Complaint record keeping failures
Failures in maintaining accurate and procedural records for managing complaints in residential care homes.
86 items
1 source
24 inquiries
Source spread
Where this theme appears
Complaint record keeping failures has been flagged across 1 independent accountability source:
86 inquiry recs
This theme has been identified in one data source. As more data is added, cross-references may emerge.
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Source-grouped records are useful for tracing where a concern came from. Large sections show the 50 strongest matches for that source; counts still show the full theme total.
Inquiry Recommendations (86) — showing 50 strongest matches
43 — Church in Wales record-keeping policies
Recommendation: The Church in Wales should introduce record-keeping policies relating to safeguarding, complaints and whistleblowing. These should be implemented consistently across dioceses. The Church should develop policies and training on the information that must be recorded in files. The Church should …
Gov response: On 7 April 2021, the Church in Wales stated that its national online safeguarding case management and record-keeping system had launched, serving as a single searchable repository of all Church in Wales safeguarding and whistleblowing …
Accepted
AFA-1 — Patient focus and complaints
Recommendation: The Inquiry recommends that the Trust and Department work together to ensure there is: • A specific programme of work to strengthen patient involvement, improve communication, and ensure patients and families are treated as partners in care. • Direct communication …
Response Pending
R40 — Record all complaints in electronic system
Recommendation: In HSCTs all complaints, regardless of whether they are resolved immediately at ward level, should be recorded in the Trust’s electronic complaints management system. In private and third sector facilities the Registered Home Manager should be informed of all concerns …
Response Pending
F133 — Role of commissioners in complaints
Recommendation: Commissioners should be entitled to intervene in the management of an individual complaint on behalf of the patient where it appears to them it is not being dealt with satisfactorily, while respecting the principle that it is the provider who …
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted in Part
F121 — Learning and information from complaints
Recommendation: The Care Quality Commission should have a means of ready access to information about the most serious complaints. Their local inspectors should be charged with informing themselves of such complaints and the detail underlying them.
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted
F120 — Learning and information from complaints
Recommendation: Commissioners should require access to all complaints information as and when complaints are made, and should receive complaints and their outcomes on as near a real-time basis as possible. This means commissioners should be required by the NHS Commissioning Board …
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted in Part
F119 — Learning and information from complaints
Recommendation: Overview and scrutiny committees and Local Healthwatch should have access to detailed information about complaints, although respect needs to be paid in this instance to the requirement of patient confidentiality.
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted
F118 — Learning and information from complaints
Recommendation: Subject to anonymisation, a summary of each upheld complaint relating to patient care, in terms agreed with the complainant, and the trust's response should be published on its website. In any case where the complainant or, if different, the patient, …
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted in Part
F115 — Investigations
Recommendation: Arms-length independent investigation of a complaint should be initiated by the provider trust where any one of the following apply: A complaint amounts to an allegation of a serious untoward incident; Subject matter involving clinically related issues is not capable …
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted in Part
F114 — Complaints handling
Recommendation: Comments or complaints which describe events amounting to an adverse or serious untoward incident should trigger an investigation.
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted
F113 — Complaints handling
Recommendation: The recommendations and standards suggested in the Patients Association's peer review into complaints at the Mid Staffordshire NHS Foundation Trust should be reviewed and implemented in the NHS.
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted
L14 — Free Complaints Process
Recommendation: It should continue to be the case that complainants are able to bring complaints free of charge.
Gov response: The Prime Minister stated on 29 November 2012 that he accepted "the principles that Lord Justice Leveson has laid out" for independent self-regulation, including "an independent board, a standards code, an arbitration service and the …
Accepted in Part
L13 — Complaints Committee Composition
Recommendation: Serving editors should not be members of any Committee advising the Board on complaints and any such Committee should have a composition broadly reflecting that of the main Board, with a majority of people who are independent of the press.
Gov response: The Prime Minister stated on 29 November 2012 that he accepted "the principles that Lord Justice Leveson has laid out" for independent self-regulation, including "an independent board, a standards code, an arbitration service and the …
Accepted in Part
L12 — Complaint Decision Responsibility
Recommendation: Decisions on complaints should be the ultimate responsibility of the Board, advised by complaints handling officials to whom appropriate delegations may be made.
