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November 12, 2024

How to Avoid a Complaint or Investigation

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Prevention · All UK healthcare regulators CPD Certified

How to Avoid a Complaint or Investigation

Want to reduce your risk of a complaint or investigation before one arrives?
Start here.
A CPD-certified course for Doctors, Dentists, Nurses, Midwives,
Pharmacists
and all other Healthcare Professionals regulated by the GMC, GDC,
NMC, GPhC, HCPC, GOC, GCC, GOsC or Social Work England. Built around the causes that actually generate
concerns — communication, unmanaged expectations, thin records, boundaries, conduct
towards colleagues, and the stress and burnout that make all of them more likely
.

2CPD hours
10Sections
26Lessons
£79One-off
Buy this course — £79
Bulk buy — any 10 courses
Instant access · certificate on completion · CPD certified
✓ Instant access
✓ Certificate on completion
✓ CPD certified
✓ CPD Provider No. 13197

Who this course is for

Any healthcare professional in the UK who would rather prevent a concern than answer one. The course is taken by people in practice, on a career break, and returning after a sanction alike.

Nothing has happened, and you would like to keep it that way

The core audience. This is far easier to act on while nothing is at stake than to reconstruct inside a response.

You have had feedback you did not much like

Informal, not a complaint, but it stayed with you. That is exactly the point at which this material is most useful.

You work somewhere pressured

High volume, short appointments, chronic understaffing. The conditions that make preventable complaints more likely, and the ones you cannot change — so change what you can.

You are returning to practice

After a break, a sanction or restoration to a register, and you want the habits right from the first week rather than the first review.

You supervise or manage others

You see the same avoidable concerns recurring in your team and want a structured way to address them.

A complaint has just closed

It went nowhere, and you would rather understand how it started than assume it was bad luck.

The concerns this course speaks to

Six recurring causes, each with a section of the course behind it. Very few of them are about the standard of clinical care.

Communication

Explanations delivered accurately but too fast, in the wrong register, or without room for questions — and a person who leaves unclear about what was decided.

Unmanaged expectations

What a treatment would achieve, how long a wait would be, who would make contact. Most complaints about outcomes are complaints about a gap between expectation and event.

Thin records

Where the notes cannot show what was discussed or agreed, you are left arguing from memory against someone else’s memory, and that is not a contest you win.

Boundaries

Examinations not explained, chaperones not offered, contact through personal accounts, and relationships that drifted rather than were decided.

Manner and respect

Brusqueness under pressure, appearing irritated by questions, or treatment that felt undignified. Rarely rudeness in any dramatic sense; frequently complained about.

Honesty

Small evasions when something has gone wrong, or an explanation offered where an apology was needed. The category regulators treat most seriously if it escalates.

What the course covers

Ten sections and 26 lessons — the largest course in our range — with a summary quiz closing each of the first nine and a post-course assessment at the finish.

01

Prevention and regulatory expectations

Three lessons: the role of the UK healthcare regulators, the common causes of complaints and investigations, and the effect a concern has on a professional’s practice.

02

Competence and continuous learning

Two lessons: complaints arising from clinical mistakes, and what the regulators require on professional competence.

03

Communication with patients and colleagues

Four lessons and the single highest-yield section: active listening and empathy, tailoring communication to the person in front of you, managing expectations, and the regulators’ communication standards.

04

Documentation and record-keeping

Three lessons: why timely and accurate records matter preventively, what the regulators require, and practical strategies for keeping them.

05

Professional boundaries

Three lessons: defining boundaries, avoiding violations with patients and colleagues, and the guidance that applies.

06

Respect, dignity and non-discrimination

Three lessons: treating patients and colleagues with respect and dignity, avoiding discrimination, and the standards that govern both.

07

Honesty and integrity

Three lessons: honesty in practice, building and maintaining professional trust, and the regulatory standards on integrity.

08

Continuous development and improvement

Two lessons: taking part in improvement activity, and reflective practice and learning from feedback before it becomes a complaint.

09

Stress and burnout

Two lessons: recognising the signs, and strategies for managing stress and maintaining wellbeing — treated here as a cause of complaints rather than only a consequence.

