DRS MATTOCKS & EGAN
PENNY LANE SURGERY
7 SMITHDOWN PLACE 
LIVERPOOL L15 9EH
TEL: 0151 733 2800/6565 FAX:0151 734 3418
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Complaints Policy (V2.4 Aug 22)

Person responsible for review of this protocol: Practice Manager
Date of last review: August 2022
Date of next review: August 2023

Purpose: 

The protocol sets out the approach of Penny Lane Surgery to the handling of complaints. 

This protocol is relevant to all employers and anyone who works at Penny Lane Surgery, including non-clinical staff. Individuals training and visitors/observers on the premises must also adhere to this policy.

This protocol will be reviewed annually to ensure that it remains effective and relevant. 

Importance of having a complaints procedure: 

In spite of the efforts of all staff it is likely that a complaint will be made by a patient at some point. To reduce the anxiety and apprehension for both patients and staff it is crucial to have a procedure for handling complaints. 

How complaints can be made: 

Penny Lane Surgery operates an informal in-house complaint procedure as recommended by the Department of Health. Complaints may be received in writing (formally) or verbally. Where a patient is unable to communicate a complaint by either means on their own then arrangements will be made to facilitate the giving of the complaint. 

Persons who can complain:
 
Complaints can be made by patients, former patients, someone who is affected, or likely to be affected, by the action, omission or decision of individuals working at the practice, or by a representative of a patient who is incapable of making the complaint themselves. 

When a complaint is made on behalf of a child, there must be reasonable grounds for the complaint being made by the representative rather than the child and the complaint must be being made in the best interests of the child. If this is not the case, then written notification of the decision not to investigate the complaint must be sent to the representative. 

Time limit for making a complaint: 

Complaints can be made up to 12 months after the incident that gave rise to the complaint, or from when the complainant was made aware of it. Beyond this timescale it is at the discretion of the practice as to whether to investigate the matter. 

Persons responsible for handling complaints:
 
Responsible Person: The Responsible Person is a GP partner responsible for the supervision of the complaints procedure and for making sure that action is taken in light of the outcome of any investigation. 

Complaints Manager: The Complaints Manager is responsible for the handling and investigation of complaints. 

Initial handling of complaints: 

1) When a patient wishes to make a verbal complaint information can be given to any member of Penny Lane Surgery. Details of the complaint is to be passed to the Complaints Manager who will contact the complainant to make an assessment of the complaint. 

2) The complaint should be resolved during this discussion if possible. The complaints manager may complete an investigation into the complaint before discussing and resolving the complaint with the complainant. If the complaint is resolved then it should be recorded in the complaints register and the implicated staff member is to be told about the details of the complaint. 

3) When the complaint cannot be resolved the patient is to be asked to make a written complaint. If necessary the Complaints Manager is to write down the complaint on their behalf verbatim. The written complaint is to be recorded in the complaints register. 

4) The Complaints Manager is to acknowledge a written complaint in writing within 3 working days, stating the anticipated date by which the complainant can expect a full response. 

Investigation of complaint: 

1) The Complaints Manager is to discuss the complaint with the implicated member of staff to establish their recollection of events. 

2) If the complaint is against the Complaints Manager, then the complaint is to be referred to the Responsible Person for investigation. 

3) The complainant is to be invited to a meeting to discuss the complaint with the Complaints Manager and asked if they would like to be accompanied at this meeting. If appropriate and with prior consent from the complainant the staff member complained about can be present at that meeting. Minutes should be taken. 

4) The timescale to respond (maximum of 6 months) is to be agreed with the complainant at that meeting and documented in the complaints register. 

5) The full response to the complainant is to be signed by the responsible person, and include: 
•	An explanation of how the complaint was considered; 
•	The conclusions reached in relation to the complaint and any remedial action that will be needed; 
•	Confirmation as to whether the practice is satisfied that any action has been taken or will be taken. 

6) If it is not possible to send the complainant a response in the agreed period it is necessary to write to the complainant explaining why. Then a response is to be sent to the complainant as soon as is reasonably practicable. 

7) If the complainant is dissatisfied with the handling of the complaint then they are to be advised to contact the Health Service Ombudsman and how to do so. 

Further help with complaints:

If the complainant is not satisfied with the outcome of the complaint they can contact one of the organisations below;

1.	Complaints Manager
Liverpool CCG
2 Renshaw Street
Liverpool 
L1 2SA

2.	NHS England
	PO box 16736	
	Redditch
	B97 9PD
	Phone: 0300 311 2233

3.	Parliamentary and Health Service Ombudsman
	Telephone: 0345 015 4033

Recording complaints and investigations: 

A record must be kept of: 
•	Each complaint received; 
•	The subject matter of the complaint; 
•	The steps and decisions taken during an investigation; 
•	The outcome of each investigation; 
•	When the practice informed the complainant of the response period and any amendment to that period; 
•	Whether a report of the outcome of the investigation was sent to the complainant within the response period or any amended period. 

