Complaints Handling and Patient Feedback
Document control
Document owner: Registered Manager
Clinical approval: Nominated Individual
Version: 2.0
Approval date: 12 August 2026
Review date: 01 January 2027
Training renewal: Annually
Applicable staff: WMI Psychiatry administration staff
Estimated completion time: 45–60 minutes
Assessment: 15 multiple-choice questions
Pass mark: 80%
Safety-critical questions: All must be reviewed if answered incorrectly
This module must also be reviewed following:
a serious complaint
a significant change to WMI Psychiatry’s services
a change to the complaints procedure
a change to relevant national guidance
evidence that a complaint was not recognised or managed appropriately
identification of a recurring concern or service risk
an adverse finding by CQC or another relevant organisation
Related WMI Psychiatry documents
This module should be read alongside:
Complaints Policy
Patient Feedback Policy
Duty of Candour Policy
Incident Reporting Policy
Safeguarding Children Policy
Safeguarding Adults Policy
Information Governance and Confidentiality Policy
Record Keeping Policy
Equality, Diversity and Human Rights Policy
Consent Policy
Refund and Cancellation Policy
Unacceptable Behaviour Policy
Staff Code of Conduct
1. Purpose and training rationale
Complaints and patient feedback provide important information about how people experience WMI Psychiatry’s services. They can identify communication problems, administrative errors, safety concerns and opportunities to improve care.
A complaint should not be viewed simply as criticism. It may be the first indication that:
information was unclear
a patient felt unheard
an appointment was not arranged correctly
communication was delayed
reasonable adjustments were not provided
a clinical concern was not escalated
a policy was applied inconsistently
a safeguarding concern was missed
a patient experienced harm
several people are experiencing the same problem
Administration staff are often the first people to receive complaints because they manage telephone calls, emails, bookings, payments and routine communication.
CQC Regulation 16 requires providers to operate an effective and accessible system for identifying, receiving, recording, handling and responding to complaints. People must be able to complain verbally or in writing to any member of staff. Complaints must be investigated and necessary action must be taken when failures are identified. CQC Regulation 16
CQC Regulation 17 requires providers to seek and act on feedback from people who use the service and those acting on their behalf. Feedback should contribute to the assessment and improvement of service quality. CQC Regulation 17
The administration team’s role is to:
recognise complaints and feedback
listen respectfully
establish the main concern
identify any urgent risk
acknowledge the person’s experience
record the information accurately
explain the complaints process
forward the matter promptly to the appropriate person
maintain confidentiality
keep the complainant informed when asked to do so
support agreed actions
contribute to organisational learning
Administration staff are not expected to determine clinical findings or investigate serious complaints independently.
This module does not:
replace WMI Psychiatry’s Complaints Policy
authorise an administrator to provide a final complaint response
authorise an administrator to decide whether clinical care was appropriate
replace safeguarding or incident reporting procedures
replace the statutory Duty of Candour procedure
permit disclosure of confidential information without appropriate authority
require staff to accept abusive or threatening behaviour
2. Learning outcomes
By the end of this module staff should be able to:
Explain the difference between feedback, a concern and a complaint.
Recognise a complaint whether it is made verbally or in writing.
Respond to a complaint calmly and respectfully.
identify matters requiring immediate escalation.
Record complaints and feedback accurately.
Explain the WMI Psychiatry complaints process.
Maintain appropriate confidentiality.
Manage complaints made on behalf of another person.
Make reasonable adjustments to support access to the complaints process.
Understand the limits of the administration role.
Distinguish early resolution from dismissing or concealing a complaint.
Support learning from complaints and patient feedback.
Recognise when Duty of Candour may need to be considered.
Understand how positive, negative and neutral feedback should be used.
Respond appropriately to challenging communication.
3. WMI Psychiatry complaints contacts
These details must be completed before issuing the module.
