Complaints Management Policy

Size: px
Start display at page:

Download "Complaints Management Policy"

Transcription

1 Complaints Management Policy Policy Reference Number CMP001 Status Ratified Version 9 Implementation Date January 2002 Publication date June 2017 Current/Last Review Dates Dec 2006, Nov 2008, June 2009, June 2010, March 2011, March 2012, July 2013, November 2016 Next Formal Review November 2020 Sponsor Director Of Nursing Sponsor Signature Author Senior Governance Manager Where available Trust Intranet Target audience All Trust staff Ratification Record `````` Date Procedural Document Sub Group January 2017 Approval Record Committee Name Chairperson Date Consultation Date Complaints and Claim Committee April 2016 General Managers, Clinical Directors, Matrons and ward sisters April 2016 Director of Nursing April 2016 Regulators Requirements Care Quality Commission Outcome 17 NHSLA Risk Management Standard for Standard 5.3 Acute Trusts Document Control / History Version No Reason for change 1 New policy. 2 Review of policy. 3 Review to incorporate NHSLA risk management standards. Definitions updated. Equality Impact Assessment added. Role of Procedure Document Co-ordinator. Checklist for completion of procedural documents. Flowchart for the creation and implementation of procedural documents. 4 Review to incorporate changes as a result of the introduction of the Local Authority Social Services and National Health Service Complaints Regulations (England) Update to reporting structure, update to references, correction of typographic errors. 6 Removal of Appendix 4 and associated references upon direction of CEO. 7 Updates made on annual review (June 2012). 8 Updates made in relation to new complaints management/handling processes within the Trust.

2 Contents Section Page Document Summary 4 1. Introduction 5 2. Purpose 5 3. Definitions 5 4. Duties (Roles and Responsibilities) 6 5. Complaints Overview Who Can Make a Complaint? Informal Complaints Complaint Exclusions Managing Complaints - Trust Steps and Processes Formal complaints Investigation Extensions Listening/ Local Resolution Meetings (LRM) Access to health records - complainants` requests Independent opinion/ internal reviews External Review Serious Incidents Rating of Complaints for severity Holding letters Escalation Process for delays Response to the complainant Local Resolution meeting Re-opened Complaints Independent Review Request Handling Vexation Complainants Parliamentary and Health Service Ombudsman (PHSO) Complaints were negligence is contemplated Confidentiality Training Redress Complaints involving more than one Directorate Complaints involving other organisations Patient Consent Formal complaints in relation to deceased patients File maintenance Process to Ensure Complainants are not Treated Differently 24 Dartford and Gravesham NHS Trust Page 2 of 46

3 15. Disciplinary Procedure Implementation of Policy Equality Impact Assessment Monitoring Compliance with this Procedural document Associated Documents/Further Reading References 27 Appendices Appendix 1 Standards for Complaints Handling Process Appendix 2 - Dartford & Gravesham NHS Trust Proposed Complaint Procedure Flow Chart Appendix 3 Verbal Complaint Form Appendix 4 - Notice of Authority Appendix 5 Complaints Handling Questionnaire Appendix 6 - Guidance on dealing with unreasonably persistent, habitual or vexatious complainants Dartford and Gravesham NHS Trust Page 3 of 46

4 Document Summary It is the objective of Dartford and Gravesham NHS Trust to ensure that users of the services provided by the Trust have easy access to information about how to make a complaint and that the issues they raise are handled promptly, fairly and justly. Dartford and Gravesham NHS Trust recognise complaints as being a valuable tool for improving the quality of health services. Careful handling of complaints is an essential requirement for the Trust. It is recognised that being involved in a complaint can be challenging. The process should run as smoothly as possible and should not be undertaken in an adversarial manner. The emphasis should always be on resolution. Complaints are one way of identifying service users perspective of the service provided. They can act as an early indicator that a system is not functioning effectively and appropriate trend analysis of the factors, which prompted the complaint, can provide valuable insight into where improvements may be required. This policy explains the means by which a patient or their representative can make a complaint and the responsibilities of the staff to whom the complaint is addressed. It also outlines the action to be taken by the departments involved and offers guidance on good practice at each stage of the process. Dartford and Gravesham NHS Trust Page 4 of 46

5 1. Introduction This policy sets out the process for the handling of complaints in accordance with The Local Authority Social Services and National Health Service Complaints (England) Regulations This document gives procedural guidance on how complaints are managed by Dartford and Gravesham NHS Trust, to include those complaints received in relation to the services provided by the Trust. 2. Purpose The purpose of this policy is to ensure that it applies equally to all Trust staff who are involved with investigating and responding to a formal complaint. Complaints related to staff who are employed by Dartford and Gravesham NHS Trust. Complaints which relate to staff who work for other Trusts, the Hospital Company (Dartford Limited), and facilities management company will be sent directly to them to manage. The Policy is also available for complainants to explain the complaints management process within the Trust and the external stages of the process. The purpose of the Complaints Policy is to: provide an effective method by which the users of the service can make a complaint or express their concerns regarding their care and treatment give clear guidance to staff on how complaints will be managed to ensure a consistent, fair and just approach to both complainants and any staff who may be involved in the complaint investigation. It is important to note that all complainants will not be discriminated against in their current and future care set out the timescales, procedure and monitoring arrangements that will be followed when a complaint is made about the policy decisions This policy does not cover staff complaints about their terms and conditions of work. It is expected that staff wishing to make a complaint about their working conditions will normally raise any concerns with their line manager. However, there may be occasion when a member of staff needs an alternative route through which to complain. In these circumstances, members of staff can contact the Human Resources Department or take their concerns to their Service/Departmental Manager who will deal with the issue confidentially. 3. Definitions Formal Complaint A complaint is any expression of dissatisfaction, which requires a response. Complainant A complainant is the person making the complaint, whether on behalf of themselves or another. PALS (Patient Advice and Liaison Service) The PALS service is an informal, impartial and confidential service for people who would like information, help or who wish to comment about any aspect of the services provided at the hospital. Parliamentary and Health Service Ombudsman (PHSO). The PHSO is completely independent of both the NHS and Government. Complainants may refer their complaint to the PHSO if they remain unhappy with their complaint response. SEAP is an Independent Complaints Advocacy Service, which supports patients and their carers wishing to pursue a complaint about their NHS treatment or care. The Dartford and Gravesham NHS Trust Page 5 of 46

6 contact details for SEAP are listed on the Trust s website, and the intranet under the complaints department. Vexatious Complainant A Vexatious Complainant is a person who is persistent or unreasonable with their complaints. 4. Duties (Roles and Responsibilities) Trust Board The responsibility for the effective management of complaints lies with the Trust Board. The Trust Board is responsible for assessing complaints trends. The Board is required to identify an Executive Director to take overall responsibility for complaints management. Robust management arrangements must be in place to ensure that all complaints are handled in a systematic and fair way. The Chief Executive has ultimate responsibility for complaints management approves and signs formal response letters to complainants and in his/her absence, will delegate this duty and responsibility to the Director of Nursing and Medical Director or other member of the Executive Team has authorised the integrated PALS team, Complaints Team and Legal Services Department to act operationally on his/her behalf in all matters relating to complaints The Chief Executive Office/PA ensures complaints received in the post to the Trust are transferred to the Complaints Department as quickly as possible ensures records of complaints received for signature are kept ensures complaint final response letters are given a high daily priority and are brought to the attention of the Chief Executive or her/his deputy to approve arranges for approved and signed formal letters to be returned to the Complaints Department to be sent to the complainant The Director of Nursing The Director of Nursing (DoN) is the Board member with delegated accountability for complaints and will keep the Board informed of major developments in these areas. The DoN: is responsible to the Chief Executive for complaints management and monitoring has the responsibility for ensuring all staff follow the Trust s complaints procedure and ensures all concerns, wherever they are received in the Trust, are sent to the Complaints Department to be registered and managed has delegated responsibility for approving and signing formal response letters in the absence of the Chief Executive Chairs the Complaints and Claims Committee, which reports to the Quality and Safety Committee approves arrangements for external independent opinion, as required, together with the Medical Director is notified of cases of vulnerability or serious patient safety risks by the Complaints Department or the service area can fast track a particular complaint, i.e. by designating a senior manager to handle personally a complaint immediately, provided the Complaints Department is notified and a copy of the complaint letter is sent immediately to the Complaints Department Dartford and Gravesham NHS Trust Page 6 of 46