Review of complaints:
 
Complaints received by the practice are to be reviewed at staff meetings to ensure that learning points are shared. 

A review of all complaints will be conducted annually by the Complaints Manager to identify any patterns that are to be reported to the Responsible Person. 

The Complaints Manager will notify the Responsible Person of any concerns about a complaint leading to non-compliance. The Responsible Person will identify ways for the practice to return to compliance. 

A report on complaints is to be submitted to the Primary Care Trust (or replacement body) annually (year ending 31st March). This report is to: 
•	Specify the number of complaints received; 
•	Specify the number of complaints which it was decided were well-founded; 
•	Specify the number of complaints which the practice has been informed have been referred to the Health Service Ombudsman; 
•	Summarise the subject matter of complaints received; 
•	Summarise any matters of general importance arising out of those complaints, or the way in which the complaints were handled; 
•	Summarise any matters where action has been or is to be taken to improve services as a consequence of those complaints. 

This report is to be available to any person on request. 

Publicity: 

The practice’s arrangements for dealing with complaints and how further information about these arrangements may be obtained by patients is to be publicised by the Complaints Manager. How to contact independent advocacy services and the right of patients to approach Primary Care Trusts with complaints is also to be publicised via a patient information leaflet available on the practice website www.pennylanesurgery.nhs.uk and printed in reception.

Habitual, Unreasonably Persistent or Vexatious Complainants:

There are times when nothing further can reasonably be done to help a complainant. As a last resort and after all reasonable measures have been taken to try and resolve the complaints under this policy, the following should be considered. 

Complaints made by persistent complainants should be reviewed by the practice complaints lead to establish whether the same issues are being raised again. Complaints about matters unrelated to previous complaints should be approached objectively and without any assumption that they are bound to be frivolous, vexatious or unjustified. 

If a complainant is abusive or threatening, the practice may require the complainant to communicate in a specified way that still allows the complaint to be investigated. For example, this could be in writing and not by telephone, or solely with one or more designated members of staff, or with a limit on the number of contacts each week. It is not reasonable to refuse to accept or respond to communications about a complaint until it is clear that all practical possibilities of resolution have been exhausted. 

Complainants may be considered to be habitual or vexatious if they display two or 
more of the following behaviours:
•	Persist in pursuing a complaint where the NHS complaints procedure has been fully and properly implemented and exhausted.

•	Change the substance of a complaint or continually raise new issues or seek to prolong contact by continually raising further concerns or questions upon receipt of a response whilst the complaint is being addressed.

•	Are unwilling to accept documented evidence of treatment given as being factual.

•	Do not clearly identify the precise issues which they wish to be investigated, despite reasonable efforts to help specify their concerns and/or where the concerns identified are not within the remit of Penny Lane Surgery to investigate.

•	Focus on a trivial matter to an extent which is out of proportion to its significance and continue to focus on this point.

•	Have threatened or used actual physical violence towards staff at any time.

•	Have in the course of addressing a registered complaint had an excessive number of contacts with the practice, placing unreasonable demands on staff.

•	Have harassed or been personally abusive or verbally aggressive on more than one occasion towards staff dealing with their complaint.

•	Are known to have recorded meetings or face-to-face/telephone conversations without the prior knowledge and consent of other parties involved.

•	Display unreasonable demands or patient/complainant expectations and fail to accept that these may be unreasonable.

Complainants regarded as unreasonably persistent or vexatious should be follow the procedure below: 
 The practice complaints lead will review the complaint and make a decision as to whether or not it is appropriate to investigate the complaint further. 

 If the investigation is to continue, the complaints lead will handle the complaint in line with this policy and may restrict communication with the complainant.

 If the complaints lead decides that the complaint will not be investigated, the complainant will be advised of their right to approach the PHSO.

A copy of the complaints leaflet for patients can be accessed by following the below link (click and hold ctrl and click the blue link below)

Complaints Leaflet for patients (Oct 21).pub

Compliments?

Comments? 

Concerns?

Complaints?

To help make sure that we provide the best possible service for our patients, Penny Lane Surgery operates a complaints procedure.

All complaints are discussed at practice meetings as and when they arise. The progress of the complaint is monitored at every weekly practice meeting until a satisfactory outcome is achieved. 

Complaints are monitored in order to establish possible patterns to the complaints and all complaints are discussed in an annual complaints meeting. 

If you have any compliments, comments, concerns or complaints, please speak to a Receptionist…