10

Conclusion and assessment

Conclusion and takeaways, followed by a post-course assessment. Your certificate is issued on completion.

How this reduces your risk

The complaint is rarely made about the event. It is made about the reaction to being questioned

Something goes wrong or falls short. The person mentions it — often tentatively, often not calling it a complaint. And what happens in the next two minutes decides almost everything that follows. If they feel heard, a surprising proportion of concerns simply end there, including ones where something did go wrong. If they feel talked over, or defended at, the concern acquires a second grievance on top of the first, and it is usually the second that carries it to a regulator.

That is why this course spends its longest section on communication rather than on clinical standards. The preventive moves are small and unglamorous: say the unwelcome thing explicitly at the start rather than letting it be discovered; check understanding instead of assuming it; write down what was actually discussed; and when someone raises a concern, listen to it before explaining yourself. None of that requires more time than you have. Most of it takes less than the complaint would.

On completion you receive a certificate recording the course title, the CPD hours and the date — which, with your own written reflection, is suitable for appraisal, revalidation or an employer review. For courses written to your own regulator’s standards, see courses by regulator.

Read the standards yourself:
GMC: Good medical practice ↗
NMC: The Code ↗
HCPC: standards of conduct, performance and ethics ↗
GDC: Standards for the Dental Team ↗
GPhC: Standards for pharmacy professionals ↗
GOC: Standards of Practice ↗
GOsC: Osteopathic Practice Standards, Theme A ↗
Social Work England: professional standards ↗
GCC: the Code of Professional Practice ↗

Ready to start? Any UK healthcare profession; registration is not required. Instant access, 2 CPD hours, certificate on completion.

Buy this course — £79

Who wrote it

Dr Shehzad Iqbal, course facilitator and author at Probity & Ethics

Dr Shehzad Iqbal

Course facilitator and author, Probity & Ethics

Dr Iqbal has designed and delivered ethics, probity and professionalism training for UK healthcare professionals since 2020, working with registrants of all nine UK healthcare regulators, online and face to face. He combines clinical practice with formal postgraduate training in healthcare law and ethics.

MBBS · MRCS · MRCGP · Postgraduate Certificate in Healthcare Law and Ethics, University of Dundee

What causes most complaints against healthcare professionals?

Not serious misconduct, and usually not clinical error. The recurring causes are communication that left someone confused or feeling dismissed, expectations that were never explicitly managed, records too thin to show what was actually discussed, boundary lapses, and perceived rudeness.

Which is the reason prevention is a realistic aim rather than a slogan: most of what generates complaints is within your control and costs almost nothing to change. Regulators are consistent that early insight, reflective practice and following the standards materially reduce the chance of a concern becoming a formal investigation.

What these words mean

The vocabulary prevention is written in. Most of it describes something you can start doing on your next shift.

Managing expectations

Saying explicitly, at the start, what a treatment will and will not achieve, how long a wait is likely to be and who will make contact. The unwelcome thing said clearly at the outset prevents the complaint that follows from assuming it was never said.

Escalation

The movement of a concern from a passing remark to a formal complaint to a regulatory referral. Each step is a decision made by a person who felt something, and each can be stopped by how they are treated.

Contemporaneous record

A note made at the time, or as soon as possible afterwards, of what was actually discussed and agreed. Thin notes are not a records problem until something is questioned; then they are the whole problem.

Duty of candour

The professional obligation to be open when something has gone wrong: telling the person, apologising and explaining what will happen next. Meeting it early is one of the most reliable ways a concern stops where it started.

Reflective practice

Looking deliberately at feedback and at what went less well, and changing something as a result — before anyone has made a complaint about it. Every regulator asks for it, and it is far easier to evidence when nothing is at stake.

Burnout

Emotional exhaustion and reduced sense of accomplishment arising from sustained work pressure. Well known as a consequence of being complained about; treated here as a cause, because it shows up first as manner and then as corners cut.

How a concern becomes a complaint

Four steps, and the decisive one is not the first. Most concerns stop at every stage if they are met openly.

01

Something happens

Often small, often not clinical. A delay, a brusque exchange, an outcome that was not what the patient expected. At this point there is no complaint and usually no intention to make one.