7 The Medical Director promotes openness and learning from complaints is a member of the Complaints and Claims Committee approves arrangements for external independent opinion Executive Directors have overall responsibility for ensuring implementation of this policy within the areas under their control promote openness and learning from complaints, as a key priority Clinical Directors/Head of Midwifery ensure this policy and procedure is implemented within their service areas arrange for a senior clinician to carry out an internal review, as needed, in complaints of missed diagnosis or delayed diagnosis. In order to achieve the 25 day response time, this is done within 10 days of receiving the complaint. to fully cooperate with the Complaints Department, Governance Manager for Complaints and Complaints Officers during a complaints investigation ensure staff in their Directorates are acting on lessons learnt from complaints ensure routine staff meetings including any learning from complaints and any changes to practice required provide a debrief to staff involved in a complaint following the investigation focusing on lessons learnt and changes in practice needed and monitor that changes are made following a complaint via the Complaints Committee ensure accurate and honest answers are provided in relation to complaints ensure that any member of their service area is informed if a complaint has been made about them advise staff of the Supporting Staff Involved in Complaints, Claims and Incidents Policy; recognise a complaint can be stressful for staff and support those who have been complained against General Managers are responsible for overseeing to appropriate allocation of the complaint to a lead investigator within their directorate ensure that the progress of the response is monitored and is received within the complaints team within the agreed time table provide Action Plans with complaint responses, where necessary provide evidence against Action Plans ensure that the response is comprehensive and answers all of the points raised by the complainant Consultants are responsible for complaints performance within their service areas and for service quality may be involved in investigations and be asked to provide full information to allow a Trust response to a complaint. Notified timescales must be met ensure that any member of their team is informed if a complaint has been made about them should be given the opportunity to comment and be shown a copy of the formal response ensure their teams are aware of this policy and receive training in customer care ensure their teams learn from complaints and make service changes as identified in Action Plans promote the Being Open culture and associated practice including ensuring accurate and honest answers to complaints Dartford and Gravesham NHS Trust Page 7 of 46

8 promote practices that do not discriminate against complainants provide, if requested, an independent opinion on the care provided to a patient, as part of a complaint investigation must be informed if a junior doctor is asked for comments as part of any investigation in order that the details can be verified Any response referring to matters of medical care or clinical judgement is agreed by the consultant or clinician concerned before it is sent to the Complaints Department. Matrons/Senior Midwives and Ward Sisters/Charge Nurses ensure systems for reporting, investigating and resolving complaints are well established within their areas ensure improvements are made following learning from complaints ensure local support is provided to staff involved in complaints ensure their staff are aware of the services of Dover Counselling Service. If initial support is declined, the staff member should be reminded later of the additional help available promote the Being Open culture and associated practices including ensuring accurate and honest answers to complaints promote practices that do not discriminate against complainants Lead Investigator/Head of Midwifery A senior clinician will designated by the relevant Directorate and the appropriate General Manager. The Lead Investigator/Head of Midwifery will be responsible for undertaking the detailed investigation of each complaint and submitting the outcomes of their investigation within 10 working days for review by the Complaints Officer, prior to being signed by the Chief Executive. Trust Safeguarding Lead notifies of complaints involving suspected abuse of vulnerable adults to the Complaints Department takes immediate appropriate action, in consultation with the Governance Manager for Complaints, Complaints Officers and the service areas Governance Manager for Complaints The Governance Manager for Complaints: line manages the Complaints and PALS Manager and have overall responsibility for the performance of the team oversees the Trust s complaints strategy, system and process development, advising the Assistant Director of Governance, the Director of Nursing and the Board as necessary is responsible for complaints strategy, system and process development, including complaints training has overall responsibility for monitoring that Directorates respond to complaints within agreed timescales informs the Director of Nursing and Medical Director of any requests for independent reviews ensures appropriate timescales are determined with the provider and the complainant in cases of external independent opinion is responsible for coordinating the Trust response to the Parliamentary Health Service Ombudsman and their independent reviews is responsible for ensuring that detailed procedures for the handling of complaints are developed, agreed and implemented throughout the Trust, and complaints are monitored as appropriate provides an annual report on complaints management for the Quality and Safety Committee Dartford and Gravesham NHS Trust Page 8 of 46

9 is responsible for ensuring that all complaints are read and responses are completed ensures that a central register and database of all complaints is maintained and that performance is monitored ensures the Trust has robust systems for registering, acknowledging and tracking complaints Complaints Officers Complaints Officers are responsible for; the day-to-day handling of their complaints cases and are required to be readily available to the public, receive complaints, maintain the database and produce monitoring reports. acknowledge complaints within 3 working days of receipt of the complaint to the Trust prepare and send out a weekly monitoring list (weekly spreadsheet) to all Matrons, Clinical Directors, General Managers, Medical Director and Director of Nursing to assist them in meeting timescales alert the Governance Manager for Complaints of impending breaches or other difficulties identify regular contact with complainants and liaise with Directorates to agree timescales promote practices that do not discriminate against complainants carry out quality assurance checks of response letters, ensuring the response meets the questions raised by the complainant ensure that Action Plans are received and that learning is identified as a result of complaints, where necessary ensure that outcomes are detailed on the DATIX database for complaints attend and provide reports to their nominated Directorates via Governance Meetings Action Plans are followed up and evidence of learning is obtained. All staff including Medical Staff will be professional in their approach to a complainant will attempt to defuse complaints at source in order to resolve the situation and prevent escalation will report all complaints, be aware of this policy and procedure and receive training in complaints recognition and customer care. All written complaints received in service areas must be immediately passed to (or copied to) the Complaints Department as soon as possible to enable the Trust to acknowledge the complaint within 3 working days will provide full information, within timescale, for Trust responses to any complaints that may have been made about them will learn from complaints will be open, honest, accurate and timely in responding to complaints will not discriminate against complainants will seek confidential support from line managers and the Governance Manager for Complaints when needed. 5. Complaints Overview Complainants will be existing or former service users using NHS services and facilities. Complaints may be made on behalf of existing or former patients by anyone who has the patient s consent. If the patient does not have capacity then a decision will be made on a Dartford and Gravesham NHS Trust Page 9 of 46

10 case by case basis acting in the patient best interest. However proof that the patient does not have capacity will be requested. Trust staff are entitled to complain as a patient, relative or on behalf of another if the above conditions are not met. All patients have the right to have their complaint treated as a formal complaint. 5.1 Who Can Make a Complaint? Complaints may be made on behalf of existing or former patients by anyone who has the patient s consent. Where the Patient Advice and Liaison Service (PALS), Complaints Department and Legal Services Department do not accept the complainant as a suitable representative of a patient who is unable to give consent, the Trust may refuse to deal with the complainant and may nominate another person to act on the patient s behalf. Whilst it may still be possible to reply to a complaint without patient consent, the response will, of necessity, be in general terms omitting personal patient details, such as a Nursing Home Manager making a complaint about residents. Patients have a right to complain, and the fact that a patient or their advocate has made a complaint will not affect the patient s care. Relevant literature will be made available and displayed for their use, and that of the general public, throughout the Trust to assist them in this process. This literature and information can be obtained from the Complaints Department, PALS or via the Trust website. Complaints can arise in any part of the organisation and are not restricted to clinical areas. Any member of staff may face verbal complaints. It is vital to the Trust and our members of staff that they know how to respond; the importance of trying to resolve complaints immediately and promoting learning from them is paramount. Complaints can be a mechanism for identifying where improvements in service provision are necessary. They play an important role in the Trust s Clinical Governance and Risk Management Strategies. Our complaints have the potential to help improve the reputation and future viability of our Trust. All NHS organisations are required to make arrangements for the handling of complaints in accordance with The Local Authority Social Services and National Health Service Complaints (England) Regulations The arrangements must ensure that complaints are dealt with promptly and efficiently, are properly investigated and that complainants are treated with respect and courtesy. The Trust aims to: Resolve all informal concerns and requests, at the time they are received or as quickly as possible. This will avoid the risk of the issue escalating into a formal complaint. If they can be addressed by the PALS team, these concerns can be resolved. Resolve all formal complaints within 25 working days, unless the complaint is deemed complex on receipt, where the complainant will be informed that the response will take up to 60 working days. 5.2 Informal Complaints An informal complaint is where an issue is raised as a concern or request for general information, and is resolved to the complainant s satisfaction. Anyone can have concerns or queries about the Trust or the care received either by themselves or by relatives and carers. Many concerns can be addressed quickly, without the need for formal written correspondence. These are known locally as informal complaints or concerns and can be dealt with by the Trust s Patient Advice and Liaison Service (PALS). Dartford and Gravesham NHS Trust Page 10 of 46

11 The Trust has an integrated approach to addressing concerns, queries and complaints. The PALS service is integrated with our Complaints service. The PALS service will provide visible support to the public from the integrated PALS service. 5.3 Complaint Exclusions The policy applies to complaints made by or on behalf of patients or persons affected by the actions and decisions of Dartford and Gravesham NHS Trust. Excluded from this policy are those listed below: Complaints and grievances by members of staff for which separate procedures exist (see the Grievance Policy). Complaints about the non-disclosure of information requested for which separate procedures exist. Yellow/Red cards, for which a separate procedure exists and these can be found on the Trust intranet pages. An issue that occurred more than a year prior to the receipt of the complaint. In such instances, the Trust may wish to investigate but he complaint will not be considered to be formal. In these cases, the complainant should be informed in writing of the action being taken. 6. Managing Complaints Trust Steps and Processes See Appendix 1&2 for the Trust process for managing and handling of all complaints. The handling of complaints forms part of the Trust s strategy to improve patient experience. Close liaison exists in particular with the PALS officer and risk and patient safety and claims services in the investigation and monitoring of complaints. This is to ensure that concerns raised are addressed and allows aggregated analysis and shared feedback of lessons learned. 6.1 Formal Complaints If a complainant wishes to write formally to the Trust, the letter should be addressed to the Chief Executive, Darent Valley Hospital, Dartford & Gravesham NHS Trust, Darenth Wood Road, Dartford, Kent DA2 8DA or via to the Complaints Department: A 12 month time limit applies for making a complaint, unless the complainant was not aware there was a cause for a complaint. There is a need for a complaint to be made as soon as possible after the action giving rise to it, because this enables a full investigation to be undertaken, while all the facts are still readily available. Where a complaint is received after the 12 month time limit, the Director of Nursing will decide on a case by case basis whether it is still possible to conduct an investigation and if so, how this can be managed. The rights of complainants are preserved in the case of refusal, as they may complain about a decision to the Parliamentary and Health Service Ombudsman. Written complaints received on any ward, department or by any member of staff, must be dated and forwarded to the Complaints Department by the next working day at the latest. Where there is no date stamp on a written complaint, the Complaints Department will register the complaint when it receives it. If a complainant wishes to make a verbal complaint this should be recorded by the staff member or complaints officer using the form detailed in Appendix 3. It is important that this form is signed and forwarded to the complaints team to manage. The complaints team will send the copy of the verbal complaint to the complainant to ask them to sign and verify the contents of the verbal complaint notes. The complaint is not formally opened until this has been signed and received by the complaints team Dartford and Gravesham NHS Trust Page 11 of 46

