Complaints Policy

Complaints Procedure

Introduction

This procedure sets out the Practice’s approach to the handling of complaints, and is intended as an internal guide which should be made readily available to all staff.

Policy Statement

The Practice will treat complaints seriously and ensure that complaints, concerns and issues raised by patients, relatives and carers are properly investigated in an unbiased, non-judgmental, transparent, timely and appropriate manner. The outcome of any investigation, along with any resulting actions will be explained to the complainant by the investigating organisation. Moans are not complaints

Policy

The Practice will take reasonable steps to ensure that patients are aware of:

• The Complaints Procedure
• The role of NHS England, and other bodies, in relation to complaints about services. This includes the ability of the patient to complain directly to NHS England, as an alternative to a complaint to the practice, and to escalate to the Ombudsman where dissatisfied with the outcome
• Their right to assistance with any complaint from independent advocacy services

The principal method of achieving this is the Complaints Patient Information Leaflet, the Practice Leaflet and website.

The Complaints Manager for the Practice is the Deputy Practice Manager. The handling of complaints may be delegated to a named employee as considered appropriate.

The lead GP Partner for complaints handling is the Senior Partner.

Procedure

Receiving of complaints

The Practice may receive a complaint made by, or (with his/her consent) on behalf of, a patient, or former patient, who is receiving, or has received treatment at the Practice, or:

(a) Where the patient is a child:

• by either parent, or in the absence of both parents, the guardian or other adult who has care of the child
• by a person duly authorised by a local authority to whose care the child has been committed under the provisions of the Children Act 1989
• by a person duly authorised by a voluntary organisation by which the child is being accommodated

(b) Where the patient is incapable of making a complaint, by a relative or other adult who has an interest in his/her welfare.

All complaints, must be in writing, and be acknowledged again in writing within 3 working days of receipt. The reply to the patient should be made within 10 working days, or the patient should be provided with an update and an estimated timescale.

Period within which complaints can be made

The period for making a complaint is normally:

• 12 months from the date on which the event which is the subject of the complaint occurred; or
• 12 months from the date on which the event which is the subject of the complaint comes to the complainant's notice

Complaints should normally be resolved within 6 months. The practice standard will be 10 days for a response.

The Complaints Manager or lead GP has the discretion to extend the time limits if the complainant has good reason for not making the complaint sooner, or where it is still possible to properly investigate the complaint despite extended delay.

When considering an extension to the time limit it is important that the Complaints Manager or the GP takes into consideration that the passage of time may prevent an accurate recollection of events by the clinician concerned or by the person bringing the complaint. The collection of evidence, Clinical Guidelines or other resources relating to the time when the complaint event arose may also be difficult to establish or obtain. These factors may be considered as suitable reason for declining a time limit extension.

Guidelines or other resources relating to the time when the complaint event arose may also be difficult to establish or obtain. These factors may be considered as suitable reason for declining a time limit extension.

Action upon receipt of a complaint

Complaints can be received verbally, this is usually conducted in a private room with the Deputy Practice Manager and complainant, or in writing and must be forwarded to the Complaints Manager or named delegated individual. In the absence of either member of staff the complaint should be passed to the Senior Partner.

• It is always better to try to deal with the complaint at the earliest opportunity and often it can be concluded at that point 
• Acknowledge in writing within the period of 3 working days beginning with the day on which the complaint was made or, where that is not possible, as soon as reasonably practicable. Include an offer to discuss the matter in person. The discussion will include agreement with the patient as to how they wish the complaint to be handled
• Advise the patient of potential timescales and the next steps
• Where the complainant is unable to provide a written record that wants to make a complaint, a written record will be taken and read back to the complainant to confirm understanding
• Ensure the complaint is properly investigated. Where the complaint involves more than one organisation the Complaints Manager will liaise with his / her counterpart to agree responsibilities and ensure that one coordinated response is sent
• Where the complaint has been sent to the incorrect organisation, advise the patient within 3 working days and ask them if they want it to be forwarded on. If it is sent on, advise the patient of the full contact details
• Provide a written response to the patient as soon as reasonably practicable ensuring that the patient is kept up to date with progress as appropriate. Where a response is not possible within 10 working days provide an update report to the patient with an estimated timescale. The final reply will include a full report and a statement advising them of their right to take the matter to the Ombudsman if required