02

The person feels dismissed

The decisive step. They raise it, or try to, and feel talked over, defended at, or not taken seriously. This is where most complaints are actually made — not by the original event but by the reaction to being questioned about it.

03

It goes on the record

A formal complaint. Now it is in writing, to the practice or the employer, and it has become a document that others will read. Most still stop here if handled openly.

04

It goes to the regulator

Escalation. Usually because the person felt the local response was defensive, slow, or dishonest — far more often than because the original matter was grave enough to warrant it.

Burnout as a cause, not just a consequence

Section 9 sits inside a prevention course rather than a wellbeing one, and that placement is deliberate.

The arrow runs both ways

Burnout is a well-recognised consequence of being complained about. It is also a risk factor for the behaviours that generate complaints in the first place.

It shows up as manner first

Shortness under pressure, less patience for questions, explanations cut down to the minimum. Precisely the things patients complain about.

Then as corners cut

Notes written later or not at all, checks skipped, the conversation you meant to have deferred. Each one is a thread someone can pull later.

Which makes it worth treating early

Your GP, occupational health, and the confidential services your union or professional body provides. Using them is a preventive measure, not an admission of anything. If things feel overwhelming, please speak to someone rather than carrying it alone.

Where your regulator sets the communication standard

Communication is the largest single cause of complaints, so it is worth knowing exactly where your own regulator writes it down. All nine set a standard.

GMC — domain 2

Good medical practice, revised on 30 January 2024, puts patients, partnership and communication in domain 2 at paragraphs 16 to 47. Decision-making, consent and the way information is shared all sit there rather than in a clinical domain.

NMC — standard 7

The Code requires nurses, midwives and nursing associates to communicate clearly, with standard 2 on listening to people and responding to their preferences and concerns, and standard 8 on working cooperatively with colleagues.

HCPC — standard 2

Communicate appropriately and effectively is standard 2 of the standards of conduct, performance and ethics, in force from 1 September 2024. Communication was one of the themes revised in that update, so an older copy is not a safe guide.

GDC — principle 2

Communicate effectively with patients is principle 2 of the nine in Standards for the Dental Team, with principle 6 covering working with colleagues in patients’ best interests. The GDC is explicit that all nine are equally important and not in order of priority.

GPhC — standard 3

Communicate effectively is standard 3 of the nine standards for pharmacy professionals, sitting alongside standard 2 on working in partnership with others. The domain is pharmacyregulation.org, which is not where most people look first.

GOC — standards 2 and 3

Communicate effectively with patients, and obtain valid consent, among the nineteen Standards of Practice in force from 1 January 2025. Note the domain when you go looking: the GOC is at optical.org.

GOsC — Theme A

Communication and patient partnership is Theme A of the Osteopathic Practice Standards — the only framework in this set that puts communication first of all. It opens by saying that poor communication is at the root of most patient complaints, which is this course’s argument in a regulator’s own words.

Social Work England — standards 1 and 3

There is no standalone communication standard. It sits inside standard 1, promoting the rights, strengths and wellbeing of people, families and communities, and standard 3, being accountable for the quality of your practice and the decisions you make. Language differs here too: the people you work with are service users, not patients.

GCC — a Principle of its own

The Code of Professional Practice, in force from 1 January 2026, gives communication its own Principle, requiring chiropractors to communicate professionally, properly and effectively. One caution: the principles were re-lettered when this Code replaced the 2016 one, under which communication was Principle F. Quote the wording rather than the old letter, and check the current lettering against the Code itself.

The common thread

All nine treat communication as a professional standard in its own right rather than as a soft skill. Not one of them files it under bedside manner, and every one of them can be cited in a response.

What to change this week

None of this needs a course to start. It needs deciding once and then doing consistently, which is the harder half.

01

Say the unwelcome thing first, and plainly

The wait, the limit of what a treatment will achieve, the thing you cannot do. Said at the start it is information; discovered later it is a grievance, and the complaint is usually that nobody mentioned it.

02

Check understanding rather than assuming it

Ask the person to say back what they have understood and what happens next. It takes under a minute, and it finds the misunderstanding while it is still free to fix.