Complaints management
Complaints lead: [INSERT NAME AND ROLE]
Complaints email address: [INSERT EMAIL ADDRESS]
Complaints postal address: [INSERT ADDRESS]
Registered Manager: Caroline Lawrence
Contact method: [INSERT CONTACT METHOD]
Medical Director: Dr James Glass
Contact method: [INSERT CONTACT METHOD]
Safeguarding lead: [INSERT NAME AND CONTACT METHOD]
Deputy safeguarding lead: [INSERT NAME AND CONTACT METHOD]
Duty or responsible clinician: [INSERT CONTACT METHOD]
Recording systems
Complaints register: [INSERT LOCATION]
Patient record system: [INSERT SYSTEM]
Incident reporting system: [INSERT SYSTEM OR LOCATION]
Patient feedback record: [INSERT LOCATION]
Person responsible for monitoring actions: [INSERT ROLE]
Local timescales
Target for acknowledging a complaint: [INSERT TIMESCALE]
Target for agreeing the scope of the complaint: [INSERT TIMESCALE]
Target for providing a full response: [INSERT TIMESCALE]
Frequency of updates if the response is delayed: [INSERT TIMESCALE]
These timescales should match WMI Psychiatry’s approved Complaints Policy. Staff must not promise a response date that cannot reasonably be met.
4. Understanding complaints and feedback
Feedback
Feedback is an opinion about the service. It may be positive, negative or neutral.
Examples include:
“The booking process was very straightforward.”
“The appointment reminder was difficult to understand.”
“It would help if the directions included parking information.”
“The doctor explained everything clearly.”
“The online form took too long to complete.”
Feedback may not require an individual response beyond acknowledgement. It should still be recorded when it provides useful information about the service.
Concern
A concern is something that is worrying the person or which they state needs attention.
Examples include:
“I am worried that my prescription has not arrived.”
“I do not understand what happens at the next appointment.”
“I think I may have been charged twice.”
“My child needs an adjustment for the observation.”
Some concerns can be resolved promptly. A concern can still be a complaint if the person is dissatisfied and expects WMI Psychiatry to respond.
Complaint
A complaint is an expression of dissatisfaction which requires a response. It may concern an action, an omission, a decision or the standard of service provided.
Examples include:
“I am unhappy that nobody replied to my messages.”
“The appointment was cancelled without enough notice.”
“I believe the clinician was dismissive.”
“The report contains incorrect information.”
“I was charged a fee that I was not expecting.”
“My reasonable adjustment was not provided.”
“I want to complain about how my information was handled.”
A person does not need to use the word “complaint”. Staff must consider the meaning of the communication rather than its label.
A complaint may be:
verbal
written
sent by email
submitted through an online form
included within a review or survey
made during an appointment
raised through a representative
made anonymously
expressed through several separate messages
The Parliamentary and Health Service Ombudsman defines a complaint as spoken or written dissatisfaction which requires a response. Its NHS Complaint Standards apply directly to NHS-funded services. Their principles of welcoming concerns, responding fairly and learning from complaints also provide useful good-practice guidance for independent services. PHSO complaint definitions
5. The administration team’s role
You should
listen without interrupting unnecessarily
remain calm and respectful
recognise when dissatisfaction requires a response
thank the person for bringing the matter to WMI Psychiatry’s attention
apologise for their experience where appropriate
clarify the main points
ask what outcome they are seeking
check for immediate safety concerns
explain what will happen next
record the complaint accurately
forward it promptly to the complaints lead
preserve relevant correspondence
maintain confidentiality
provide reasonable communication support
complete any administrative actions allocated to you
escalate delays or missed deadlines
You should not
argue with the person
become defensive
blame another staff member
dismiss the complaint as minor
tell the person that they are wrong before the matter has been reviewed
discourage them from making a formal complaint
insist that a verbal complaint must be put in writing
promise a particular investigation outcome
admit legal liability
offer a refund or financial remedy without authority
alter or delete a clinical record
investigate clinical care independently
disclose confidential information without checking authority
delay a safety or safeguarding escalation
treat the person less favourably because they complained
describe the person as difficult merely because they are dissatisfied
ask someone to withdraw a complaint
guarantee that the complaint will remain known only to one person
People must not experience discrimination, victimisation or a reduction in the quality of their care because they have made a complaint.
6. Receiving a complaint
Use the LISTEN–CHECK–RECORD–ESCALATE approach.
1. LISTEN
Allow the person to explain what has happened.