12 6.2 Investigation Complaints received by the Complaints Department will be: registered on the complaints database and allocated a complaint reference number acknowledged by letter within three working days checked to see if they raise issues of clinical concern that require further investigation (marked red complaints). These cases will be discussed at the Trust s weekly Serious Incident Reporting Group (SIDG) for discussion regarding investigation. The acknowledgement letter will: inform the complainant that they will receive a full written response, from the Chief Executive as soon as possible. Dartford & Gravesham NHS Trust will investigate a complaint in an appropriate manner always aiming to resolve it as speedily and efficiently as possible. In accordance with complaints legislation, the complaint should be responded to within 6 months commencing on the day on which the complaint was received. However, it is the Trust s expectation that the timescale for responding to a complaint will not normally exceed 25 working days (unless judged complex on receipt in which case it will be 60 working days). In relation to more complex complaints and in line with national guidance, any extension to this timeline will be negotiated with the complainant give a name and contact number of the Complaints Officer to provide the complainant with a point of contact should they wish to discuss any points further includes a leaflet which fully explains the complaints procedure and which provides details of SEAP and the Parliamentary and Health Service Ombudsman enclose and request completion of the Equalities Monitoring Form (appendix 6) in the case of third party complaints and complaints related to deceased patients, further evidence will be requested to comply with the Data Protection Act and the Health Records Act [See paragraph 11 regarding Deceased Patients] On receipt of a complaint the Complaints Department will undertake any of the following as necessary: request the health records obtain as much information as is necessary by reference to medical and other records identify the staff involved in the complaint and any others able to assist in the investigation or from whom information and/or explanation is necessary advise all relevant staff of the complaint and of their part in its investigation obtain accurate signed reports or statements from all involved advise the appropriate Consultant and obtain a clinical opinion where necessary liaise with and obtain relevant information from all other relevant departments Once the complaint has been recorded on the database and acknowledged, the complaint will be passed to the Lead Investigator to co-ordinate the investigation. The Lead Investigator has 10 days to provide a response to the Complaints Department. This will enable the Complaints Department to provide a full response to the complainant as soon as practicable. The Trust aims to answer 85% of complaints within 25 working days. In relation to complex complaints involving a patient safety investigation, or those involving several disciplines, the complaints team will endeavour to negotiate a response time with the complainant, in line with national guidance. On receipt of a complaint, the Lead Investigator will request the health records from the Health Records Manager. The health records must be used in all clinical complaint investigations. Dartford and Gravesham NHS Trust Page 12 of 46

13 Statements from all relevant staff should be obtained as soon as possible and used in the investigation. Detailed and complex complaints will require root cause analysis and The Complaint Plan and Investigation Report should be used to record and track the investigation. All original relevant paperwork determining the facts must be kept in complaints files. 6.3 Extensions Where the investigation has been unavoidably delayed, the Lead Investigator should inform the Complaints Department so that contact can be made to discuss and agree a later timescale. The Complaints Department must be informed of the later timescale. Some acceptable circumstances where delay to the investigation might occur are: key personnel are on extended leave the complaint is exceptionally complex an independent opinion is required 6.4 Listening/ Local Resolution Meetings (LRM) The Lead Investigator may contact the complainant directly by telephone to either clarify the details of the complaint or arrange a meeting where the complainant and the Lead Investigator can meet at a mutually acceptable time, to clarify the complaint. This meeting will be arranged by the Directorate concerned and not by the Complaints Department, however, the Lead Investigator will keep the Governance Manager for Complaints and the Complaints Officer responsible for that area informed of such steps. Following the meeting a written report will be produced by the Lead Investigator outlining conclusions and recommendations. Where the complaint is resolved to the complainant s satisfaction in a meeting the Lead Investigator must inform the Complaints Department that this is the case together with a summary of any points discussed. A letter will then be sent to the complainant by the Complaints Department outlining that the complaint is considered resolved together with the main points of the meeting. The file will be closed unless the complainant wishes to re-open it. The complaint is asked to contact the Trust if they are unhappy but there is no time frame set for the complainant. If the meeting is part of the investigation process the information should be used to assist the preparation of the final draft response letter. 6.5 Access to health records - complainants` requests All requests by complainants for access to patients health records must be referred immediately to the Health Records Manager. Any delay in provision of the records (whilst these are being used by complaint investigators) should be explained to the complainant in writing. 6.6 Independent opinion/internal review An internal independent opinion must be requested for missed diagnosis, no diagnosis and missed fractures. Independent opinions must be made early on in the investigation of the complaint and the timescale should include time for the opinion. The Lead Investigator should make the arrangements using the following process: where the complaint refers to the care provided by a junior doctor, the Consultant will be requested to provide the opinion where the complaint refers to the care provided by a Consultant, the independent opinion will be requested from the Clinical Director where the complaint refers to the care provided by a Clinical Director, the independent opinion will be requested from the Medical Director Dartford and Gravesham NHS Trust Page 13 of 46

14 the Lead Investigator must use the independent opinion in the draft response letter prepared for the Chief Executive/delegated signatory to the complainant 6.7 External review Complex complaints involving a Serious Incident (SI) or Root Cause Analysis RCA may require an external independent opinion. The Director of Nursing or the Medical Director approves the arrangements, including financial, for an external independent opinion. Appropriate timescales are determined with the provider and the complainant, with the assistance of Complaints Department. When sending documentation for external independent opinion, a standard list is used. The list is checked off, signed by the sender and kept with the complaints file. The list includes the following key items: confirmation that consent has been obtained complainant`s complaint letter health records covering the period of the complaint relevant x-rays/scans operation/procedure notes patient review notes any other relevant documents/results or correspondence 6.8 Serious Incident (SI) If, in the course of a complaint investigation matters of a serious clinical nature are identified, the complaint will be discussed at the weekly SI Declaration Group (SIDG). The Director of Nursing and the Medical Director will decide whether a formal investigation is required and the incident declared a serious incident, in line with the Trust s Serious Incident Procedure. Clinical Directors, General Managers/Head of Midwifery or the Governance Manager for Complaints may initiate the notification to the Director of Nursing or Medical Director outside of this weekly meeting, where required. The procedure for the investigation of Serious Incidents is separate from the complaints procedure. The complainant should be kept informed of progress pending the completion of the investigation either by telephone or with holding letters. The 25 day internal timescale will not apply to complaints linked to an SI; with a 60 day response time set, and a new acknowledgement letter sent to the complainant informing them of this. Each case will be judged on an individual basis, and either a meeting set to discuss the findings of the investigation, or a formal written response, as per each complainant s request. In either case the complainant will be offered copy of the investigation report. 6.9 Rating of Complaints for Severity The complaints officer will assess the seriousness of a complaint and apply A complaint is rated Red when the complaint contains concerns that are extremely serious and may indicate serious shortfalls in patient care; for example; fatality, multiple permanent injuries and lifelong disablement. All potential red complaints will be discussed at the Trust weekly Serious Incident Reporting Group to determine if they are Serious Incident Requiring Investigation (see Serious Untoward Incident Reporting and Investigating Policy). The Red Amber Green (RAG) rating will be updated accordingly following completion of the complaint investigation. Dartford and Gravesham NHS Trust Page 14 of 46