03

Write down what was discussed, not only what was done

The options covered, the questions asked, what was agreed. Records that show the conversation are what turn a disputed recollection into a defensible account, and they take a sentence.

04

When someone raises a concern, listen before explaining

The single highest-value habit on this page. Explaining first reads as defending, and the defence is what most people actually complain about. Hear it out, acknowledge it, then explain if explanation is still needed.

05

Apologise for the thing that happened

Saying you are sorry that someone had a bad experience is not an admission of liability, and withholding it while you establish fault is how a small matter becomes a formal one. Where something has genuinely gone wrong, the duty of candour applies and being open early is what stops escalation.

06

Treat your own pressure as a clinical risk

If you are short with people, cutting notes and skipping the conversation you meant to have, that is a warning sign about your working conditions rather than your character. Your GP, occupational health and confidential union services exist for it, and using them early is prevention.

Frequently asked questions

What causes most complaints against healthcare professionals?

Not serious misconduct, and usually not clinical error. The recurring causes are communication that left someone confused or feeling dismissed, expectations that were never explicitly managed, records too thin to show what was discussed, boundary lapses, and perceived rudeness. Regulators are consistent that early insight, reflective practice and following the standards materially reduce the chance of a concern escalating into a formal investigation.

Is this different from How to Deal with a Complaint or Investigation?

Yes — they are a deliberate pair. This one is about prevention: reducing the chance that a complaint arises at all, and stopping the ones that do arise from escalating. The other is about responding once a concern has been raised: first steps, what not to do, hearings and reflective statements. If nothing has happened to you yet, start here. If a letter has arrived, start there.

Which professions is this course for?

All UK healthcare professionals. It is written for doctors regulated by the GMC, dentists and the dental team regulated by the GDC, nurses, midwives and nursing associates regulated by the NMC, pharmacists and pharmacy technicians regulated by the GPhC, HCPC-registered professionals, optometrists and dispensing opticians regulated by the GOC, chiropractors regulated by the GCC, osteopaths regulated by the GOsC, and social workers. What generates complaints is remarkably consistent across all of them.

I am not currently registered — can I still do the course?

Yes. There is no registration check and no requirement to be on any register. The course is taken by people who are suspended, off a register, or working towards restoration as well as by registrants in practice — and for someone returning to work after a break or a sanction, prevention is exactly the right subject.

What actually turns a concern into a formal complaint?

How the person was treated when they first raised it. Something goes wrong, they mention it, and they feel talked over or defended at rather than heard — and that is the step at which most complaints are really made. A patient who feels genuinely listened to very often does not escalate, even where something did go wrong. Section 3 covers exactly this ground.

Can managing expectations really prevent complaints?

It is one of the most effective things available, and one of the least done. A great many complaints are about a gap between what someone expected and what happened, rather than about the care itself — waiting times, what a treatment would achieve, what would happen next, who would contact them. Saying the unwelcome thing clearly at the start prevents the complaint that follows from assuming it was never said.

If I apologise, am I admitting I did something wrong?

No, and the belief that it is an admission is one of the commonest reasons a small matter becomes a formal one. Saying you are sorry that someone had a bad experience acknowledges their experience rather than accepting fault, and it is what most people raising a concern are actually looking for. Where something has genuinely gone wrong, the professional duty of candour goes further and requires you to be open about it, apologise and explain what happens next — so the choice is not between apologising and protecting yourself. If a formal complaint or investigation is already under way, take advice from your indemnity provider or defence organisation on the wording before you send anything.

Where does my regulator set its communication standard?

All of them set one, in different places. The GMC puts patients, partnership and communication in domain 2 of Good medical practice at paragraphs 16 to 47. The NMC has standard 7, with standard 2 on listening. The HCPC has standard 2, revised on 1 September 2024. The GDC has principle 2, the GPhC standard 3, and the GOC standards 2 and 3. The GOsC makes it Theme A, first of the four Osteopathic Practice Standards themes, and opens by saying poor communication is at the root of most patient complaints. Social Work England has no standalone communication standard; it sits inside standards 1 and 3. The GCC gives communication its own Principle under the Code of Professional Practice in force from 1 January 2026.

How does stress and burnout fit into a course about complaints?