Suitable phrases include:
“I am sorry to hear that you have had this experience.”
“Thank you for telling us.”
“I would like to make sure I understand your concerns correctly.”
“I can explain what will happen next.”
An apology for someone’s experience does not automatically mean accepting legal liability. CQC explains that saying sorry is an important part of openness and is not itself an admission of liability. CQC Regulation 20: Duty of Candour
2. CHECK
Clarify:
who is making the complaint
who the complaint relates to
the person’s preferred contact details
what happened
when it happened
where it happened
who was involved
the main areas of dissatisfaction
what effect this had
what outcome the person is seeking
whether there is an immediate safety concern
whether they need communication support
whether they are acting for someone else
Do not repeatedly make the person retell a distressing experience when the information is already clear.
3. RECORD
Record the person’s words accurately and objectively.
Distinguish between:
what the complainant reported
what you personally observed
what the records show
what action you took
what another staff member advised
4. ESCALATE
Forward the complaint to the complaints lead within the timescale required by WMI Psychiatry’s policy.
Escalate immediately if the complaint raises:
current risk to a patient or another person
safeguarding concerns
possible abuse or neglect
serious medication or prescribing concerns
a possible data breach
suspected fraud or criminal behaviour
serious professional misconduct
discriminatory conduct
risk of evidence being lost
possible serious harm
a situation that may engage the Duty of Candour
repeated concerns suggesting a wider service failure
7. Verbal complaints
A complaint made by telephone or during a conversation is still a complaint.
Do not say:
“You will need to put that in writing before we can deal with it.”
Instead say:
“I can record the complaint for you. I will read the main points back so that you can confirm I have understood them correctly.”
Record:
the date and time
the person’s name
the patient’s name
contact details
the complaint in their own words
the outcome they are seeking
any immediate action required
whether you read the summary back
whether they confirmed it was accurate
who received the complaint for further action
If the complaint is complex offer to send the person a written summary. Ask them to confirm whether the summary reflects their concerns.
A person may choose to provide additional written information. This should not be made a condition of accepting the complaint.
8. Early resolution
Some straightforward concerns can be resolved quickly.
Examples include:
correcting an appointment time
resending a document
explaining an administrative process
correcting a simple invoice error
providing clearer directions
arranging an agreed reasonable adjustment
apologising for a delayed response
Early resolution can be helpful when:
the issue is clear
the requested action is within the staff member’s authority
no formal investigation is required
no safety concern has been identified
the person is satisfied with the proposed action
Early resolution must not be used to:
conceal a complaint
avoid recording a recurring issue
pressure someone not to complain
resolve a clinical disagreement without clinical review
prevent appropriate incident reporting
avoid safeguarding procedures
avoid considering the Duty of Candour
make promises outside the staff member’s authority
After taking action ask:
“Does this resolve your concern or would you like the matter to be considered through our formal complaints process?”
Record the concern, the action taken and whether the person considered it resolved.
If the person states they still want to complain the matter must be passed to the complaints lead.
9. Acknowledging a complaint
Unless a complaint is anonymous it should be acknowledged.
The acknowledgement should:
thank the person for contacting WMI Psychiatry
confirm that the complaint has been received
summarise the main concerns
identify the person managing the complaint
explain the next steps
state the expected response timescale
explain how updates will be provided
request any necessary clarification
ask whether reasonable adjustments are required
provide the complaint reference if used
include contact details
explain that their care will not be affected because they complained
Do not include a detailed defence or final conclusion in the acknowledgement.
If the complaint has been made on behalf of another person explain that consent or other authority may be needed before confidential information can be shared.
10. Complaints made by representatives
A complaint may be made by:
a parent
a family member
a carer
an advocate
a solicitor
another healthcare professional
someone authorised by the patient
a person acting for someone who lacks capacity
a person acting for a child or young person
Receiving information from a representative is different from disclosing information to them.
WMI Psychiatry can listen to and record a concern without immediately confirming confidential details. Before sharing information staff must establish the person’s authority.