15 6.10 Holding Letters The Trust has a statutory duty to respond to complaints and take action to resolve the issue leading to the complaint. It is not acceptable for the issues raised by a complainant to be disregarded or ignored. If at 20 working days from the date of acknowledgement, the investigation has not been concluded for any reason, the complainant will be contacted by telephone and a holding letter containing a detailed progress report will be sent, under the signature of the Chief Executive with: an apology for the delay a full, honest explanation of the delay details of the results of the enquiry to date if possible the date by which a full response can be expected The holding letter, which is the responsibility of the Complaints Officer dealing with that investigation, will be sent by first class post, and a record made on the Complaints Department database. Should a complaint response be delayed further, a holding letter will be sent every 10 working days until the formal response is sent. The Complaints Department will also contact the patient to discuss the delay, to alleviate any anxiety this delay might cause. Where it has not been possible to reply due to a delay in response at directorate level, the Senior Governance Manager for Complaints or the Complaints Officer will advise the Director of Nursing/ Medical Director. The Director of Nursing/ Medical Director will then consult as necessary, with the Clinical Director, Medical Director and or and/or Chief Executive, who will intervene as appropriate. An interim response letter should be sent to the complainant keeping them fully informed of the progress of their complaint Escalation process for delays The Complaints Department monitors the handling of complaints by service areas. A weekly monitoring spreadsheet is distributed which includes all active complaints. General Managers, Clinical Directors, Consultants, Head of Midwifery and Matrons receive reminder s assisting them to meet agreed timescales for completion of the complaint investigation. The following escalation process is used by the Complaints Department: The spreadsheet provides an update for the Directorates on the progress of the complaint responses, and which complaints are overdue. The complaints team then escalate the overdue responses via the General Manager, Clinical Director and Trust Executives to ensure the response is required Response to the complainant Complaints are concluded with a letter to the complainant, known as the formal response and signed by the Chief Executive or delegated officer. The aim of the letter is to satisfy the complainant that their complaint has been addressed fully and properly. The letter confirms the Trust is satisfied with the actions taken. An apology is offered, as appropriate, along with a full explanation of the events that occurred, how they were investigated and the results of the investigation into all concerns. Any actions that are planned or have been taken as a result of the complaint are included. If changes have been made to services or processes these should be described briefly to give reassurance that the specific concern will not happen again. The letter must include details of the options available if the complainant is not satisfied. Dartford and Gravesham NHS Trust Page 15 of 46

16 A copy of the formal response is sent to the Lead Investigator by the Complaints Department. The Lead Investigator/Head of Midwifery must forward a copy of the formal response on to the healthcare professionals involved either as investigators or as subjects of the complaint. It is the responsibility of the Lead Investigator to ensure formal response letters cover all points raised by the complainant, as far as possible, and identify where, if any, changes have been made as a result of the complaint. If there is a reason why a specific issue cannot be addressed this should be stated. The formal response must be factually correct and, where appropriate: include an apology; this is not necessarily about accepting blame or fault, but will be an acknowledgement of the complainant's feelings about their experience provide an overview or chronology of care given as background address each of the points the complainant has raised with a full explanation or give the reason(s) why it is not possible to comment on a specific matter give specific details about the investigation, i.e. who was interviewed, what was discovered, etc. give details of action taken as a result of the complaint provide the name and telephone number of Complaints and Claims Coordinator for further queries/discussion offer the complainant a local resolution meeting to address any outstanding concerns they may have include details of further action available to the complainant Draft formal responses will be forwarded from the Complaints Department to the Director of Nursing who will read and check the response from the complainant s perspective and with a clinical overview. If there are any queries regarding the response these will be followed up by the Complaints Department with the Lead Investigator as soon as possible. Once the response is finalised it is returned, together with the complete complaints file to the Chief Executive or nominated deputy for signature. It is the responsibility of the Complaints Department to send out the formal responses once the Chief Executive has signed them off, within 12 hours of the day dated on the letter by first class post. The formal response will be: sent to the complainant with a copy of the "Following our Investigation" sheet copied to the relevant Clinical Director and General Manager for further distribution copied to any requesting parties to which the patient has given consent e.g. Strategic Health Authorities and/or Member of Parliament copied to the Complaints Department file General Managers will ensure that copies of the formal response are filed in the Directorate master complaint file and must ensure that all staff involved in contributing to the complaint response see the formal response Local Resolution Meeting The complainant can request a local resolution meeting to discuss the complaint via a face-to-face meeting with the staff involved in the investigation of the complaint. If the complainant agrees they should be involved in determining who should be present. The Complaints Department are responsible for co-ordinating the local resolution meeting (LRM) including organising a room for the process and arranging for appropriate staff to attend the meeting. Dartford and Gravesham NHS Trust Page 16 of 46

17 It may be necessary to exercise judgement as to what are reasonable limits in terms of dealing with continued contact and correspondence within the local procedure. If the complainant is continuing to go over the same issues and is not raising anything new it may be acceptable to inform them that further contact or correspondence would not be helpful and we will no longer continue with this. It is essential that it can be shown that all attempts to resolve the issues have been made Re-opened complaints When a complainant is not satisfied by the response they have received, further attempts are made to resolve the outstanding concerns by re-investigating the complaint. The reasons for complaints being re-opened are assessed and monitored by the Trust s Director of Nursing. The complainant may write again expressing continued dissatisfaction after receiving the response letter. The Trust refers to this situation as a re-opened complaint and the investigation is re-opened. The complaint response will inform the complainant that a reopened letter should be received within 3 months of the original response, which will be made clear in the response letter. The Senior Governance manager and Director of Nursing will judge an individual basis whether a case can be re-opened after the 3 month time frame The Complaints Department reviews the reasons why complaints are re-opened. The following categories are used: original questions have not been answered to complainant s satisfaction response raised additional questions entirely new questions are raised meeting requested style of response letter caused upset The Complaints Department refer the re-opened complaint back to the service area. The accuracy of the original response is checked and further enquiries made, as appropriate. Frequently, a meeting with the complainant is arranged as the best way to resolve the complaint. Holding local resolution meetings is time consuming but it is very effective in resolving complaints and preventing escalation of the complaint to Independent Review. The Trust encourages good communication between the complainant and relevant Trust health professionals and managers. Face to face communication is often more effective in resolving the complaint than protracted written communication. It can help the complainant to understand the full circumstances and to be able to resolve the complaint, restoring their confidence in health care. Local resolution meetings are co-ordinated by the Complaints Department. A record of the meeting is kept and following checking for accuracy by those involved, is forwarded to the complainant with a covering letter. Where delays in sending the notes occur, a holding letter is sent to the complainant by the Complaints Department Independent Review Request Independent reviews can be very helpful where there is concern over the quality of care or lack of consensus between clinicians, or where the patient does not accept the Trust s internal clinical advice. Written or verbal requests for an independent review received by any member of staff must be referred immediately (maximum of 1 working day) to the Complaints Department and can be ed on dgn-tr.complaints-dvh@nhs.net. The Governance Manager for Complaints will discuss with the Director of Nursing and/or the Medical Director the validity of a request for independent review on a case by case basis. Dartford and Gravesham NHS Trust Page 17 of 46

18 If the Trust decides that the complaint warrants an independent review the Complaints Department will co-ordinate the process. This will involve the identification of a suitable individual who can conduct the review and strict reporting timetables through Trust Solicitors Handling Vexatious Complainants A vexatious complainant is a complainant whose behavior exceeds one or more of the following: a complainant who has been personally abusive or aggressive towards staff dealing with the complaint a complainant who is unwilling to accept documented evidence of treatment given as being factual, e.g. drug charts, nursing records, etc. a complainant who insists that he/she has not had an adequate response, in spite of a large volume of correspondence specifically answering their questions a complainant who focuses on a trivial matter, which is out of all proportion to its significance and keeps going back a complainant who constantly raises new concerns, which did not appear in the original complaint in order to keep the correspondence going a complainant who changes the complaint as times goes on making further comment about their experience a complainant who develops attention seeking behaviors It is important to remember that a vexatious complainant may have a complaint which contains substance and this should be taken into account at all times. When a complaint is considered to be vexatious, the General manager and Senior Governance Manager must discuss the case with the DoN and agree a specific process for each individual case, so that the complainants still has the ability to raise future issues of concern. Before taking action to address a vexatious complainant, it is very important to ensure the complaint has been investigated fully, all appropriate actions taken and communicated fully to the complainant, as even a vexatious complainant may have a complaint, which contains substance. The Trust should make every effort to ensure that the complainant feels that the still have a voice for future issues and will actively use the external Independent Advocacy Services to help support complainants in such instances. Having satisfied the above vital point, the following steps should be taken when faced with a vexatious complainant: check to see if the complainant meets sufficient criteria in the list above to be classified as a vexatious complainant inform and pass details of the complaint and the complainant to the Director of Nursing. The Director of Nursing should inform the complainant in writing that she is considering requesting the Board to decide if the complainant is a vexatious complainant. The letter should include the reasons for the complainant being viewed as a possible vexatious complainant and provide an opportunity for the complainant to comment with the support of the Trust Board, the Chief Executive will write to the complainant informing him/her that the Chief Executive has responded fully to all the points raised and all reasonable efforts have been made to resolve the complaint, and, there is nothing more that can be added. From this point on the Trust will acknowledge any letters but will not respond to them. The letter Dartford and Gravesham NHS Trust Page 18 of 46