Because the causal arrow runs both ways. Burnout is a well-recognised consequence of being complained about, but it is also a risk factor for the behaviours that generate complaints: shortness under pressure, corners cut on documentation, less patience for questions. Section 9 treats it as a preventive measure rather than an afterthought, which is unusual and correct.

Does it cover documentation and boundaries as well?

Yes — Section 4 on timely and accurate record-keeping, and Section 5 on defining and maintaining professional boundaries with patients and colleagues. Both are among the commonest preventable causes. If either is the specific area you want to work on, our Documentation and Professional Boundaries courses go considerably deeper.

Is this worth doing if I have never had a complaint?

That is precisely who it is for. The material is preventive, and it is far easier to change how you explain things, record them and manage expectations while nothing is at stake than to reconstruct all of it in a response. It also counts as verifiable CPD in the meantime, so the time is not spent solely on a risk that may never materialise.

Will this guarantee I never get a complaint?

No, and any course claiming otherwise should be treated with suspicion. A great deal about whether a complaint arises is outside any individual’s control — the pressure of the service, an outcome nobody could have prevented, or simply someone who was going to complain whatever happened. What the material can do is remove the preventable causes, which are the majority, and make the concerns that do arise far more likely to stop at the first conversation.

Can I use it for appraisal, revalidation or my CPD return?

Yes. The certificate and your written reflection are structured CPD evidence, suitable for appraisal, revalidation or renewal, and employer review. Complaint prevention and reflective practice map readily onto most regulators’ standards and domains.

Is this course approved or endorsed by a regulator?

No. No UK healthcare regulator approves, accredits or endorses courses from any provider, including us, and none of them keeps an approved list. The course is certified by The CPD Certification Service, an independent accreditation body, under Provider No. 13197.

How long does it take, and does it count towards CPD?

It carries 2 CPD hours across ten sections and 26 lessons — the largest course in our range — with a summary quiz closing each of the first nine sections and a post-course assessment at the end. The certificate is CPD-certified by The CPD Certification Service. It is self-paced.

Is it “fitness to practise” or “fitness to practice”?

Both are in use. In British English practise is the verb and practice is the noun, so the regulators write fitness to practise, and this page follows them. Most people searching for help type fitness to practice, and plenty of professional bodies use that spelling too. They mean the same thing, and nothing turns on which you use in your own response.

How to Deal with a Complaint or Investigation

The companion course: what to do once a concern has been raised — first steps, what not to do, and hearings.

2 CPD hours · £79
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Ensuring Effective Communication as Healthcare Professionals

The highest-yield area for prevention, in depth: manner, explanations that land, and difficult conversations.

2 CPD hours · £79
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Professionalism in Documentation

Records that show what was discussed and agreed — the difference between a defensible complaint and an indefensible one.

2 CPD hours · £79
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Professional Boundaries for Clinicians

Intimate examinations, chaperones, drift and dual relationships, in far more detail than Section 5.

2 CPD hours · £79
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Duty of Candour in Healthcare Practice

Being open when something goes wrong, which is very often what stops it becoming a complaint.

2 CPD hours · £79
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Ensuring Dignity and Non-Discrimination as Healthcare Professionals

Respect, dignity and non-discrimination, where the regulators’ expectations run wider than the law’s.

2 CPD hours · £79
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Ensuring Clinical Competence and Patient Safety

Working within your competence, incident reporting, and the safety culture that prevents harm.

2 CPD hours · £79
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Probity for Healthcare Professionals

Honesty and integrity in records, money and declarations — Section 7 in depth.

2 CPD hours · £79
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How to Avoid a Complaint or Investigation

This course. The preventable causes, the escalation ladder, and the small changes to communication, records and expectations that stop concerns arising.

2 CPD hours · £79
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Probity & Ethics is an independent CPD provider. We are not affiliated with, accredited by, or endorsed
by any UK healthcare regulator. This course covers preventing complaints and investigations.
No course can guarantee that a complaint will not be made, because a great deal about whether one
arises is outside any individual’s control
. No course determines the outcome of a fitness to
practise case either. This is not legal or regulatory advice — if a concern has already been raised about
you, or you are applying for restoration, take advice from your indemnity provider, defence organisation or
union before responding to anyone.

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