Complaints handling

Question 1

GDC standard principle 5

Answer 1

Have a clear & effective complaints
procedure:
• 5.1 Make sure that there is an effective
complaints procedure readily available for pts to
use, and follow that procedure at all times.
• 5.2 Respect a pt’s right to complain.
• 5.3 Give pts who complain a prompt &
constructive response

Question 2

Respecting pt’s right to complain

Answer 2

• It is part of your responsibility to deal with
a complaint properly & professionally.
• If you receive a complaint deal with it
calmly & as quickly as possible following
your practices complaints procedure

Question 3

Complaint

Answer 3

An expression of dissatisfaction requiring a response

Question 4

NHS complaints procedure

Answer 4

• Can be made by the patient or someone
acting on their behalf with their consent.
• Should be made within 12 months of the
event or within 12 months of becoming
aware that there is a problem however
this can be up to 6 years after the
treatment.
• Can be done verbally or in writing
including e-mail

Question 5

What can they complain about?

Answer 5

• Not getting the right dental treatment.
• Building & environment where treatment
is received.
• Information that is or not given/ lack of
understanding.
• Waiting times.
• The manners of staff eg rudeness

Question 6

Complaint vs negligence

Answer 6

Many complaints or law suits produce no
evidence of negligence or fault on the part
of the practitioner. However the
complainant perceives a shortfall in the
CARE that they receive

Question 7

Local resolution

Answer 7

• Takes place within the dental practice.
• Every dental practice must have a written
complains procedure.
• Should have a complaints manager in the
practice and a back up in case they are
mentioned in the complaint
• The complaint must be dealt with as
quickly as possible.
• A verbal one dealt with on the day if
possible or acknowledged within 24 hours.
A written should be timely and follow the
timings set out in the practice policy
• But if this is not possible then the
complainant must be kept informed of
developments

Question 8

CCDH policy

Answer 8

• Acknowledge complaint within 2 working
days and discuss what will happen next.
• They will make contact with the complainant if it is going to take more than 25 working days for a final response to the complaint but they will let them know the reasons for this

Question 9

Aims of local resolution

Answer 9

• To avoid escalation of a formal complaint
• Offer some options to resolve it
• Important to make sure that
contemporaneous notes are completed by
you
• Make sure you report broken/dirty
equipment don’t be tempted to use

Question 10

How to respond - local resolution

Answer 10

• Recognise the complaint
• Show empathy
• Action the complaint
• Be honest about your findings

Question 11

Response should include

Answer 11

• Summary of investigations findings
• Actions taken to resolve the problems eg staff training, audit
• If the investigation can’t be completed in the time scale then the complainant must
be contacted to renegotiate a revised deadline
• Don’t get defensive when dealing with a complaint.
• Say you are sorry, this is often what the pt is wanting. Explain that treatment
doesn’t always go to plan but what can be done to rectify problem.
• If you are named in the complaint, immediately contact Dental/ Medical Defence

Question 12

Listening skills

Answer 12

• react to words
• forgive and ignore rude mannerisms
• stay cool don’t interrupt
• take notes
• remove barriers eg noise, interruptions, jargon
• ask for clarification if you’re not sure of
something
• If you’re not 100% sure of the answer then say
you will check and get back to them

Question 13

Verbal skills

Answer 13

• tone of voice
• speak clearly
• avoid statements eg “I can’t understand
that” “no one else has complained before”
• don’t imply that you don’t believe them

Question 14

Which organisations can help?

Answer 14

Patient Services Team (PST) 
Independent Complaints
Advocacy Service (ICAS)
Parliamentary & Health
Service Ombudsman

Question 15

PST

Answer 15

• found in the local hospital.
• give information about the NHS complaints procedure and getting independent help if they want to make a complaint.
• initially response to complainants and pass concerns and complaints to departments for investigation and resolution ie at local level.
• will deal with questions, simple complaints and straight
forward low risk concerns to provide a speedy service to callers.
• will not investigate a complicated complaint.
• they can put the patient in touch with the Independent
Complaints & Advocacy Service