19 will also inform the complainant of the right to take the grievance to the Parliamentary and Health Service Ombudsman if they remain dissatisfied 6.17 Parliamentary and Health Service Ombudsman (PHSO) Referral to the PHSO is the second (and final stage) of the complaints procedure, however, all efforts should be made locally to resolve a complaint before the complainant is directed to the PHSO. The PHSO considers complaints made by or on behalf of people who have suffered injustice or hardship because of unsatisfactory treatment or service by the NHS or by private health providers who have provided NHS funded treatment. If a complainant remains dissatisfied with the response gained at local resolution stage they can ask the PHSO to review the case. Usually a complaint should have already been made to the organisation involved before it is referred to the PHSO. The Governance Manager for Complaints is responsible for monitoring compliance with all requests from the PHSO for information, investigation and action, alerting senior managers if timescales are not being met. PHSO letters are added to the complaints file. The Governance Manager for Complaints will provide updates to the PHSO via the Trust s Patient Safety Committee and Quality and Safety Committee. Letters with recommendations from the PHSO are handled according to the following process: PHSO sends a letter to the Trust requesting documents such as health records and copy complaints file inviting comments on the case. A timescale is attached whereby the PHSO expects the documentation a copy of the PHSO s letter is forwarded to the Lead Investigator/Head of Midwifery and the Clinical Director and General Manager for the Directorate. The service area will be asked to provide a copy of their investigation file and to draft the letter of comment for the PHSO. This is the opportunity for the Lead Investigator to include in the response clear information about the investigation action taken and, if appropriate, offer suggestions for further local resolution the General Manager for Complaints the Lead Investigator /Head of Midwifery updated during the course of the PHSO s investigation. The Lead Investigator /Head of Midwifery will be involved if further information is requested, or if the PHSO has recommendations for intervention to resolve the matter the Senior Governance Manager for Complaints will advise the Lead Investigator /Head of Midwifery of the PHSO s decision following the Ombudsman s review of the complaint. If recommendations are made the Lead Investigator /Head of Midwifery will draft a response outlining the actions planned and the expected timescales for implementation to meet the PHSO s recommendations an Action Plan is completed, as required It is essential to meet Ombudsman timescales. the Lead Investigator /Head of Midwifery sends the draft letter and action plan, if required, to the Complaints Department for onward despatch to the Ombudsman and complainant the Lead Investigator/Head of Midwifery ensures the Action Plan is monitored by the Directorate and Directorate Governance Meetings the Lead Investigator/Head of Midwifery will prepare a draft letter confirming completion of all actions and this should be forwarded to Complaints Department Dartford and Gravesham NHS Trust Page 19 of 46

Complaints, Compliments and Concerns (CCC) Policy

Complaints, Compliments and Concerns (CCC) Policy Complaints, Compliments and Concerns (CCC) Policy Central and North West London NHS Foundation Trust (CNWL) is committed to providing quality NHS services and adopting best practice in listening and responding

More information

Policies, Procedures, Guidelines and Protocols

Policies, Procedures, Guidelines and Protocols Policies, Procedures, Guidelines and Protocols Document Details Title Complaints and Compliments Policy Trust Ref No 1353-29025 Local Ref (optional) N/A Main points the document This policy and procedure

More information

NHS England Complaints Policy

NHS England Complaints Policy NHS England Complaints Policy 1 NHS England INFORMATION READER BOX Directorate Medical Operations Patients and Information Nursing Policy Commissioning Development Finance Human Resources Publications

More information

Complaints Handling. 27/08/2013 Version 1.0. Version No. Description Author Approval Effective Date. 1.0 Complaints. J Meredith/ D Thompson

Complaints Handling. 27/08/2013 Version 1.0. Version No. Description Author Approval Effective Date. 1.0 Complaints. J Meredith/ D Thompson Complaints Handling Procedure Version No. Description Author Approval Effective Date 1.0 Complaints Procedure J Meredith/ D Thompson Court (Jun 2013) 27 Aug 2013 27/08/2013 Version 1.0 Procedure for handling

More information

UoA: Academic Quality Handbook

UoA: Academic Quality Handbook UoA: Academic Quality Handbook UNIVERSITY OF ABERDEEN COMPLAINT HANDLING PROCEDURE 1 POLICY The University is committed to providing a high level of service to students, applicants, graduates, and members

More information

Complaints and Suggestions for Improvement Handling Procedure

Complaints and Suggestions for Improvement Handling Procedure Complaints and Suggestions for Improvement Handling Procedure Date of most recent review: 20 June 2013 Date of next review: August 2016 Responsibility: Quality Officer Approved by: Learning, Teaching and

More information

Can I Help You? V3.0 December 2013

Can I Help You? V3.0 December 2013 Can I help you? Policy for the provision and management of patient feedback: comments, concerns or compliments, or complaints about NHS 24 and its services. Author: Patient Affairs Manager/ ADoN Clinical

More information

Replacement. Supersedes: Complaints Procedure ( ) and the Patient Advice and Liaison Service Policy ( )

Replacement. Supersedes: Complaints Procedure ( ) and the Patient Advice and Liaison Service Policy ( ) Corporate Complaints: Standard Operating Procedure Document Control Summary Status: Replacement. Supersedes: Complaints Procedure (28.10.10) and the Patient Advice and Liaison Service Policy (28.07.11)

More information

Burton Hospitals NHS Foundation Trust POLICY DOCUMENT. On: 26 October Review Date: October Department Responsible for Review:

Burton Hospitals NHS Foundation Trust POLICY DOCUMENT. On: 26 October Review Date: October Department Responsible for Review: POLICY DOCUMENT Burton Hospitals NHS Foundation Trust COMPLAINTS POLICY AND PROCEDURE Approved by: Quality Committee On: 26 October 2017 Review Date: October 2020 Corporate / Division Corporate Clinical

More information

Complaints Policy. Version: 4.2. Approved: 27/01/2015

Complaints Policy. Version: 4.2. Approved: 27/01/2015 Complaints Policy Policy Summary This policy and procedures exist to ensure that there are effective arrangements in place to be compliant with statutory obligations and ensure the process is open and

More information

NHS CHOICES COMPLAINTS POLICY

NHS CHOICES COMPLAINTS POLICY NHS CHOICES COMPLAINTS POLICY 1 TABLE OF CONTENTS: INTRODUCTION... 5 DEFINITIONS... 5 Complaint... 5 Concerns and enquiries (Incidents)... 5 Unreasonable or Persistent Complainant... 5 APPLICATIONS...

More information

COMPLAINTS POLICY. Head of Complaints & Customer Service Improvement

COMPLAINTS POLICY. Head of Complaints & Customer Service Improvement COMPLAINTS POLICY POLICY REFERENCE NUMBER CP2 VERSION NUMBER 1 REPLACES SEPT DOCUMENT CP2 REPLACES NEP DOCUMENT CRP7 KEY CHANGES FROM PREVIOUS Not applicable VERSION AUTHOR Head of Complaints & Customer

More information

SCHOOL COMPLAINTS POLICY AND PROCEDURES

SCHOOL COMPLAINTS POLICY AND PROCEDURES SCHOOL COMPLAINTS POLICY AND PROCEDURES Updated: September 2016 Review: September 2019 This Policy is founded within our School ethos which provides a caring, friendly and safe environment for all members

More information

Complaints and Concerns Policy

Complaints and Concerns Policy EQUALITY IMPACT The Trust strives to ensure equality of opportunity for all both as a major employer and as a provider of health care. This policy has therefore been equality impact assessed by the Quality

More information

First Community Health & Care Board POLICY FOR HANDLING COMPLAINTS

First Community Health & Care Board POLICY FOR HANDLING COMPLAINTS First Community Health & Care POLICY FOR HANDLING COMPLAINTS Version: 4 Name of Approval body : Name of Ratification Body: Date of Ratification April, 2013 Name of originator/author: Effective From April

More information

Parkbury House Surgery

Parkbury House Surgery Parkbury House Surgery Complaint Policy and Procedures St Peters Street, St Albans, Hertfordshire, AL1 3HD Tel: 01727 851589 Fax: 01727 854372 parkburyhouse.info@nhs.net; www.parkburyhouse.nhs.uk Version

More information

Patient Experience Policy

Patient Experience Policy Teamwork Innovation Professionalism Caring Patient Experience Policy Complaints Concerns Healthcare Professional Feedback Compliments/Commendations Version: 3.0 Policy Lead: Head of Patient Experience

More information

THE ADULT SOCIAL CARE COMPLAINTS POLICY

THE ADULT SOCIAL CARE COMPLAINTS POLICY THE ADULT SOCIAL CARE COMPLAINTS POLICY April 2009 Reviewed: January 2018 1 Cambridgeshire County Council Contents 1.0 Purpose Page 3 2.0 Principles Page 3 3.0 Accessing information about how to raise

More information

CUSTOMER CARE POLICY Compliments, Comments, Concerns and Complaints

CUSTOMER CARE POLICY Compliments, Comments, Concerns and Complaints CUSTOMER CARE POLICY Compliments, Comments, Concerns and Complaints Document reference number IML002 Status Approved Version number 5.0 Replacing/superseding policy or Customer Care Policy version 4.0

More information

Learning from Deaths Policy A Framework for Identifying, Reporting, Investigating and Learning from Deaths in Care.

Learning from Deaths Policy A Framework for Identifying, Reporting, Investigating and Learning from Deaths in Care. Learning from Deaths Policy A Framework for Identifying, Reporting, Investigating and Learning from Deaths in Care. Associated Policies Being Open and Duty of Candour policy CG10 Clinical incident / near-miss

More information

Patient Complaints Procedure

Patient Complaints Procedure Patient Complaints Procedure 1. Introduction Our aim is to resolve as many complaints as possible quickly and within the practice. Anyone who complains to us should feel that: - their concerns are being

More information

ALAT and Bright Tribe Trust Complaints Procedure

ALAT and Bright Tribe Trust Complaints Procedure + ALAT and Bright Tribe Trust Complaints Procedure Contents 1. Mission Statement... 2 2. Principles and Values... 2 3. Objectives of this Procedure... 2 4. General Principles... 4 5. Vexatious Complaints...