Gov response: The Prime Minister stated on 29 November 2012 that he accepted "the principles that Lord Justice Leveson has laid out" for independent self-regulation, including "an independent board, a standards code, an arbitration service and the …
Accepted in Part
L11 — Power to Hear Complaints
Recommendation: The Board should have the power to hear and decide on complaints about breach of the standards code by those who subscribe. The Board should have the power (but not necessarily in all cases depending on the circumstances the duty) …
Gov response: The Prime Minister stated on 29 November 2012 that he accepted "the principles that Lord Justice Leveson has laid out" for independent self-regulation, including "an independent board, a standards code, an arbitration service and the …
Accepted in Part
L10 — Complaint Handling Mechanism
Recommendation: The Board should require all those who subscribe to have an adequate and speedy complaint handling mechanism; it should encourage those who wish to complain to do so through that mechanism and should not receive complaints directly unless or until …
Gov response: The Prime Minister stated on 29 November 2012 that he accepted "the principles that Lord Justice Leveson has laid out" for independent self-regulation, including "an independent board, a standards code, an arbitration service and the …
Accepted in Part
13 — Improve complaints handling
Recommendation: The University Hospitals of Morecambe Bay NHS Foundation Trust should review the structures, processes and staff involved in responding to complaints, and introduce measures to promote the use of complaints as a source of improvement and reduce defensive 'closed' responses …
Gov response: [A] Recommendations for the Trust Recommendations for the Trust: 1-18 1. The Morecambe Bay Investigation found that there were serious failures in clinical care at University Hospitals Morecambe Bay NHS Foundation Trust, causing avoidable harm …
Accepted
5 — Reform Church of England clergy discipline for safeguarding
Recommendation: The Church of England should make changes and improvements to the way in which it responds to safeguarding complaints (whether related to allegations of abuse, or a failure to comply with or respond to the Church's safeguarding policies and procedures) …
Gov response: On 29 March 2021, a joint response from the National Safeguarding Steering Group, the House of Bishops and the Archbishops' Council endorsed the proposals of the Clergy Discipline Measure working group to replace Clergy Discipline …
Accepted
No update 2+ yrs
R42 — Regular updates on complaint progress
Recommendation: Complainants must be regularly updated and informed of the progress of any investigation, including when the process concludes without a specific finding.
Response Pending
R41 — Inform complainants of complaint management process
Recommendation: Complainants should immediately be informed of how their complaint will be managed (locally or through the corporate complaints process) along with a clear explanation of the corresponding level of investigation and oversight this entails.
Response Pending
WATE-(18) — Appoint senior officer to strategise serious staff misbehaviour complaints
Recommendation: When a complaint alleges serious misbehaviour by a member of staff, the Director of Social Services should appoint a senior officer to formulate an overall strategy for dealing with the complaint, including such matters as liaison with the police in …
Unknown
WATE-(4) — Define specific duties for Children's Complaints Officers, prioritising child's best interests
Recommendation: Amongst the duties of the Children's Complaints Officer should be: (a) to act in the best interests of the child; (b) on receiving a complaint, to see the affected child and the complainant, if it is not the affected child; …
Unknown
WATE-(3) — Require appointment of independent Children's Complaints Officer in every social services authority
Recommendation: Every social services authority should be required to appoint an appropriately qualified or experienced Children's Complaints Officer, who should not be the line manager of residential or other staff who may be the subject of children's complaints or complaints relating …
Unknown
BRIS-36 — Establish independent, swift, and thorough complaints handling with advocacy for patients
Recommendation: Complaints should be dealt with swiftly and thoroughly, keeping the patient (and carer) informed. There should be a strong independent element, not part of the trust’s management or board, in any body considering serious complaints which require formal investigation. An …
Unknown
R33 — Nursing complaint investigation
Recommendation: Health Boards should ensure that where a complaint is made about nursing practice on a ward this complaint is investigated by an independent senior member of Nursing Management.