Question 16

ICAS

Answer 16

• Free, impartial & independent
• Trained caseworkers knowledgeable in the NHS
complaints procedures but separate from the
NHS.
• Assist people by identifying the options with
regards their complaint but do not investigate it.
• They will write letters or attend meeting and
speak on the complainants behalf.
• Try to resolve the complaint at the local level

Question 17

Parliamentary & Health

Service Ombudsman

Answer 17

• Set up by Parliament
• These are contacted if the complainant is
unhappy with the outcome of their NHS complaint.
• Free, fair, transparent.
• Entirely independent from the NHS.
• They will investigate the complaint & either ask for an apology, financial refund or recommend further action

Question 18

What they do

Answer 18

• Letter sent to acknowledge receipt of complaint
• Initial review- all relevant information
• Investigation
• The complainant or those complained against
may be contacted to clarify points
• They may decide to take no further action, refer
it back to the healthcare provider if they feel
local resolution is still possible, advise dropping
the complaint or refer it on

Question 19

GDC - complaint

Answer 19

• Can’t help if the complainant wants
compensation (this would need to go to a
solicitor)
• Designed to protect the patient & be fair to all parties
• 4 Stages:
1. Consider the complaint
2. Case worker
3. Case examiners (can contact Interim Orders
Committee (IOC) to consider impose interim conditions
or suspension until inquiry has been held to protect pts
4. Practice Committee (PC) consisting of Professional
Conduct Committee/Health Committee/Professional
Performance Committee(PPC)

Question 20

Is the GDC the right place for the complaint?

Answer 20

No- explain why not and give advise of where to go

Yes- ask complainants permission to go ahead to pass on the information to a case worker

Question 21

GDC stats

Answer 21

• The GDC do try to push complaints back
to local resolution
• In approx 100 cases that come to them
about 1/3 take no further action and the
registrant is unaware of the complaint
• Approx ¼ closed no action
• Approx ¼ go forward but can still be closed by a case examiner
• Approx 10% are made by a registrant about a registrant (can be marital/ partnership dispute )
• Only approx 30-35 out of 100 get to the case examiners
• Investigating committee will close/ close with advice/ close with warning conditions
• Only approx 14 will go forward to health/ conduct/ practice committees

Question 22

NCAS- National Clinical

Assessment Service

Answer 22

• Working with the GDC to provide expert clinical review of complaints against dentists/ DCP’s.
• GDC refers clinical case to NCAS for independent view of complaint
• Panel of expert dental reviewers who decide if case should be referred to the investigating committee or close case
• Aim is to speed up complaint handling to
ensure pts are protected effectively.
• Work across the country

Question 23

Practice Committee’s

health/conduct/performance

Answer 23

• Can consider no further action
• Can suspend or impose conditions on a
dental professional where there is a need
to protect the public.
• These enquiries are held in public.
They can reprimand, offer conditions (for
up to 36 months), suspend for up to a year
or strike from the register.

Question 24

Professional Conduct

Committee

Answer 24

• Investigates cases where conduct is brought into question

* Question of impairment of fitness to practice

Question 25

Health Committee

Answer 25

• Considers cases where fitness to practice
is affected by a physical or mental condition.
• These hearing are usually held in public but can be held in private if necessary in the interest of parties

Question 26

Professional Performance

Committee

Answer 26

• Deals with cases where performance consistently falls below an acceptable
standard

Question 27

Private Practices

Answer 27

• Private practices should have a complaints
policy in place for local resolution
• Denplan have an Independent Complaints
Service for their members.
• Solicitors are happy to take on cases
• The GDC funds the “Dental Complaints Service” but operates at arms length of the GDC.
• Can’t look at NHS complaints, staff matters (recruitment, pay, discipline)
• Free, impartial, independent

Question 28

Dental Complaints

Services

Answer 28

• Their aim is to resolve complaints fairly,
efficiently, transparently & quickly.
• Both parties are invited to the complaints panel which consists of trained
independent volunteer panellists. 2 are members of the public & 1 dental professional

Question 29

Practice Committee - what can they do?

Answer 29

• Recommend no further action
• Recommend no further action but give advice for the future
• Recommend a refund and agree an amount for remedial treatment
• Demand an apology
• If it cannot be resolved then the complainant will be directed to the courts