More information

Safeguarding Adults Reviews Protocol

Safeguarding Adults Reviews Protocol Staffordshire and Stoke on Trent Adult Safeguarding Partnership Board Safeguarding Adults Reviews Protocol July 2016 SAR Process July 2014 (revised July 2016) Page 1 Contents 1. Introduction 2. Criteria

More information

Policy for the Management of Concerns and Complaints

Policy for the Management of Concerns and Complaints Policy for the Management of Concerns and Complaints Controlled document This document is uncontrolled when downloaded or printed. Reference number Version 1 Author Name & Job Title Executive Lead WHHT:

More information

Section 132 of the Mental Health Act 1983 Procedure for Informing Detained Patients of their Legal Rights

Section 132 of the Mental Health Act 1983 Procedure for Informing Detained Patients of their Legal Rights Section 132 of the Mental Health Act 1983 Procedure for Informing Detained Patients of their Legal Rights DOCUMENT CONTROL: Version: 11 Ratified by: Mental Health Legislation Sub Committee Date ratified:

More information

Policy for the Management of Concerns and Complaints and responding to Feedback from Patients and the Public

Policy for the Management of Concerns and Complaints and responding to Feedback from Patients and the Public Policy for the Management of Concerns and Complaints and responding to Feedback from Patients and the Public Ratification process Lead Author Developed by: Approved by: Patient Experience Manager, C&P

More information

Complaints policy RM07

Complaints policy RM07 Complaints policy RM07 Beware when using a printed version of this document. It may have been subsequently amended. Please check online for the latest version. Applies to: All service users Date of Board

More information

Annual Complaints Report 2014/15

Annual Complaints Report 2014/15 Annual Complaints Report 2014/15 1.0 Introduction This report provides information in regard to complaints and concerns received by The Rotherham NHS Foundation Trust between 01/04/2014 and 31/03/2015.

More information

The Social Work Model Complaints Handling Procedure

The Social Work Model Complaints Handling Procedure The Social Work Model Complaints Handling Procedure Issued: December 2016 Scottish Public Services Ombudsman The Social Work Model Complaints Handling Procedure I 2 The Social Work Model Complaints Handling

More information

Lindsey Lodge Hospice POLICY AND PROCEDURE FOR THE MANAGEMENT OF COMPLAINTS, CONCERNS, COMMENTS AND COMPLIMENTS

Lindsey Lodge Hospice POLICY AND PROCEDURE FOR THE MANAGEMENT OF COMPLAINTS, CONCERNS, COMMENTS AND COMPLIMENTS Lindsey Lodge Hospice POLICY AND PROCEDURE FOR THE MANAGEMENT OF COMPLAINTS, CONCERNS, COMMENTS AND COMPLIMENTS Contents Chapter page 1.0 Introduction 3 2.0 Purpose 3 3.0 Area 4 4.0 Definitions 4 5.0 Complaints

More information

MANAGEMENT OF COMPLIMENTS, COMMENTS, CONCERNS AND COMPLAINTS POLICY

MANAGEMENT OF COMPLIMENTS, COMMENTS, CONCERNS AND COMPLAINTS POLICY Ref No: 221 MANAGEMENT OF COMPLIMENTS, COMMENTS, CONCERNS AND COMPLAINTS POLICY SECTION 1 PROCEDURAL INFORMATION Version: 3 Ratified by: Date ratified: March 2014 Title of author: Title of responsible

More information

COMPLAINTS MANAGEMENT PROCEDURE

COMPLAINTS MANAGEMENT PROCEDURE COMPLAINTS MANAGEMENT PROCEDURE The key messages the reader should note about this document are: 1. All complaints received either in writing or done verbally should be forwarded onto the Complaints team

More information

The University of Edinburgh Complaint Handling Procedure

The University of Edinburgh Complaint Handling Procedure University of Edinburgh Complaint Handling Procedure April 2016 P a g e 1 The University of Edinburgh Complaint Handling Procedure April 2016 University of Edinburgh Complaint Handling Procedure April

More information

Staffordshire and Stoke on Trent Adult Safeguarding Partnership Board Safeguarding Adult Reviews (SAR) Protocol

Staffordshire and Stoke on Trent Adult Safeguarding Partnership Board Safeguarding Adult Reviews (SAR) Protocol Staffordshire and Stoke on Trent Adult Safeguarding Partnership Board Safeguarding Adult Reviews (SAR) Protocol SAR Process July 2014 (revised August 2017) Page 1 Contents 1. Introduction 2. Criteria 3.

More information

POLICY AND PROCEDURE FOR THE MANAGEMENT OF COMPLAINTS, CONCERNS, COMMENTS AND COMPLIMENTS

POLICY AND PROCEDURE FOR THE MANAGEMENT OF COMPLAINTS, CONCERNS, COMMENTS AND COMPLIMENTS Directorate of Performance Assurance POLICY AND PROCEDURE FOR THE MANAGEMENT OF COMPLAINTS, CONCERNS, COMMENTS AND COMPLIMENTS Reference: DCP071 Version: 1.4 This version issued: 19/09/16 Result of last

More information

Raising Concerns or Complaints about NHS services

Raising Concerns or Complaints about NHS services Raising Concerns or Complaints about NHS services Raising concerns and complaints A step by step guide Raising concerns and complaints Questions to ask yourself: 1. What am I concerned or dissatisfied

More information

Medico-legal guide to The NHS complaints procedure. Introduction

Medico-legal guide to The NHS complaints procedure. Introduction 1.1 Medico-legal guide to The NHS complaints procedure Introduction The NHS and social care complaints procedure was introduced in England on 1 April 2009. The local resolution stage of the procedure is

More information

Complaints Management Policy

Complaints Management Policy Complaints Management Policy Reference number: ELR Corporate 016 Title: Complaints Management Policy Version number: Version 5 (September 2016) Policy Approved by: Integrated Governance Committee Date

More information

Guide to the Continuing NHS Healthcare Assessment Process

Guide to the Continuing NHS Healthcare Assessment Process Guide to the Continuing NHS Healthcare Assessment Process Continuing NHS Healthcare (CHC) is a package of care arranged and funded solely by the NHS, where it has been assessed that the person s primary

More information

A Guide for Parents/Carers About Making a Complaint

A Guide for Parents/Carers About Making a Complaint Education Young Children s Service Nursery School and Young Children s Centres A Guide for Parents/Carers About Making a Complaint YCS COMPLAINTS PROCEDURE Introduction The Local Ombudsman s guidance states

More information

Complaints Policy. Local Authority Social Services and NHS Complaints (England) Regulations Version: 2. Status: For approval

Complaints Policy. Local Authority Social Services and NHS Complaints (England) Regulations Version: 2. Status: For approval Complaints Policy Version: 2 Status: Title of originator/author: Name of responsible director: Approved by group/committee and Date: Effective date of issue: (1 month after approval date) For approval

More information

Hospital Discharge and Transfer Guidance. Choice, Responsiveness, Integration & Shared Care

Hospital Discharge and Transfer Guidance. Choice, Responsiveness, Integration & Shared Care Hospital Discharge and Transfer Guidance Choice, Responsiveness, Integration & Shared Care Worcestershire Mental Health Partnership NHS Trust Information Reader Box Document Type: Document Purpose: Unique

More information

Central Alerting System (CAS) Policy

Central Alerting System (CAS) Policy Document Title Reference Number Lead Officer Author(s) (name and designation) Ratified By Central Alerting System (CAS) Policy NTW(O)17 Gary O Hare Executive Director of Nursing and Operations Tony Gray

More information

Patient Experience Strategy

Patient Experience Strategy Patient Experience Strategy 2013 2018 V1.0 May 2013 Graham Nice Chief Nurse Putting excellent community care at the heart of the NHS Page 1 of 26 CONTENTS INTRODUCTION 3 PURPOSE, BACKGROUND AND NATIONAL

More information

POLICY FOR THE REPORTING AND MANAGEMENT OF COMPLAINTS, COMMENTS & CONCERNS

POLICY FOR THE REPORTING AND MANAGEMENT OF COMPLAINTS, COMMENTS & CONCERNS POLICY FOR THE REPORTING AND MANAGEMENT OF COMPLAINTS, COMMENTS & CONCERNS October 2017 Authorship: Patient Experience Manager, Directorate of Quality & Assurance, NLCCG Quality & Experience Manager, Directorate

More information

Policy for the Management of Complaints/Concerns

Policy for the Management of Complaints/Concerns Document Title Policy for the Management of Complaints/Concerns Document Description Document Type Policy Service Application Trust Wide Version 2.0 Name Phao Hewitson Garry Perry Lead Author(s) Job Title

More information

Procedure for NHS Complaints Process within Prisons

Procedure for NHS Complaints Process within Prisons (To be read in conjunction with the Patient Relations (Complaints, Comments and Compliments) Policy and Procedures, the Investigation Policy, the Being Open Policy and the Supporting Staff Policy) Version:

More information

How CQC monitors, inspects and regulates adult social care services

How CQC monitors, inspects and regulates adult social care services How CQC monitors, inspects and regulates adult social care services November 2017 Contents MONITORING AND INFORMATION SHARING... 3 How we monitor and inspect adult social care services... 3 CQC Insight...

