Complaints Handling

Question 1

Why do patients complain?

Answer 1

• explanation
• assurances
• apologies
• refund of fees

Question 2

What are examples of service failures that patients may complain about?

Answer 2

• Appointment issues [incorrect or running late]
• Poor treatment planning
• Estimates
• Treatment failures
• Complications

Question 3

What is a complaint?

Answer 3

Any expression of dissatisfaction by a patient (or representative) about a dental service or treatment, whether justified or not

Question 4

What are the principles of clinical negligence?

Answer 4

For a clinical negligence claim to be successful, the patient must prove that:

(a) the defendant dental professional owed them a duty of care

(b) there was a breach of duty

(c) the breach of duty caused harm

(d) avoidable harm resulted

Question 5

How do we go about putting patients interests first?

Answer 5

• communicate effectively
• recognise patients rights & responsibilities
• give patients all the necessary information & make sure they understand
• give clear cost info

Question 6

What are the different types of complaints handling procedures that can occur?

Answer 6

1. Frontline resolution
2. Investigation
3. Independent external review (SPSO or other)

Question 7

What is a “Frontline Resolution” complaint?

Answer 7

Issues that are straightforward & easily resolved:
- ‘on-the-spot’ apology, explanation or other action to resolve complaint
- 5 working days or less

Question 8

What is the second tier/stage of a complaints procedure? What does it involve?

Answer 8

Investigation
- frontline resolution has been attempted but customer remains dissatisfied
OR
- issues raised are complex & require detailed investigation
- complaint relates to serious, high-risk or high profile issues

Question 9

What is the timeframe for a stage 2 complaint/Investigation procedure?

Answer 9

Definitive response provided within 20 working days following a thorough investigation of the points raised

Question 10

What is the third tier/stage of a complaints procedure? What does it involve?

Answer 10

Post Investigation Review
- If a customer or service/provider disagrees with an outcome decision they have 10 working days to request this review
- We will write to the requestor within 5 working days to CONFIRM receipt of request
- We will decide whether to carry out a post-investigation review within 10 working days of receiving request
- We will write to the requestor within 20 working days explaining the outcome of the post-investigation review & final decision

Question 11

What is the Private Dental Complaint Service used UK wide?

Answer 11

DCS (Dental Complaints Service)

Question 12

What is the timeframe from when a private procedure occurred that the patient can complain via DCS?

Answer 12

• within 12 months of treatment taking place
  OR
• within 12 months of becoming aware that you have something to complain about

Question 13

How can DCS help patients?

Answer 13

Can assist with:
- explanations and/or apologies for what has happened
- a full or partial refund of fees in relation to the failed treatment
- remedial treatment from your dental professional [if you both are in agreement]
- contribution towards remedial tx so that the work can be completed by another dental professional

Question 14

What is Health Improvement Scotland?

Answer 14

H.I.S governs independent/private health clinics including dental practises in Scotland

Question 15

What is the timeframe from when an NHS procedure occurred that the patient can complain via HIS?

Answer 15

6 months

Question 16

How can complaints be received?

Answer 16

Via:
- writing [email/letter]
- telephone
- person [in office or during inspection]

Question 17

According to HIS: A complaint may relate to….

Answer 17

• the quality of care and tx experienced by a service user
• actions a service/provider took that the service used deemed inadequate
• a service/providers failure to take action when necessary

Question 18

HIS can investigate complaints that refer to what?

Answer 18

• quality of care and/or tx experienced
• care environment or equipment issues
• poor tx by a member of staff
• operation & procedural issues
• service/providers failure to follow appropriate process
• lack of information provision by the service provider

Question 19

Explain the procedural steps after a complaint is logged by a patient via HIS?

Answer 19

• complaint logged [phone, in person, writing]
• assessment of eligibility carried out within 1 working day
• acknowledgement of complain sent within 5 working days
• inspectors plan how the investigations will be carried out & contact complainant
• investigation carried out and response provided within 20 working days of complaints agreement to be investigated
• complaint investigation outcome report sent to complainant & provider
• providers action plans will be followed up 16 weeks after the complaint investigation report [unless action required immediately]
• 10 working days to log a post-investigation review if complainant/provider disagrees

Question 20

What are some examples of Law that can be referenced in complaints handling?

Answer 20

• GDPR [general data protection regulation] 2018
• Scottish Apology Act 2016
• Montgomery v NHS Lanarkshire Health Board 2015
• Tooth Whitening EU legislation 2013
• Patients Rights (Scotland) Act 2011
• Recording of LA European Regulation 2004

Question 21

How can dentists protect themselves if patients do raise complaints?

Answer 21

• Ensure always keep good record keeping
• Always get valid consent before procedures
• Communicate effectively with patients

Question 22

What should you do after handling a complaint?

Answer 22

Keep a written record of all complaints together with your responses. Can be used:
- to monitor performance in handling complaints
- identify any areas that need improvement

Question 23

If there are exceptional circumstances which mean that the complaint cannot be resolved within the usual timescale what should you do?

Answer 23

Give the patient regular updates (at least every 10 days) on progress

Question 24

If the patient is not satisfied despite your best efforts to resolve their complaint, what should you do?

Answer 24

Tell them about other avenues that are options:
- Ombudsman for health service complaints
- Dental Complaints Service for complaints about private dental tx