This may require:
the patient’s consent
confirmation of parental responsibility
consideration of the young person’s competence and wishes
evidence of legal authority
consideration of the person’s best interests
advice from the complaints lead or clinician
If consent has not yet been obtained say:
“I can record the information you provide. I may not be able to discuss confidential information or provide a detailed response until we have checked the patient’s consent or your authority to act for them.”
Do not promise a parent automatic access to all information about an older child or young person. Consent and confidentiality must be considered individually.
A complaint must not be ignored simply because authority to receive confidential information has not yet been established. Record it and seek advice.
11. Children and young people
Children and young people should be supported to provide feedback or make a complaint.
Staff should:
use clear and age-appropriate language
speak directly to the young person where appropriate
ask how they would prefer to communicate
consider whether they want support from a trusted adult
avoid assuming that the parent’s view is the same as the young person’s
consider confidentiality and competence
record the young person’s own views
escalate any safeguarding concerns immediately
A young person should not be dismissed because of their age.
If the young person’s wishes differ from those of a parent do not attempt to resolve the legal or clinical questions independently. Escalate the matter to the complaints lead and responsible clinician.
12. Accessibility and reasonable adjustments
The complaints process must be accessible.
People may need:
information in plain English
Easy Read information
larger text
an interpreter
support from an advocate
communication by email rather than telephone
additional time
questions provided one at a time
support to organise their concerns
a video appointment
information in another language
assistance related to autism, ADHD, learning disability or another condition
support related to hearing, vision or speech
an alternative to an online form
Do not require everyone to use the same complaints method.
CQC expects information about how to complain to be available in appropriate formats and languages. Providers must offer the level of support needed to help someone make a complaint.
Ask:
“Is there anything we can do to make the complaints process easier for you?”
Record and provide agreed adjustments.
13. Immediate safety and safeguarding concerns
A complaint may contain urgent information even when it mainly concerns a past event.
Examples include:
a patient states they are about to end their life
a child is currently unsafe
medication has been prescribed incorrectly
a patient has developed serious physical symptoms
confidential information has been sent to the wrong person
a staff member is alleged to have abused a patient
a clinician may be practising while impaired
someone reports immediate violence or threats
a patient has been left without essential medication
the same error may be affecting other patients
The immediate priority is safety.
The administrator should:
establish whether anyone is currently at risk
follow the emergency or safeguarding procedure
alert the appropriate clinician or safeguarding lead
preserve relevant information
record the action taken
notify the complaints lead
complete an incident report where required
Do not wait for the full complaint investigation before taking protective action.
A complaint, incident report and safeguarding referral can all be required for the same event. One process does not automatically replace another.
14. Duty of Candour
The statutory Duty of Candour requires CQC-regulated providers to act openly and transparently with people receiving care.
Some complaints may reveal that a notifiable safety incident could have occurred. Administration staff are not expected to decide whether the legal threshold has been met.
Escalate promptly if a complaint indicates:
unexpected or unintended harm
possible prolonged psychological harm
a significant increase in treatment
serious injury
a death connected with care
an error which may meet the notifiable safety incident criteria
information that was withheld after something went wrong
The Registered Manager or an appropriately authorised clinician should decide whether the statutory Duty of Candour procedure applies.
Administration staff should not:
attempt to make the legal determination
delay escalation
advise staff to avoid apologising
edit records to make events appear less serious
make speculative admissions about liability
An apology can be appropriate even when the full investigation has not finished. Any formal Duty of Candour communication must follow WMI Psychiatry’s approved procedure.
15. Confidentiality and information governance
Complaint information is confidential and should only be shared with people who need it for:
investigating the complaint
protecting a patient or another person
providing clinical advice
obtaining legal or indemnity advice
meeting a statutory or regulatory requirement
implementing agreed improvements
Do not:
discuss complaints in public or informal settings
forward complaint emails to personal accounts
share screenshots through unauthorised messaging services
include unnecessary confidential information
tell unrelated staff who made a complaint
provide clinical information to a representative without checking authority
store the only copy of a complaint in an individual inbox
delete correspondence because the matter has been resolved
Where a complaint identifies a possible personal data breach follow WMI Psychiatry’s data breach procedure immediately. Do not wait for the complaint investigation.
Complaint records should be stored securely and retained in accordance with WMI Psychiatry’s retention arrangements.
