Learn, Do Not Copy!

Learners monitor and review systems and processes to manage concerns and complaints and how these link to risk management and safeguarding

This page is designed to answer the following questions:

NOTE: This page has been quality assured for 2023 as per our Quality Assurance policy.

For this assessment criterion, you will be required to monitor, review and evaluate your organisation’s current systems and processes for the management of concerns and complaints and how they link to risk management and safeguarding.

Areas that you should consider are discussed below:

Review how systems and processes are visible and clear to all individuals receiving services and visitors to the setting

Systems and processes for reporting concerns and making complaints should be visible and accessible to everyone who accesses a service so that service users, visitors and staff understand what should be done when they have an issue. As well as explaining the processes when an individual first accesses the service, you should also ensure information is available throughout the setting – for example, you may use notice boards, posters, leaflets and printouts of your complaints policy and procedure. You should also promote the rights of individuals to complain if they are unhappy with the service provided and information should be made available in formats that are accessible to individuals (e.g. large print copies of policies for individuals with visual impairments etc.) This supports safeguarding because it provides a channel of communication for individuals to report unsafe practices.

Embed assessment of risk within all person-centred approaches and provide individuals and their families with forums to explore and raise concerns about positive risk-taking as part of the decision-making process

To support a person-centred approach, all risk assessments should be performed in collaboration with the service user and, where applicable, the service user’s family or advocate. This helps to provide a fair assessment of the risks and balance them against potential benefits and an individual’s right to make their own choices. By working in partnership with others and valuing each stakeholder’s point of view, risk can be managed in a way that is fair and equitable to all. Risk does not always need to be eliminated entirely – it is everybody’s right to take risks – but there should be agreement about how risks can be minimised as much as possible for the safety of the service user and others.

Provide individuals and their families with information on how to raise a concern or complaint as part of clear safeguarding processes

As mentioned above, service users and their families should be clear about how they can make a complaint or report a concern. This contributes to safeguarding processing by having a clear and transparent channel for reporting unsafe practices so that they can be addressed as soon as possible.

Dissemination of information on current requirements to all staff members and other professional and external agencies

Details relating to the management of complaints and the reporting of concerns must also be disseminated to team members so that they understand their roles and responsibilities in this area of their practice. Sufficient training should also be provided. This helps to ensure that all concerns are reported and dealt with to mitigate future risks and for care provision to improve.

Understand duty of care and duty of candour when managing complaints or concerns

It is essential to understand your duty of care and duty of candour when dealing with complaints or concerns. Your duty of care to the individuals to whom you provide services requires you to keep them safe from avoidable and foreseeable harm as well as promote their well-being. Your duty of candour requires you to be open, honest and transparent when things go wrong. You must explain what happened to those that were affected, apologise and offer them support.


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