Please Note: This is a draft. Before using this material, practices should
check the contents and adapt the text to suit their circumstances and style.
Practice Name
COMPLAINTS POLICY
COMPLAINTS FORM (Practice Use)
Date:
Name of complainant:
Address of complainant:
Post code:
Telephone No of complainant:
DETAILS:
Patient should be made aware of their “Choice” either the practice or the
National Commissioning Board should handle the complaint.
If the practice handle it and it is not resolved the patient then takes it to the
Ombudsman.
If the National Commissioning board handle it they approach the practice for
the information required to respond to the patient.
Date/Time of problem:
Patient’s name (if different from above)
Full details of complaint:
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© Practice Services UK Limited.
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Page 2 of 12
Practice Name
Complaint Investigation Form
How was complaint received:
Telephone
In Person
Letter
ACTION TAKEN:
Written acknowledgement of receipt of complaint date:
Clinical
Administrative
Doctor/Nurse/Member of staff involved:
Investigations:
Date/Time patient contacted with explanation:
Telephone
Letter
Meeting
Details of explanation:
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COMPLAINT RESOLVED:
YES/NO
Any further action:
All written replies will be checked by a partner before being sent. Copies will be kept
on file with the initial document recording the complaint
COMPLAINTS PROTOCOL
When a patient approaches the practice with a complaint:-
EVERY EFFORT SHOULD BE MADE TO RESOLVE IT ON THE
SAME DAY
TELEPHONE/IN PERSON
1
TELEPHONE
When a complaint is received over the telephone and cannot be
resolved by a member of staff:(1)
The patient’s name and address and telephone number
should be taken and documented by reception initially.
(2)
The call will be put through to the Practice Manager
who will discuss the details with the patient. If the Practice
Manager is not in at the time it should be suggested that he/she
will contact the patient when she returns.
or
(3)
2
If the Practice Manager is not available the full details should be
taken and responded to by “authorised member.” (The
Assistant manager for administrative problems or The Nurse
Team Leader for nursing issues - other clinical issues should be
dealt with by a partner).
RECEIVED IN PERSON
(1)
Patient’s name and address taken
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(2)
3
Patient should be seen by The Practice Manager, if not available
as 2 or 3 above.
RECEIVED BY LETTER
The letter should be date stamped and passed to the Practice Manager
to handle.
If at first contact a simple explanation cannot resolve the
complaint on the same day:
WHEN FIRST RECEIVING THE COMPLAINT
1
A complaint form will be completed by the Manager
depending on whether the complaint is received by telephone, in
person or by letter.
2 The patient’s complaint acknowledged by telephone initially and an
explanation given to the patient regarding their “Choice” to address the
complaint to either NHS England or the practice. Every effort to offer an
explanation should be taken at the time but if further investigations are
required an agreement regarding time scales etc should be made with
the patient.
3 If the problem cannot be resolved:
You must contact the patient and agree a timescale for the completion
of any investigation into the event. If the timescales cannot be met then
there needs to be another call to the patient explaining the delay and
agreement on an extension to the investigation.
A patient now has the right to make a complaint about any kind of
experience within the Practice within the previous twelve months.
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INVESTIGATION
1
The manager will decide if the complaint is clinical or administrative.
If clinical, the clinical protocol will be used (this will include
complaints relating to both doctors and nurses)
If administrative, as follows:
2
Any staff member will be asked to document their explanation
As to what happened immediately and it will be stored in the
complaints file.
3
A partner will be consulted before any explanation is given.
4
An explanation by telephone, letter or by meeting the patient
should be given according to the agreement with the patient.
(If the patient wishes, another person can be present).
All conversations will be documented and, along with copies of all
correspondence, will be kept in the complaints file in the Practice
Managers Office.
COMPLAINTS PROCEDURE
Aim:
To promote an ethos of treating complaints as a valuable means of
improving services and responding to patients’ concerns in doing so the
practice undertakes:

To resolve the complaint as soon as possible.

Wherever possible to answer the complainant’s concern openly,
honourably and promptly while being fair to doctors and staff.

To ensure patient expectations are not raised inappropriately.

To publicise and promote the Practice complaints procedure.

To resolve complaints in a no blame culture.