16. Maintaining accurate records
The complaint record should include:
a unique reference number where used
date received
method of receipt
complainant’s name
patient’s name
relationship to the patient
contact details
communication needs
consent or authority status
a clear summary of each concern
the outcome sought
immediate risks identified
action taken
staff involved
acknowledgement date
person responsible for the investigation
agreed response date
updates provided
evidence considered
outcome of each complaint point
remedy offered
learning identified
action plan
completion of actions
final response date
external escalation information provided
Do not alter the original complaint.
If a patient disputes information within a clinical record follow the clinical records amendment procedure. Do not delete or rewrite the original entry. Any correction or additional statement must remain auditable.
Complaint records should be factual. Avoid judgemental descriptions such as:
“attention-seeking”
“just trying to get a refund”
“a difficult parent”
“probably exaggerating”
“known to complain”
“unreasonable because they were upset”
Describe observable behaviour and actual words where relevant.
For example:
“The caller spoke loudly and repeatedly interrupted. I explained that I wanted to understand the complaint and asked whether we could take each point in turn.”
17. Supporting the investigation
The complaints lead may ask administration staff to:
provide relevant emails
produce appointment records
confirm dates and times
provide telephone notes
explain the administrative process followed
prepare a factual statement
identify the policy in force at the time
assist with a chronology
contact the complainant to arrange a meeting
monitor agreed actions
When preparing information:
be honest
distinguish memory from documented fact
state when you do not remember
do not speculate
do not coordinate accounts with other staff
preserve original records
identify any mistake you made
provide the information promptly
raise any conflict of interest
The person investigating the complaint should be sufficiently impartial. A staff member who is directly complained about should not decide the outcome of that complaint.
Staff must be treated fairly. The existence of a complaint does not automatically mean that a staff member acted incorrectly. Investigations should consider all relevant evidence.
18. Keeping the complainant informed
Complainants should know:
who is managing their complaint
what issues are being considered
what information may be needed
when they can expect a response
what to do if there is a delay
how they will receive the final response
If the investigation will not be completed within the stated timescale contact the person before the deadline where possible.
Explain:
why more time is needed
what remains outstanding
the revised expected date
when the next update will be provided
Do not allow a complaint to remain unanswered because another staff member has not responded. Escalate missed internal deadlines to the complaints lead.
19. Final responses and remedies
The final response should normally be issued by the person authorised under WMI Psychiatry’s Complaints Policy.
A good response should:
use clear and compassionate language
summarise the complaint
address each main concern
explain how the matter was investigated
identify the evidence considered
explain what happened
explain what should have happened
state whether each complaint point was upheld, partly upheld or not upheld
acknowledge uncertainty where evidence is inconclusive
apologise where appropriate
describe action already taken
describe further learning or improvement
explain any remedy offered
explain what the person can do if they remain dissatisfied
Possible remedies include:
an apology
a clear explanation
correction of information
completion of an overdue action
reconsideration of a decision
a service improvement
staff training
a policy change
a refund or financial remedy where authorised
an opportunity to discuss the outcome
A complaint should not be upheld merely to end a difficult conversation. It should not be rejected to protect the organisation’s reputation. Conclusions must be based on the available evidence.
Administration staff should not issue the final response unless this responsibility has been specifically delegated.
20. External escalation
The final response should explain the appropriate next step if the complainant remains dissatisfied.
WMI Psychiatry must specify its approved external escalation route here:
Internal review stage: [INSERT DETAILS]
Independent review or adjudication route: [INSERT DETAILS]
Professional regulator where relevant: [INSERT DETAILS]
CQC information: [INSERT APPROVED WORDING]
CQC regulates services and uses information about people’s experiences to inform its work. It does not normally investigate or resolve individual complaints on a person’s behalf. A complainant may still share information about their care with CQC. CQC: Complain about a service or provider
The Parliamentary and Health Service Ombudsman considers complaints about NHS-funded healthcare in England. It is not normally the external adjudicator for privately funded care.
Independent Sector Complaints Adjudication Service information should only be included if WMI Psychiatry is subscribed to an appropriate scheme and the complaint falls within that scheme.
