Policy

Complaints Handling Policy

Receiving, investigating, responding to and learning from complaints in line with the statutory complaints regulations and CQC fundamental standards

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  • Editable Microsoft Word (.docx)
  • Mapped to the CQC standards
  • Optional 3-monthly updates

What's inside

This policy is fully drafted and structured, ready to brand and complete for your service. It covers:

  • 1. Purpose
  • 2. Scope
  • 3. Policy statement
  • 4. Definitions
  • 5. Who can complain and time limits
  • 6. How a complaint can be made
  • 7. The complaints procedure
  • 8. Duty of candour and serious incidents
  • 9. Confidentiality, records and unreasonable behaviour
  • 10. Roles and responsibilities
  • 11. Training
  • 12. Records, monitoring and audit
  • 13. Related documents
  • 14. Version control and review
  • 15. Disclaimer
  • Appendix A - Complaint record form
  • Appendix B - Complaints handling checklist

Legislation & standards it maps to

  • Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, Regulation 16 (Receiving and acting on complaints) and Regulation 20 (Duty of candour)
  • Local Authority Social Services and National Health Service Complaints (England) Regulations 2009
  • National Health Service (General Medical Services Contracts) Regulations 2015
  • Care Quality Commission (Registration) Regulations 2009, Regulation 18 (Notification of other incidents)
  • Equality Act 2010
  • Data Protection Act 2018 and the UK General Data Protection Regulation (UK GDPR)
  • Freedom of Information Act 2000
  • Mental Capacity Act 2005
  • The Parliamentary and Health Service Ombudsman's Complaint Standards (the Complaint Handling Code)

Who it applies to

All staff at [Organisation Name], including GP partners, salaried and locum GPs, advanced nurse practitioners, practice nurses, healthcare assistants, the practice manager, reception and administrative staff, attached and visiting clinicians, students, contractors and volunteers.

Glossary

Plain-English explanations of the technical terms and legislation used in this document.

Accessible Information Standard (DCB1605)
A standard requiring services to identify, record and meet the communication and information needs of people with a disability or sensory loss.
Alternative Provider Medical Services (APMS)
One of the contract types under which a provider may be commissioned to deliver primary medical (GP) services.
Best interests
A decision made for someone who cannot decide for themselves, choosing the option that is best for them.
Care Quality Commission (CQC)
The independent regulator of health and social care services in England.
Care Quality Commission (Registration) Regulations 2009
The rules setting out which serious incidents and events a registered provider must formally notify to the regulator.
Complainant
The patient, or a person acting on their behalf with proper authority, who makes a complaint.
Complaints Manager
The named person, usually the Practice Manager, responsible for the day-to-day handling and recording of complaints.
Data Protection Act 2018
The UK law that sits alongside the UK GDPR and governs how personal information must be handled.
Duty of candour
The legal duty to be open and honest with a person and their family when something goes wrong with their care.
Equality Act 2010
The law protecting people from discrimination based on characteristics such as age, disability, sex or race.
Freedom of Information Act 2000
The law giving people the right to ask public bodies for recorded information they hold.
Friends and Family Test
A simple feedback tool that asks patients about their experience of a service so it can be improved.
General Medical Services (GMS)
The nationally agreed contract type under which many GP practices provide primary medical services.
Health and Social Care Act 2008 (Regulated Activities) Regulations 2014
The regulations setting out the fundamental standards that registered health and care providers must meet, including handling complaints and the duty of candour.
Informed consent
Agreement to something given freely after the relevant information has been clearly explained.
Learn from Patient Safety Events (LFPSE) service
A national service for recording patient safety events so that learning can be shared and care made safer.
Local Authority Social Services and National Health Service Complaints (England) Regulations 2009
The law that sets the statutory process providers must follow for handling health and social care complaints in England.
Mental capacity
Whether a person can understand and make a particular decision for themselves at the time it needs to be made.
Mental Capacity Act 2005
The law that protects and supports people who may be unable to make particular decisions for themselves.
Notifiable safety incident
An unexpected incident during care that has caused, or could cause, significant harm and which triggers the duty of candour.
Parliamentary and Health Service Ombudsman (PHSO)
The independent body that reviews unresolved complaints about health services in England once a provider's own process is complete.
Patient Participation Group (PPG)
A group of patients who work with a practice to help review and improve its services.
Personal Medical Services (PMS)
A locally agreed contract type under which a practice may provide primary medical services.
Primary medical services contract
The agreement under which a GP practice is commissioned to provide general practice care (for example a GMS, PMS or APMS contract).
Records Management Code of Practice
National guidance setting out how long health and care records should be kept and how they should be managed.
Registered provider
The organisation or person registered with the regulator as legally accountable for the service.
Regulated activity
A type of care or treatment the law requires a provider to register with the regulator to deliver.
Responsible Body
Under the 2009 complaints regulations, the organisation responsible for handling a particular complaint - usually the practice itself.
Responsible Person
The senior person, usually a GP partner or registered provider, accountable for complying with the complaints regulations and for ensuring lessons are learned.
Significant event analysis
A structured team review of an event in order to understand what happened and improve future care.
Single assessment framework
The structure the regulator uses to judge a service, built around quality statements and five key questions (safe, effective, caring, responsive, well-led).
Triangulation
Comparing information from several sources, such as complaints, incidents and feedback, to get a fuller picture of quality and risk.
UK General Data Protection Regulation (UK GDPR)
The UK's main data-protection law governing how personal information is collected and used.
Vexatious complaint
A complaint pursued in an abusive, unreasonable or persistent way that places an unjustified burden on the service.

How it works

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  2. Download your editable Word file from the link we email you straight away.
  3. Complete the placeholders for your service, then have it approved before use.
  4. Add the optional updates subscription and we keep it current as guidance changes.

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