To deal with disciplinary matters entirely separate from the Complaints
system.
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
To seek NHS England advice on serious matters so that the necessary
steps can be considered.
To help us learn by our mistakes, improve our services to the
patients and offer further staff training if applicable.
RULES AND REGULATIONS
1
The practice should respond to a complaint by telephone or in person
initially.
a. If resolved on the same day the complaint will be documented
and then finished.
b. If the patient would prefer to contact NHS England, NHS
England will then contact the practice and investigations will
take place.
At all stages the whole process will be documented in a complaints file
separate from the patient records.
2 A full response should be given to the patient in the time scales agreed
with the patient at the time of taking the complaint.
In the cases of delay, holding letter of explanation for the delay should
be sent to the patient or complainant.
3
Confidentiality will be honoured at all times and is paramount to our
practice complaint procedure.
If the patient is being represented written consent will be required
by the practice from the patient. Children over 16years should
represent themselves.
Permission for a complainant to act on behalf of another patient will be
needed in writing before any discussion with a 3rd party can be entered
into.
CLINICAL COMPLAINT PROTOCOL
PARTNER
1
All clinical complaints should be documented on a complaints form by
the Manager or person dedicated to take complaints in her absence.
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2
On receipt of the complaint the patient will be given a leaflet explaining
the practice Complaint’s Procedure and every effort should be made
to offer an explanation and resolve the complaint on the same
day, if the patient agrees to allow the practice to address their
concerns (not PALS)
3
Details will be passed to the doctor involved or if relating to a nurse to
the Nurse Team Leader and the Practice Manager will discuss with
them what further action is required.
4
The Practice Manager will ensure that the partner or Nurse Team
Leader replies within the same day where possible.
5
If the complaint is related to The Nurse Team Leader or Practice
Manager it will be passed to _ _ _ _ _ _ _ _ _ .
6
A personal explanation will be made by The Practice Manager or the
doctor, on the same day if possible if not a letter will be sent, whichever
it is felt would be most appropriate.
If necessary, a meeting with the patient, who can be accompanied by
another person, will be arranged.
7
All conversations will be documented and kept in the complaints’ file,
not in the patient’s medical records.
8
If the complaint is not resolved the patient will be advised how to
contact the Ombudsman.
TRAINEE
Any complaints received regarding a trainee will be discussed with the trainer
initially.
LOCUMS
Any complaints received regarding a locum will be discussed with _ _ _ _ _ _
_ _ _ _ _ _ _. If they are absent for more than one week then the most senior
of the remaining partners will deal with it.
All conversations and actions will be documented and all
correspondence kept in the Complaints File.
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For use within your practice only. You are not permitted to supply this to any other organisation.
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A One-Page guide for dealing with complainants
(adapted from the NLPCT guidance Section 2)
A complaint is an expression of dissatisfaction, when expectations, even
unreasonable ones, are not met. All users (typically patients, patients’ relatives or
carers), of our services have the right to complain.
Complaints should be looked on as a constructive method of gaining feedback on
how our users view our services. How we handle complaints, queries and concerns
will affect our reputation with our users and the community that we serve
When you encounter someone who wants to make a complaint:
1. Deal with it then and there, if possible, with a minimum points of contact.
Take responsibility for it.
2. If you are not able to resolve it, contact NHS England for advice or the
Medical Defence Union of which you are a member.
3. However, if possible, take action to resolve it yourself.
a. If you are able to take action, determine if the complainant is satisfied
with the action you have taken:
If so complete a Significant Event Form for discussion by the Primary
Care Team suggesting any actions which could help us to “Learn
Lessons” from the experience review protocols and procedures,
address staff training etc.
b. If the complainant is not satisfied:
Consider approaching a senior person at NHS England for advice or the
MDU
ACKNOWLEDGE RECIEPT OF THE COMPLAINT - IMMEDIATELY
INVESTIGATE AND RESPOND IN TIMESCALES AGREED WITH THE PATIENT
When possible respond and resolve in the same day!!
Key Points
o
o
o
o
o
o
o
Be polite, receptive and helpful, IT MAKES ALL THE DIFFERENCE!!
Build Rapport
Establish key concerns
Check and show understanding
Present your position – explain how much time you can give and what
you can or cannot do.
Reach agreement on action/way forward
Thank the person
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POINTS TO REMEMBER WHEN DEALING
WITH PATIENTS’ COMPLAINTS
DO
-
Be sympathetic
Give a full verbal explanation
Apologise, if appropriate
Document all conversations
Remember patients may be frightened or in pain and may not always
act rationally at first
Seek expert advice early
Take into account emotion and allow the patient to overcome it before
discussing his problem
DON’T
-
Forget confidentiality
Avoid the complainant
Tamper with notes
Disparage a colleague
Give a written explanation without expert advice
Assume the complaint is motivated by malice
It costs nothing to say SORRY and that is usually all we need
to say.
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For use within your practice only. You are not permitted to supply this to any other organisation.
Page 10 of 12
Please Note: This is a draft. Before using this material, practices should
check the contents and adapt the text to suit their circumstances, style and
practice details.
PRACTICE NAME
Partners:
number)
.................................
.................................
.................................
The Surgery (Address details and contact
.................................
.................................
.................................
DATE _ _ /_ _ /_ _ _ _
FIRST COMPLAINT
Dear _ _ _ _ _ _ _ _ _ _ _
Thank you for (telephoning, writing etc) and bringing the problem of
(Enter problem) to my attention.
I am sorry that you feel that the service we have provided has not been
satisfactory.
I will be investigating this problem and I will contact you again (to arrange an
informal meeting or with an explanation) as soon as possible but within the
next 10 days.
If you have any concerns or queries in the meantime please contact me by
telephone as above.
Yours sincerely
(PRACTICE MANAGER)
© Practice Services UK Limited.
For use within your practice only. You are not permitted to supply this to any other organisation.
Page 11 of 12
Please Note: This is a draft. Before using this material, practices should
check the contents and adapt the text to suit their circumstances, style and
practice details.
PRACTICE NAME
Partners:
number)
.................................
.................................
.................................
The Surgery (Address details and contact
.................................
.................................
.................................
DATE _ _ /_ _ /_ _ _ _
COMPLAINTS LAST
Dear _ _ _ _ _ _ _ _ _ _ _
We are pleased to have resolved the problems you described to us last week
regarding _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _.
Thank you for bringing this to our attention.
I would like to thank you for taking the time to bring your problems to our
attention and if you have any further problems, please let me know.
Yours sincerely
(PRACTICE MANAGER)
© Practice Services UK Limited.
For use within your practice only. You are not permitted to supply this to any other organisation.
Page 12 of 12