Never direct a patient to an external organisation without checking that it is the correct organisation for the service and funding arrangement involved.
WMI Psychiatry must cooperate appropriately with CQC, an independent adjudicator, a commissioner or another authorised organisation reviewing a complaint.
If CQC requests a summary of complaints and related information under Regulation 16 the registered person must provide it within 28 days beginning on the day after the request is received.
21. Patient feedback
Patient feedback may be:
positive
negative
neutral
invited
spontaneous
anonymous
provided by a patient
provided by a family member or carer
collected through a survey
submitted through the website
provided during an appointment
posted publicly online
All types of feedback can provide useful information.
Positive feedback
Positive feedback can:
identify what works well
recognise good staff practice
reinforce helpful communication
support staff morale
identify processes that should be retained
provide evidence about patient experience
Positive feedback should be recorded and shared appropriately. Obtain permission before using identifiable comments publicly.
Do not publish a patient’s name, diagnosis, photograph or testimonial without appropriate consent.
Negative feedback
Negative feedback can:
identify emerging risks
reveal unclear information
highlight delays
show where reasonable adjustments are needed
identify differences between policy and practice
reveal recurring administrative problems
If negative feedback contains dissatisfaction requiring a response treat it as a complaint even if it was submitted through a survey.
Neutral feedback
Neutral suggestions may still lead to useful improvements.
For example:
“It would be helpful if appointment reminders explained which forms need to be completed beforehand.”
This may not be a complaint but it could improve the experience of future patients.
22. Collecting feedback fairly
WMI Psychiatry should not collect feedback only from patients who appear satisfied.
Feedback opportunities should be:
voluntary
accessible
available at appropriate points in the pathway
open to patients with different communication needs
designed to include children and young people where appropriate
clear about how information will be used
managed in accordance with data protection requirements
Staff must not:
pressure patients to provide positive feedback
offer preferential treatment for positive reviews
discourage critical comments
complete a feedback form for a patient without recording that support was given
select only favourable responses for internal reporting
disclose health information when responding publicly to an online review
If replying to an online review use a general response which does not confirm whether the reviewer is a patient.
For example:
“Thank you for sharing your feedback. We are sorry to hear about your experience. We cannot discuss individual care publicly. Please contact our complaints team at [INSERT CONTACT] so that we can look into your concerns.”
23. Learning from complaints and feedback
Recording a complaint is not enough. WMI Psychiatry must consider what it shows and whether change is needed.
Learning may include:
revising patient information
changing an administrative process
improving appointment reminders
clarifying fees
reviewing response times
improving reasonable adjustments
providing staff supervision or training
changing a policy
strengthening clinical escalation
improving prescription tracking
correcting a website page
auditing a wider sample of records
monitoring whether the same problem happens again
The complaints lead should identify:
individual actions
responsible persons
completion dates
evidence of completion
whether the action was effective
whether learning should be shared with the team
whether patients should be told about the improvement
Complaint themes should be reviewed over time. Several minor complaints may indicate a significant recurring problem.
Where no action is taken the reason should be recorded.
24. Managing challenging communication
A person may be angry, distressed or repetitive because they feel unheard. Remain calm and focus on the issues.
Helpful approaches include:
acknowledge the person’s feelings
speak slowly and clearly
avoid interrupting unnecessarily
summarise the complaint
explain what you can do
set realistic expectations
agree the next step
provide information in writing
take a short pause if needed
seek support from a manager
Suitable wording includes:
“I can hear that this has been very upsetting.”
“I would like to make sure each concern is recorded.”
“I cannot decide the outcome today but I can explain the complaints process.”
“I want to help. I need us to speak respectfully so that I can understand what has happened.”
Staff are not required to accept:
threats
harassment
discriminatory abuse
sexual comments
repeated personal attacks
conduct creating an immediate safety risk
If behaviour becomes abusive:
explain the expected standard of communication
give a clear warning where safe and appropriate
end the call if the behaviour continues
record what was said and done
alert a manager
follow the Unacceptable Behaviour Policy
contact emergency services if there is an immediate threat
A person’s behaviour does not remove their right to have the underlying complaint considered. Any communication restrictions must be necessary, proportionate, documented and authorised.
