breaches have been identified.
It should be noted that requests for protecting someone’s confidentiality are not the same as an anonymous complaint.

Purpose 1.1 This policy clarifies how inspectors will deal with complaints about registered

services. 1.2 The policy will provide guidance in regard to:  When complaints should be di

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