Unreasonable Complaints

Where a complainant becomes aggressive or, despite effective complaint handling, unreasonable in their promotion of the complaint, some or all of the following formal provisions will apply and will be communicated to the patient:

• The complaint will be managed by one named individual at senior level who will be the only contact for the patient
• Contact will be limited to one method only (e.g. in writing)
• Place a time limit on each contact
• The number of contacts in a time period will be restricted
• A witness will be present for all contacts
• Repeated complaints about the same issue will be refused
• Only acknowledge correspondence regarding a closed matter, not respond to it
• Set behaviour standards
• Return irrelevant documentation
• Keep detailed records

Persistant Complainers

Defined as patients who:

• Refuse to specify the grounds of a complaint, despite offers of assistance
• Refuse to co‐operate with the complaints investigation process
• Refuse to accept that certain issues are not within the scope of a complaints procedure
• Insist on the complaint being dealt with in ways which are incompatible with the complaints
• Make unjustified complaints about staff that are trying to deal with the issues and seeking to have them replaced
• Change the basis of the complaint as the investigation proceeds 
• Deny or change statements he / she made at an earlier stage 
• Introduce trivial or irrelevant new information at a later stage
• Raise numerous, detailed but unimportant questions; insisting they are all answered 
• Covertly record meetings and conversations
• These complainants will be handled by one named individual who is in a management position with the practice
• Request that the complaint be made in writing to the “Complaints” Manager
• Normal complaints procedure for the practice will be followed.

Final Response

This will include:

• A clear statement of the issues, investigations and the findings, giving clear evidence-based reasons for decisions if appropriate
• Where errors have occurred, explain these fully and state what will be done to put these right, or prevent repetition
• Focus on fair and proportionate outcomes for the patient, including any remedial action or compensation
• A clear statement that the response is the final one, or that further action or reports will be sent later
• An apology or explanation as appropriate
• A statement of the right to escalate the complaint, together with the relevant contact detail
• It will also advise on the next step in the process if the complainant is still not satisfied.  That would normally be an offer of a meeting with the Lead GP and Deputy Practice Manager to try further reconciliation.  This may involve the support of the Local Mediation Services who would arbitrate between both sides to seek a mutual agreement.  This often takes time but can be very helpful having a third person to review the issues raised
• If at that point resolution is still not achieved then either side can refer the matter to the Health Commissioner

Annual Review of Complaints

The practice will establish an annual complaints report (KO41b), incorporating a review of complaints received, along with any learning issues or changes to procedures which have arisen. This report is to be made available to any person who requests it, and may form part of the Freedom of Information Act Publication Scheme.

This will include:

• Statistics on the number of complaints received
• Justified / unjustified analysis
• Known referrals to the Ombudsman
• Subject matter / categorisation / clinical care
• Learning points
• Methods of complaints management
• Any changes to procedure, policies or care which have resulted

The completion of form KO41b refers to written complaints received between 1st April and the 31st March of each year and must be returned by 23rd June. The relevant information can be found in the Complaints Folder on the computer. It can only be completed by authorised GP practice staff.

Confidentiality

All complaints must be treated in the strictest confidence.

Where the investigation of the complaint requires consideration of the patient's medical records, the Complaints Manager must inform the patient or person acting on his/her behalf if the investigation will involve disclosure of information contained in those records to a person other than the Practice or an employee of the Practice.

The practice must keep a record of all complaints and copies of all correspondence relating to complaints, but such records must be kept separate from patients' medical records.

Contact Details for NHS England

NHS England South East
Oakley Road
Southamton
SO16 4GX

Email: england.southeastcomplaints@nhs.net
If you are making a complaint please state: ‘For the attention of the complaints team’ in the subject line.
Telephone: 0300 311 22 33

British Sign Language (BSL): If you use BSL, you can to talk to us via a video call to a BSL interpreter. Visit NHS England’s BSL Service.

Contact Details for the Parliamentary & Health Services Ombudsman

The Parliamentary & Health Services Ombudsman
Millbank Tower
Millbank
London
SW1P 4QP

Telephone: 0345 0154033
Email: phso.enquiries@ombudsman.org.uk