25. Practical scenarios
Scenario 1: A verbal complaint
A parent telephones and states:
“Nobody has replied to me for two weeks. I want to make a complaint.”
Appropriate response:
acknowledge the complaint
apologise for the experience
record the parent’s main concerns
ask what outcome they are seeking
check the patient’s details
explain the complaints process
pass the complaint to the complaints lead
arrange acknowledgement within the policy timescale
Do not require the parent to submit the complaint again by email.
Scenario 2: Dissatisfaction without the word complaint
A patient emails:
“I am extremely unhappy that I paid for an appointment and it was cancelled. I expect an explanation.”
This is a complaint because it expresses dissatisfaction and requires a response.
Do not record it only as a general enquiry.
Scenario 3: A simple concern resolved promptly
A parent reports that an appointment letter contains the wrong time. You check the system, confirm the correct time and send a corrected letter.
Ask whether this resolves their concern. Record the error and correction.
If similar errors have happened before notify the complaints lead even if the parent is satisfied.
Scenario 4: Possible immediate risk
A patient complains that their medication was changed and states they now feel severely unwell with chest pain.
Appropriate response:
treat the current symptoms as a potential emergency
establish the patient’s location
follow the emergency response procedure
alert the appropriate clinician
record the complaint
complete an incident report
notify the complaints lead
Do not focus on the complaint process while immediate safety may be at risk.
Scenario 5: Complaint made by a parent
The parent of a 17-year-old asks for a detailed explanation of the young person’s treatment. The young person has not confirmed consent.
Listen to and record the parent’s concerns. Explain that WMI Psychiatry must consider the young person’s consent and confidentiality before sharing information. Seek advice.
Do not send clinical information automatically.
Scenario 6: Alleged safeguarding concern
A young person complains that a professional behaved inappropriately during an appointment.
Appropriate response:
listen calmly
avoid leading questions
record the words used
establish whether the young person is currently safe
escalate immediately to the safeguarding lead
preserve relevant records
notify the complaints lead
follow the safeguarding and incident procedures
Do not investigate the allegation yourself or contact the person complained about for an informal explanation before safeguarding advice is obtained.
Scenario 7: Data protection concern
A patient states that they received another patient’s clinic letter.
Appropriate response:
apologise for the concern
ask them not to forward or copy the information
ask them to keep it secure
notify the data protection lead immediately
follow the data breach procedure
record the complaint
preserve evidence
notify the complaints lead
Do not ask them to delete the email before the data protection lead has advised how the incident should be managed.
Scenario 8: Public online review
A person posts a negative review which includes details of their diagnosis and medication.
Do not confirm publicly that they are a patient. Use the approved general response and invite them to contact WMI Psychiatry privately.
Pass the concerns to the complaints lead if they appear to require a response.
Scenario 9: Request for a refund
A patient complains and states they expect a full refund.
Record the outcome they are seeking. Do not promise a refund unless you have authority. Explain that the request will be considered as part of the complaint.
Scenario 10: Repeated messages
A complainant sends several emails each day which repeat the same issues.
Ensure the concerns have been recorded accurately. Explain the agreed communication plan and provide updates as promised. Seek management advice if the volume of contact significantly affects the service.
Do not ignore new safety information merely because the person has contacted the service repeatedly.
26. Key learning points
A complaint can be verbal or written.
The person does not need to use the word “complaint”.
Any staff member may receive a complaint.
Listen, check, record and escalate.
Do not insist that a verbal complaint must be put in writing.
Check for immediate safety, safeguarding and data protection concerns.
Safety action must not wait for the complaint investigation.
Early resolution must not be used to hide complaints or avoid learning.
A representative can provide information before authority to receive confidential information has been established.
Do not share confidential information without checking consent or authority.
Make the complaints process accessible and provide reasonable adjustments.
Complaining must not affect the person’s care.
Record facts and avoid judgemental descriptions.
Do not alter or delete original records.
Keep the complainant informed about delays.
Administration staff should not investigate clinical care or promise an outcome.
Complaints and feedback should lead to learning where improvement is needed.
Positive, negative and neutral feedback can all be useful.