More information

12. Safeguarding Enquiries: Responding to a Concern

12. Safeguarding Enquiries: Responding to a Concern 12. Safeguarding Enquiries: Responding to a Concern 1 12.1 Statutory Safeguarding Enquiries Section 42 Councils are required by law to carry out safeguarding enquiries for those individuals who meet the

More information

Complaints Policy. Status (Draft/ Ratified): Date ratified: 17/10/2016. Version: 3.0. Type of Procedural Document

Complaints Policy. Status (Draft/ Ratified): Date ratified: 17/10/2016. Version: 3.0. Type of Procedural Document Complaints Policy Status (Draft/ Ratified): Ratified Date ratified: 17/10/2016 Version: 3.0 Ratifying Board: Approved Sponsor Group: Type of Procedural Document Owner: Owner s job title: Author: Author

More information

What is this Guide for?

What is this Guide for? Continuing NHS Healthcare (CHC) is a package of services that is arranged and funded solely by the NHS, for those people who have been assessed as having a primary health need. The issue is one of need.

More information

SAFEGUARDING ADULTS POLICY

SAFEGUARDING ADULTS POLICY SAFEGUARDING ADULTS POLICY This document may be made available in alternative formats and other languages, on request, as is reasonably practicable to do so. Policy Owner: Approved by: POVA Operational

More information

Complaints Policy and Procedure

Complaints Policy and Procedure Complaints Policy and Procedure NHS East and North Hertfordshire Clinical Commissioning Group Page 1 of 45 DOCUMENT CONTROL SHEET Document Owner: Document Author(s): Version: 1 Directorate: Nursing and

More information

COMPLAINTS, CONCERNS and COMPLIMENTS POLICY

COMPLAINTS, CONCERNS and COMPLIMENTS POLICY COMPLAINTS, CONCERNS and COMPLIMENTS POLICY 2017-2019 V 4 May 2017 Version: 4 Ratified by: Date ratified: Name of originator/author: Name of lead: Date issued/published: Stephen Hendry, Senior Corporate

More information

Making a complaint in the independent healthcare sector. A guide for patients

Making a complaint in the independent healthcare sector. A guide for patients Contents 1. Introduction pages 3 5 2. Local Resolution Stage One pages 6 8 3. Complaints Review Stage Two page 9 4. Independent External Adjudication Stage Three pages 10 11 2 The Patients Association

More information

CHILDREN S & YOUNG PEOPLE S CONTINUING CARE POLICY

CHILDREN S & YOUNG PEOPLE S CONTINUING CARE POLICY CHILDREN S & YOUNG PEOPLE S CONTINUING CARE POLICY UNIQUE REFERENCE NUMBER: CD/XX/079/V1.1 DOCUMENT STATUS: Approved at CDC 22 March 2017 DATE ISSUED: January 2017 DATE TO BE REVIEWED: January 2020 1 P

More information

Mortality Policy. Learning from Deaths

Mortality Policy. Learning from Deaths Mortality Policy Learning from Deaths Name of Author and Job Title: Frank Jacobs, Datix project manager Ian Brandon, Head of governance and risk Name of Review/ Development Body: Ratification Body: Mortality

More information

Version: 3.0. Effective from: 29/08/2012

Version: 3.0. Effective from: 29/08/2012 Policy No: RM51 Version: 3.0 Name of policy: Learning from Experience Policy A systematic approach to incident, complaint and clai management, analysis and sharing safety lessons Effective from: 29/08/2012

More information

POLICY FOR DEALING WITH FORMAL AND INFORMAL COMPLAINTS

POLICY FOR DEALING WITH FORMAL AND INFORMAL COMPLAINTS POLICY FOR DEALING WITH FORMAL AND INFORMAL COMPLAINTS Version: 1 Published date: Feb 2012 Review date: Feb 2014 Authors: Darren Payne and Jaine Hart CONTENTS 1. Introduction 2 page 2. Informal and formal

More information

On: 23 January 2012 Review Date: January 2015 Distribution: Essential Reading for: Information for:

On: 23 January 2012 Review Date: January 2015 Distribution: Essential Reading for: Information for: CONTROLLED DOCUMENT Withholding Treatment Procedure (procedure for managing patients/public who are violent and/or abusive) - Yellow and Red Card Procedures CATEGORY: CLASSIFICATION: PURPOSE Controlled

More information

COMPLAINTS, CONCERNS AND COMPLIMENTS POLICY

COMPLAINTS, CONCERNS AND COMPLIMENTS POLICY COMPLAINTS, CONCERNS AND COMPLIMENTS POLICY Document Author Written By: Patient Eperience Lead Authorised Authorised By: Chief Eecutive Date: 30 November 2015 Lead Director: Eecutive Director of Nursing

More information

How CQC monitors, inspects and regulates independent doctors and clinics providing primary care

How CQC monitors, inspects and regulates independent doctors and clinics providing primary care How CQC monitors, inspects and regulates independent doctors and clinics providing primary care October 2017 CONTENTS MONITORING AND INFORMATION SHARING... 2 How we monitor independent doctors and clinics

More information

Requesting a Second Opinion Policy

Requesting a Second Opinion Policy Requesting a Second Opinion Policy DOCUMENT CONTROL: Version: 2 Ratified by: Quality and Safety Sub Committee Date ratified: 31 July 201 Name of originator/author: Doncaster Locality Manager, Adult Mental

More information

TRUST BOARD 27 OCTOBER 2011 QUARTERLY CUSTOMER CARE REPORT

TRUST BOARD 27 OCTOBER 2011 QUARTERLY CUSTOMER CARE REPORT TRUST BOARD 27 OCTOBER 2011 QUARTERLY CUSTOMER CARE REPORT D Summary The Trust Board at its 28 July 2011 meeting (minute TB/11/192) approved a quarterly high level customer care report be developed for

More information

ADVOCATES CODE OF PRACTICE

ADVOCATES CODE OF PRACTICE ADVOCATES CODE OF PRACTICE Owner: Liz Fenton, Strategic Services Delivery Manager Approver: Management Team Date Document Version Draft/Final Distribution Comment 04/2006 1.0 Final All 12/2010 2.0 Final

More information

Page 1 of 18. Summary of Oxfordshire Safeguarding Adults Procedures

Page 1 of 18. Summary of Oxfordshire Safeguarding Adults Procedures Page 1 of 18 Summary of Oxfordshire Safeguarding Adults Procedures Page 2 of 18 Introduction This part of the procedures sets out clear expectations regarding the standards roles and responsibilities of

More information

MULTIDISCIPLINARY MEETINGS FOR COMMUNITY HOSPITALS POLICY

MULTIDISCIPLINARY MEETINGS FOR COMMUNITY HOSPITALS POLICY MULTIDISCIPLINARY MEETINGS FOR COMMUNITY HOSPITALS POLICY (To be read in conjunction with Handover Policy) Version: 3 Ratified by: Date ratified: August 2015 Title of originator/author: Title of responsible

More information

Complaints Procedures for Schools

Complaints Procedures for Schools Title : Complaints Procedures for Schools Status : Current Approval Date : December 2008 Date for Next Review : December 2012 Originator : Page 1 of 9 CONTENTS 1. Stage 1 Initial Approach 2. Stage 2 Formal

More information

Complaints Procedure

Complaints Procedure Complaints Procedure AUGUST 2017 Complaints Procedure This complaints procedure reflects Harper Adams University s commitment to valuing complaints. Our aim is to resolve issues of dissatisfaction as close

More information

Standards conduct, accountability

Standards conduct, accountability Standards of conduct, accountability and openness Standards of conduct, accountability and openness Throughout this document: members refers to all members of a board the Chair, the non-executives, the

More information

A Case Review Process for NHS Trusts and Foundation Trusts

A Case Review Process for NHS Trusts and Foundation Trusts A Case Review Process for NHS Trusts and Foundation Trusts 1 1. Introduction The Francis Freedom to Speak Up review summarised the need for an independent case review system as a mechanism for external

More information

CARERS POLICY. All Associate Director of Patient Experience. Patient & Carers Experience Committee & Trust Management Committee

CARERS POLICY. All Associate Director of Patient Experience. Patient & Carers Experience Committee & Trust Management Committee CARERS POLICY Department / Service: Originator: All Associate Director of Patient Experience Accountable Director: Chief Nursing Officer Approved by: Patient & Carers Experience Committee & Trust Management

More information

NHS continuing health care joint dispute resolution procedure

NHS continuing health care joint dispute resolution procedure Title: Developed by: Document type: Policy library: Sub Section: Document status: Date of ratification: Ratified By: Date to be reviewed: Version NHS continuing health care joint dispute resolution procedure