Gov response: Section 4.1 of the Scottish Government's response acknowledges the report's finding of 'poor complaint management by nursing teams,' which forms the substance of recommendation 33. While the response generally accepts recommendations relating to nursing care, …
Accepted
6a — Communicating complaint escalation
Recommendation: We recommend that information about the means to escalate a complaint to an independent body is communicated more effectively in both the NHS and the independent sector.
Gov response: Accepted. NHS complaints processes now more clearly signpost to Parliamentary and Health Service Ombudsman. Independent Healthcare Providers Network has agreed to ensure members inform patients about Independent Sector Complaints Adjudication Service (ISCAS). CQC monitors complaints …
Accepted
F259 — Role of the Health and Social Care Information Centre
Recommendation: The Information Centre, in consultation with the Department of Health, the NHS Commissioning Board and the Parliamentary and Health Service Ombudsman, should develop a means of publishing more detailed breakdowns of clinically related complaints.
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted
F134 — Role of commissioners in provision of support for complainants
Recommendation: Consideration should be given to whether commissioners should be given responsibility for commissioning patients' advocates and support services for complaints against providers.
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted
F117 — Support for complainants
Recommendation: A facility should be available to Independent Complaints Advocacy Services advocates and their clients for access to expert advice in complicated cases.
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted in Part
F116 — Support for complainants
Recommendation: Where meetings are held between complainants and trust representatives or investigators as part of the complaints process, advocates and advice should be readily available to all complainants who want those forms of support.
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted
F109 — Effective complaints handling
Recommendation: Methods of registering a comment or complaint must be readily accessible and easily understood. Multiple gateways need to be provided to patients, both during their treatment and after its conclusion, although all such methods should trigger a uniform process, generally …
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted
L20 — Compliance Record Keeping
Recommendation: The Board should have both the power and a duty to ensure that all breaches of the standards code that it considers are recorded as such and that proper data is kept that records the extent to which complaints have …
Gov response: The Prime Minister stated on 29 November 2012 that he accepted "the principles that Lord Justice Leveson has laid out" for independent self-regulation, including "an independent board, a standards code, an arbitration service and the …
Accepted in Part
34 — CQC and PHSO memorandum of understanding
Recommendation: The relationship between the investigation of individual complaints and the investigation of the systemic problems that they exemplify gave us cause for concern, in particular the breakdown in communication between the Care Quality Commission and the Parliamentary and Health Service …
Gov response: 90. We accept this recommendation. The Investigation found that the lack of co ordination between the Care Quality Commission and the Parliamentary and Health Service Ombudsman was a contributory factor to the ongoing inability of …
Accepted
31 — Fundamental review of NHS complaints system
Recommendation: The NHS complaints system in the University Hospitals of Morecambe Bay NHS Foundation Trust failed relatives at almost every turn. Although it was not within our remit to examine the operation of the NHS complaints system nationally, both the nature …
Gov response: 72. We accept this recommendation in principle and recognise that there are still challenges to overcome if we are to see improvements in the way complaints are handled in the NHS. However, we do not …
Accepted
RHI-28 — Record Keeping Culture and Audit
Recommendation: The culture and practice of record keeping and access to records within the Northern Ireland Civil Service needs to change so that staff responsible for a given area of work have easy access to the analysis and decisions underpinning the …
Gov response: [Note: The NI Executive responded to recommendations 8-18, 24, 26-28, 32b, 34-36 together as a group under the 'Professional Skills, Resourcing, Record Keeping and Raising Concerns' themes.] NI Executive Response (October 2021): These recommendations can …
Accepted
No update 2+ yrs
BAHA-17 — CPErS Complaints Procedure
Recommendation: JDP 1-10 should incorporate the requirement that on entry to and exit from a theatre level detention facility, CPErS are proactively asked whether or not they have any complaints concerning their treatment. This should not be done in the presence …
Gov response: Accepted. Procedures for proactively seeking CPErS complaints have been incorporated into doctrine.
