Complaints Handling

Question 1

What is the GDC principle 5?

Answer 1

Have a clear and effective complaints procedure

5. 1 Make sure there is an effective complaints procedure available for pts to use and follow
6. 2 Respect a pt’s right to complain
7. 3 Give pt’s who complain a prompt and constructive response

Question 2

How to handle complaints?

Answer 2

Deal with a complaint properly and professionally, calmly and as quickly as possible

Question 3

Define complaint

Answer 3

An expression of dissatisfaction requiring a response

Question 4

Features of the NHS complaints procedure?

Answer 4

Can be made by pt or someone acting on their behalf with their consent
Should be made within 12 months of becoming aware of the problem (however this can be up to 6 yrs after the tx)
Can be done verbally or in writing (including email)

Question 5

What can pts complain about?

Answer 5

Not getting the right dental tx
Building and environment where tx is received
Information that is or not given/lack of understanding
Waiting times
Manners of staff

Question 6

What is local resolution?

Answer 6

Takes place within the dental practice
Every dental practice must have a written complaints procedure
Should have a complaints manager in the practice and a back up in case they’re mentioned in the complaint
Deal with complaint ASAP
Verbal one dealt with on the day if possible or acknowledged within 24hrs
Written one - timely and follow the timings set out in the practice policy
If not possible - complaint must be kept informed of developments

Question 7

What is CCDH’s policy towards complaints?

Answer 7

Acknowledge complaint within 2 working days and discuss what will happen next
They will make contact with the complaint if it’s going to take more than 25 working days for the final response to the complaint

Question 8

What are the aims of local resolution?

Answer 8

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

Question 9

How to respond to local resolution?

Answer 9

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

Question 10

How to respond to complaints?

Answer 10

Summary of investigations findings
Actions taken to resolve problems e.g. staff training
If investigation can’t be completed in the time scale then the complainant must be contacted to renegotiate the advised deadline
Don’t get defensive
Apologise
Explain tx does not always go to plan but what can be done to rectify the problem
If you’re named in the complaint - immediately contact dental/medical defence

Question 11

Non-verbal skills to think about?

Answer 11

Be friendly
Body language
Be confident
Reassure that you are listening

Question 12

Listening skills?

Answer 12

React to words
Forgive and ignore rude mannerisms
Don't interrupt
Take notes
Remove barriers e.g. noise, jargon
Ask for clarification if not sure about something

Question 13

Verbal skills?

Answer 13

Tone of voice
Speak clearly
Avoid statements
Don’t imply that you don’t believe them

Question 14

Pt services team and patient advice liaison service?

Answer 14

Found in local hospital
Give info about the NHS complaints procedure
Respond to complaints and pass concerns to departments for investigations
Deal with questions, simple complaints and low risk concerns - fast response
Do NOT investigate complicated complaints
Can put the pt in touch with the independent complaints and advocacy service

Question 15

Independent complaints advocacy service?

Answer 15

Free
Separate from the NHS
Assist people by identifying the options which regard their complaint but do not investigate it
Write letters or attend meetings to speak on the complainants behalf

Question 16

Parliamentary and health service ombudsman?

Answer 16

Set up by parliament
Contacted if the complaintant is unhappy with the outcome of their NHS complaint
Free
Independent from NHS
Investigate the complaint and ask for an apology, financial refund or recommend further action

Question 17

What do the parliamentary and health service ombudsman do?

Answer 17

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 possible or advice dropping the complaint/refer it

Question 18

What can the GDC not help?

Answer 18

Cannot help if the complainant wants compensation - this needs a solicitor

Question 19

What are the 4 stages of the GDC protecting the pt and to be fair to all parties?

Answer 19

1. Consider the complaint
2. Case worker
3. Case examiners (can contact interim orders committee) or suspension
4. Practice committee - consisting of professional conduct committee/health committee/professional performance comittee

Question 20

What do if if the GDC is or isn’t the right place for the complaint?

Answer 20

Is the GDC the right place for the complaint?
Is not - explain why not and advise where to go
Is the correct place - ask complainants permission to go adhead to pass the info onto a case worker

Question 21

What to do in the initial assessment?

Answer 21

Harm/damage done? Serious enough?
1 persons view
Call for info/notes/other professional opinion

Question 22

How do the GDC handle complaints?

Answer 22

GDC try to push complaints back to local resolution
1/3 of case take no further action and the registrant is unaware of the complaint
1/4 closed no action
1/4 go forward but can still be closed by a case examiner
10% are made by a registrant about a registrant
Investigating committee will close/close with advice/close with warning conditions

Question 23

What does the case worker do?

Answer 23

Review the case
Is the allegation true? Does info need investigating?
No - explain why and give info about others who could help
Yes - refer to case examiners within 4 months (decision within 6 months)

Question 24

What is the national clinical assessment service (NCAS)?

Answer 24

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 decide if case should be referred or closed

Question 25

What is NCAS’ aim?

Answer 25

To speed up complaint handling to ensure pts are protected effectively

Question 26

What can the practice committee do?

Answer 26

Can consider no further action
Can suspend or impose conditions on a dental professional where there is a need to protect the public
Can reprimand, offer conditions, suspend for up to a yr or strike from the register

Question 27

What do the professional conduct committee do?

Answer 27

Investigate cases where conduct is brought into question

Question of impairment of fitness to practice

Question 28

What does the health committee do?

Answer 28

Considers cases where fitness to practice is affected by a physical or mental condition
These hearings are usually held in public but can be in private

Question 29

What does the professional performance committee do?

Answer 29

Deals with cases where performance consistently falls below an acceptable standard

Question 30

Private practices?

Answer 30

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.

Question 31

What is the aim of the dental complaints services? How does it work?

Answer 31

• 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 32

What can dental complaints services do?

Answer 32

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.

Question 33

What happens if you don’t meet the GDC’s standards?

Answer 33

Fitness to practice (FtP) route – initial
investigation, may be referred to a FtP
panel where you will need to appear to
answer questions.
• The panel can agree no case to answer,
give a warning/sanctions or recommend
leaving the course

Question 34

How to avoid complaints?

Answer 34

• Notes should be comprehensive, legible &
written at the time of the appointment.
• Where possible always have a chaperone.
• Follow guidelines & protocols.
• Communicate with your patients.
• Listen to your patients.
• If things don’t go quite according to plan say
you are sorry, it is often enough.

Tx plan and consent:
• Focus on pt’s concerns
• Give options & likely outcomes
• Problems outlined to suit their needs
• Give time for pt to think & weigh up the
risks.