More information

Performance and Quality Committee

Performance and Quality Committee Title: NHS Continuing Health Care Choice Policy (addendum to Cornwall Wide Patient Choice, Equity and Fair Access Policy) Developed by: Document type: Policy library: NHS Kernow Policy Policies Sub Section:

More information

Compliments, Concerns and Complaints policy

Compliments, Concerns and Complaints policy Compliments, Concerns and Complaints policy Document information Document title Classification Compliments, Concerns and Complaints policy Open Document/Reference Number: 71229 Document Custodian: Other

More information

Local Government Ombudsman Service Complaint Review. February Executive Summary

Local Government Ombudsman Service Complaint Review. February Executive Summary Local Government Ombudsman Service Complaint Review February 2017 Executive Summary 1. This review of service complaints covers the period from August 2016 to February 2017. I have examined 10 service

More information

COMPLIMENTS & COMPLAINTS PROCEDURE

COMPLIMENTS & COMPLAINTS PROCEDURE We welcome all forms of feedback from our residents and those dealing with us, whether positive or negative. You may wish to let us know if: You would like to compliment us on a job well done. You have

More information

The investigation of a complaint by Mr D against Cwm Taf University Health Board. A report by the Public Services Ombudsman for Wales Case:

The investigation of a complaint by Mr D against Cwm Taf University Health Board. A report by the Public Services Ombudsman for Wales Case: The investigation of a complaint by Mr D against Cwm Taf University Health Board A report by the Public Services Ombudsman for Wales Case: 201604327 Contents Page Introduction 1 Summary 2 The complaint

More information

Complaints handling in NHS organisations

Complaints handling in NHS organisations Complaints handling in NHS organisations August 2017 This document is designed for NHS organisations but has application for all public bodies and those providing services such as universities. It also

More information

Complaints Sanctuary Students Procedure SS/LW0315/CP. Sanctuary Group:

Complaints Sanctuary Students Procedure SS/LW0315/CP. Sanctuary Group: Subject/Title: Complaints Procedure Sanctuary Students Business Function: Complaints Procedure Sanctuary Students Author(s): Operations/Accommodation Manager Other Contributors: Director of Operational

More information

How we use your information. Information for patients and service users

How we use your information. Information for patients and service users How we use your information Information for patients and service users What we record about you Pennine Care NHS Foundation Trust provides mental health and community health services to people living in

More information

Access to Health Records Procedure

Access to Health Records Procedure Access to Health Records Procedure Version: 1.0 Ratified by: Date ratified: 11/03/2015 Name of originator/author: Name of responsible individual: Information Governance Group Medical Records Manager, Jackie

More information

The NHS Constitution

The NHS Constitution 2 The NHS Constitution The NHS belongs to the people. It is there to improve our health and wellbeing, supporting us to keep mentally and physically well, to get better when we are ill and, when we cannot

More information

Policy for Handling Complaints

Policy for Handling Complaints Corporate Policy for Handling Complaints Listening, Learning & Improving Making Experiences Count Quality Committee Date Approved 13/11/2012 Policy Consistency Group Date Approved Signature Reference Number

More information

Putting Things Right Policy. Procedure for the Management Of Public Service Ombudsman for Wales Investigations

Putting Things Right Policy. Procedure for the Management Of Public Service Ombudsman for Wales Investigations Aneurin Bevan Health Board Putting Things Right Policy Procedure for the Management Of Public Service Ombudsman for Wales Investigations N.B. Staff should be discouraged from printing this document. This

More information

CCG CO21 Continuing Healthcare Policy on the Commissioning of Care

CCG CO21 Continuing Healthcare Policy on the Commissioning of Care Corporate CCG CO21 Continuing Healthcare Policy on the Commissioning of Care Version Number Date Issued Review Date V1 28 04 15 29 April 2015 April 2016 Prepared By: Head of Quality & Patient Safety Consultation

More information

NHSGG&C Referring Registrants to the Nursing & Midwifery Council Policy

NHSGG&C Referring Registrants to the Nursing & Midwifery Council Policy NHSGG&C Referring Registrants to the Nursing & Midwifery Council Policy Lead Manager: Linda Hall Responsible Director: Rosslyn Crocket Approved by: Professional Nurse Leads and Partnerships Group Date

More information

Corporate. Visitors & VIP s Standard Operating Procedure. Document Control Summary. Contents

Corporate. Visitors & VIP s Standard Operating Procedure. Document Control Summary. Contents Corporate Visitors & VIP s Standard Operating Procedure Document Control Summary Status: Version: Author/Owner: Approved by: Ratified: Related Trust Strategy and/or Strategic Aims Implementation Date:

More information

This policy is intended to ensure that we handle complaints fairly, efficiently and effectively.

This policy is intended to ensure that we handle complaints fairly, efficiently and effectively. Introduction 1.1 Purpose This policy is intended to ensure that we handle complaints fairly, efficiently and effectively. Our complaint management system is intended to: enable us to respond to issues

More information

Author: Kelvin Grabham, Associate Director of Performance & Information

Author: Kelvin Grabham, Associate Director of Performance & Information Trust Policy Title: Access Policy Author: Kelvin Grabham, Associate Director of Performance & Information Document Lead: Kelvin Grabham, Associate Director of Performance & Information Accepted by: RTT

More information

Item No. 15. Meeting Date Wednesday 14 th June Glasgow City Integration Joint Board Finance and Audit Committee

Item No. 15. Meeting Date Wednesday 14 th June Glasgow City Integration Joint Board Finance and Audit Committee Item No. 15 Meeting Date Wednesday 14 th June 2017 Glasgow City Integration Joint Board Finance and Audit Committee Report By: Contact: David Williams, Chief Officer Jim Charlton, Principal Officer Rights

More information

Continuing Healthcare Policy

Continuing Healthcare Policy Continuing Healthcare Policy 1 SUMMARY This policy describes the way in which Haringey Clinical Commissioning Group (HCCG) will make provision for the care of people who have been assessed as eligible

More information

SUGGESTIONS, COMPLIMENTS & COMPLAINTS POLICY

SUGGESTIONS, COMPLIMENTS & COMPLAINTS POLICY SUGGESTIONS, COMPLIMENTS & COMPLAINTS POLICY Responsible Senior Manager: Vice Principal Business Services & People Approved by: Corporation Related Policies: Equality & Diversity Effective from: September

More information

THE NEWCASTLE UPON TYNE HOSPITALS NHS TRUST LIVING WILLS (ADVANCE REFUSAL OF TREATMENT) Effective: May 2002 Review May 2005

THE NEWCASTLE UPON TYNE HOSPITALS NHS TRUST LIVING WILLS (ADVANCE REFUSAL OF TREATMENT) Effective: May 2002 Review May 2005 THE NEWCASTLE UPON TYNE HOSPITALS NHS TRUST LIVING WILLS (ADVANCE REFUSAL OF TREATMENT) Operational Policy 19 Effective: May 2002 Review May 2005 1. Summary 1.1 This document provides information and guidance

More information

PARLIAMENTARY AND HEALTH SERVICE OMBUDSMAN. Information Sharing Policy Sharing and Publishing information about NHS Complaints. Version 2.

PARLIAMENTARY AND HEALTH SERVICE OMBUDSMAN. Information Sharing Policy Sharing and Publishing information about NHS Complaints. Version 2. PARLIAMENTARY AND HEALTH SERVICE OMBUDSMAN Information Sharing Policy Sharing and Publishing information about NHS Complaints Version 2.0 Page 1 of 8 Document Control Title: Policy Information Sharing

More information

The NHS Scotland Complaints Handling Procedure. NHS Highland

The NHS Scotland Complaints Handling Procedure. NHS Highland The NHS Scotland Complaints Handling Procedure NHS Highland April 2017 National Health Service Scotland Complaints Handling Procedure Foreword Our complaints handling procedure reflects NHS Highland commitment

More information

Northern Ireland Social Care Council Quality Assurance Framework for Education and Training Regulated by the Northern Ireland Social Care Council

Northern Ireland Social Care Council Quality Assurance Framework for Education and Training Regulated by the Northern Ireland Social Care Council Northern Ireland Social Care Council Quality Assurance Framework for Education and Training Regulated by the Northern Ireland Social Care Council Approval, Monitoring, Review and Inspection Arrangements

More information

NHS Borders Feedback and Complaints Annual Report

NHS Borders Feedback and Complaints Annual Report NHS Borders Feedback and Complaints Annual Report 2016-17 1 Introduction NHS Borders Feedback and Complaints Annual Report 2016-17 is a summary of the feedback provided by the complaints, comments, concerns

More information

Management of Reported Medication Errors Policy

Management of Reported Medication Errors Policy Management of Reported Medication Errors Policy Approved By: Policy & Guideline Committee Date of Original 6 October 2008 Approval: Trust Reference: B45/2008 Version: 4 Supersedes: 3 February 2015 Trust

More information

DATA PROTECTION ACT (1998) SUBJECT ACCESS REQUEST PROCEDURE

DATA PROTECTION ACT (1998) SUBJECT ACCESS REQUEST PROCEDURE DATA PROTECTION ACT (1998) SUBJECT ACCESS REQUEST PROCEDURE Date effective from: 1 st September 2014 Review date: 1 st September 2017 Version number: 4.0 See Document Summary Sheet for full details Date

More information