Accepted
R87 — PCC awareness of statutory functions
Recommendation: The PCC should take further steps to ensure that health service users, including carers and families of people with learning disabilities and autistic people, are aware of its statutory functions and the assistance it is required to provide with respect …
Response Pending
SP60 — School safeguarding recording systems
Recommendation: The Department for Education should ensure (either by direct guidance or through Ofsted) that all schools are required to record safeguarding information in a system that is fit for purpose.
Gov response: Department for Education (DfE) is the lead department and has completed this recommendation. Progress and next steps: - We already require schools and colleges to record safeguarding information, as set out in Keeping Children Safe …
Accepted
WATE-(15) — Maintain log of children's home incidents at police station for social services
Recommendation: A log of all incidents, disturbances, reports, complaints and absconsions at a children's home should be kept at an appropriate nearby police station and made accessible, when required, to officers of the Social Services Department.
Unknown
WATE-(7) — Ensure comprehensive and impartial complaints procedures for looked after children
Recommendation: Such complaints procedures should: (a) be neither too prescriptive nor too restrictive in categorising what constitutes a complaint; (b) encompass a wide variety of channels through which complaints by or relating to looked after children may be made or referred …
Unknown
WATE-(6) — Local authorities promote awareness of complaints procedures for looked after children
Recommendation: Every local authority should promote vigorously awareness by children and staff of its complaints procedures for looked after children and the importance of applying them conscientiously without any threat or fear of reprisals in any form.
Unknown
LAMI-69 — Record all discussions, including phone calls, in child deliberate harm case notes.
Recommendation: When concerns about the deliberate harm of a child have been raised, a record must be kept in the case notes of all discussions about the child, including telephone conversations. When doctors and nurses are working in circumstances in which …
Unknown
BRIS-35 — Create a 'one-stop shop' system in every trust for patient concerns
Recommendation: There should be a clear system, in the form of a ‘one-stop shop’ in every trust, for addressing the concerns of a patient about the care provided by, or the conduct of, a healthcare professional.
Unknown
CLAR-3 — Remind agencies to keep detailed, accurate records, especially mortuary documentation
Recommendation: We would like to remind all agencies of the importance of keeping detailed and accurate records. Particular attention should be given to the correct documentation of proceedings in the mortuary.
Unknown
R32 — Staffing concerns escalation
Recommendation: Health Boards should ensure that there is straightforward and timely escalation process for nurses to report concerns about staffing numbers/skill mix.
Gov response: Section 4.1 of the Scottish Government's response highlights that the NMC code requires registered nurses and midwives to escalate concerns regarding patient safety or the level of care. To support this, a national whistleblowing policy, …
Accepted
6b — Mandatory independent complaint resolution
Recommendation: We recommend that all private patients should have the right to mandatory independent resolution of their complaint.
Gov response: Accepted in principle. Government supports principle but further work needed on implementation mechanism. ISCAS membership has grown significantly since the inquiry. Government is considering whether legislative change is needed to make independent adjudication mandatory for …
Accepted in Part
F251 — Regulatory oversight of quality accounts
Recommendation: The Care Quality Commission and/or Monitor should keep the accuracy, fairness and balance of quality accounts under review and should be enabled to require corrections to be issued where appropriate. In the event of an organisation failing to take that …
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted in Part
F250 — Accountability for quality accounts
Recommendation: It should be a criminal offence for a director to sign a declaration of belief that the contents of a quality account are true if it contains a misstatement of fact concerning an item of prescribed information which he/she does …
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted in Part
F249 — Accountability for quality accounts
Recommendation: Each quality account should be accompanied by a declaration signed by all directors in office at the date of the account certifying that they believe the contents of the account to be true, or alternatively a statement of explanation as …
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted in Part
F248 — Accountability for quality accounts
Recommendation: Healthcare providers should be required to have their quality accounts independently audited. Auditors should be given a wider remit enabling them to use their professional judgement in examining the reliability of all statements in the accounts.
Gov response: The government published "Hard Truths: the Journey to Putting Patients First" (Cm 8777) on 19 November 2013, responding to all 290 recommendations of the Francis Report. This followed an initial response "Patients First and Foremost" …
Accepted