Do not confirm publicly that an online reviewer is a patient.
Escalate complaints which may engage the Duty of Candour.
Staff are not required to accept abusive or threatening behaviour.
Knowledge assessment
Learner instructions
Choose the single best answer.
You must achieve at least 12 out of 15 to pass. Any incorrectly answered safety-critical question must be reviewed even if the overall pass mark is achieved.
Question 1
Which statement best defines a complaint?
A. Only a written letter headed “Formal Complaint”
B. Any spoken or written expression of dissatisfaction which requires a response
C. Any positive comment about the service
D. A concern raised only by a solicitor
Question 2
A patient says they are unhappy with the service but does not use the word “complaint”. What should you do?
A. Treat it only as a routine enquiry
B. Tell them to use the correct wording
C. Consider whether the communication expresses dissatisfaction requiring a response
D. Ignore it unless it is submitted through the complaints form
Question 3
A parent makes a verbal complaint by telephone. What is the appropriate response?
A. Refuse to accept it until it is submitted in writing
B. Record the complaint and read the main points back for confirmation
C. Ask them to contact CQC instead
D. Tell them verbal complaints cannot be investigated
Question 4
A complaint contains information suggesting that a child is currently at risk. What should you do first?
A. Wait for the complaint investigation
B. Ask the family to submit more evidence
C. Follow the safeguarding procedure and escalate immediately
D. Send a routine acknowledgement
Question 5
A patient complains of severe chest pain while discussing dissatisfaction with their medication. What should take priority?
A. Establishing whether the complaint is upheld
B. The immediate medical risk
C. Obtaining a written complaint
D. Discussing a refund
Question 6
A family member complains on behalf of an adult patient but the patient has not provided consent. Which statement is correct?
A. The complaint must be deleted
B. You can listen to and record the concern but must check authority before sharing confidential information
C. The family member must receive the full clinical record
D. Family members never need consent
Question 7
Which action is appropriate when resolving a simple concern quickly?
A. Avoid recording it so complaint numbers remain low
B. Take an action within your authority and check whether the person considers the matter resolved
C. Ask the person to withdraw their complaint
D. Promise that the issue can never happen again
Question 8
A patient reports receiving another patient’s clinic letter. What should you do?
A. Ask them to ignore it
B. Wait for the routine complaint investigation
C. Escalate it immediately through the data breach procedure and notify the complaints lead
D. Ask them to post the letter online as evidence
Question 9
Which statement about complaints and care is correct?
A. Future appointments can be restricted because a person complained
B. Staff can treat a complainant less favourably if the complaint is unfair
C. A complaint must not adversely affect the person’s care
D. Only upheld complaints receive respectful handling
Question 10
What should an administrator do if a complaint may involve a notifiable safety incident?
A. Decide independently whether the legal Duty of Candour threshold has been met
B. Delete the complaint until the facts are clear
C. Escalate promptly to the Registered Manager or authorised clinician
D. Avoid apologising under all circumstances
Question 11
A negative online review identifies the reviewer’s diagnosis. How should WMI Psychiatry respond publicly?
A. Confirm the person’s treatment history
B. Correct their account using the clinical record
C. Use a general response without confirming whether the person is a patient
D. Publish the relevant clinic letter
Question 12
What should happen if a complaint response will be delayed?
A. Nothing until the investigation is finished
B. The complainant should be informed of the delay and given a revised timescale
C. The original complaint should be closed
D. The complainant should contact each staff member separately
Question 13
Which is an appropriate complaint record?
A. “The parent is difficult and probably wants a refund.”
B. “The caller stated that nobody had replied for two weeks. They asked for an explanation and written response.”
C. “The patient was clearly exaggerating.”
D. “This is not a real complaint.”
Question 14
What is the purpose of reviewing complaint themes over time?
A. To identify people who complain frequently
B. To reduce the number of complaints recorded
C. To identify recurring risks and opportunities for improvement
D. To decide which complaints can be deleted
Question 15
Which summary best describes the administrator’s role?
A. Determine whether clinical care was negligent
B. Listen, check for risk, record, explain the process and escalate appropriately
C. Defend the clinic against every complaint
D. Promise the outcome requested by the complainant
