Every orthodontic practice receives complaints, and the Care Quality Commission (CQC) does not expect you to avoid them. It expects you to have a complaints procedure that is easy for patients to find and use, that is followed in practice, and that leads to learning. This guide explains what a CQC-compliant complaints procedure for an orthodontic practice in England needs to contain, how NHS and private complaints differ, and how to build a log that stands up when an inspector asks to see it. It focuses on the CQC and General Dental Council (GDC) expectations that apply to dental providers; it is not legal advice, and you should check current guidance for your own circumstances. Key takeaway CQC Regulation 16 requires a registered provider to have an accessible system for identifying, receiving, recording, handling and responding to complaints, and to investigate them and take action where problems are found. A written policy on its own is not enough. Inspectors look for evidence that the process is used: a complaints log, response letters, and examples of changes made as a result. Regulation 16 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 requires registered providers to operate an effective system for receiving and acting on complaints. In practice, the CQC assesses complaints handling mainly under the Responsive key question, and a weak process can also affect the Well-led rating because it points to a governance gap. The regulation expects that complaints are investigated thoroughly and in a timely way, that the complainant is told the outcome, that action is taken where a problem is identified, and that nobody is treated worse for complaining. Separately, the GDC's Standards for the Dental Team require every registered dental professional to make sure there is an effective complaints procedure readily available for patients, to respond to complaints politely and constructively, and to cooperate with any investigation. A practice with a CQC-compliant process will normally be meeting the GDC expectation too. NHS patients and private patients are signposted to different external bodies, so your procedure must explain both routes. Many orthodontic practices treat both groups, so a single policy needs two clear escalation paths. NHS patients Private patients Because the external routes and their processes can change, always check the current details on the GDC, CQC and NHS websites before printing patient information. Fewer complaints start with clearer expectations Many orthodontic complaints trace back to misunderstood cost, duration or what was agreed at consent. Showing patients a transparent assessment and quote before their first visit helps set expectations early. See how it works → A complaints policy should be short enough that a patient can read it and detailed enough that a new team member can follow it. Aim for a single clear document, plus a one-page patient leaflet. Keep the policy under version control with a review date, and note the date it was last reviewed. Out-of-date contact details for external bodies are one of the more common small findings in dental governance reviews. A short written acknowledgement within three working days, naming the person dealing with the complaint, is good practice for private complaints and a requirement under NHS rules for NHS complaints. It tells the complainant they have been heard before the facts are known. Pull the clinical record, consent form, treatment plan, appointment history and any messages exchanged. In orthodontics, the written treatment plan and the signed consent are often the key documents, so make sure they are complete before a complaint arises. Our guides on the orthodontic consent process and explaining a treatment plan cover what good records look like. A good response apologises where something went wrong, explains what happened, says what the practice has changed, and tells the complainant where to go next if they are still unhappy. Avoid defensiveness and jargon. If an offer such as a refund, a free review appointment or a remedial treatment is appropriate, set it out clearly. Consider telling your indemnity provider early if a complaint suggests a possible claim. Where a notifiable safety incident has occurred, Regulation 20 (duty of candour) applies in addition to the complaints regulation. Be open with the patient about what happened and offer an apology. Most orthodontic complaints concern communication, cost, duration and outcome expectations rather than clinical negligence. Recognising the patterns helps you prevent them. Our articles on managing difficult consultations and handling negative reviews look at how to defuse these situations before they become formal complaints. Inspectors want to see that complaints change what you do. Keep a simple complaints log with date received, nature of complaint, whether NHS or private, response date, outcome, and action taken. Review it at a regular team meeting, record the discussion and note any changes. Important Do not treat the log as a place to hide problems. A practice with a log showing no complaints for years may be asked how it captures verbal complaints and informal feedback. A thin log can look worse than an honest one with clear actions. Give patients clearer information from day one Virtual Consultant Online helps patients understand their options, costs and likely timelines before they book, so fewer misunderstandings turn into complaints.What does the CQC require for dental complaints?
Requirement What an inspector wants to see Accessible procedure A written policy patients can find without asking, such as on the website, in the waiting area and in the patient information pack Named responsible person A named complaints lead and a deputy for when they are away Acknowledgement and timescales Written timescales, and evidence that acknowledgements and responses met them Recording A log of every complaint, including verbal ones, with dates and outcomes Learning Examples of changes made after a complaint, and a record that the team discussed them Signposting Clear information about where the complainant can go if they remain dissatisfied How do NHS and private complaints differ?
What should be in the written procedure?
How should you run an investigation?
Acknowledge quickly
Gather the facts
Respond in plain English
Remember the duty of candour
Which orthodontic complaints come up most often?
How do you turn complaints into evidence of learning?
How to Set Up a CQC-Compliant Complaints Procedure for Your Orthodontic Practice
Published · 7 min read · by Virtual Consultant Online
Complain to the practice, or to the commissioner (the integrated care board or NHS England team acting for it)
Under the NHS complaints regulations, the complaint is acknowledged within three working days and the complainant receives a written response
Normally within 12 months of the event, or of becoming aware of it
If still unhappy, the Parliamentary and Health Service Ombudsman reviews the case
Complain to the practice using the practice procedure
The practice should acknowledge promptly and respond within its published timescale
If unresolved, the patient can seek help from the Dental Complaints Service, run by the GDC, if it remains available, or a private dental complaints scheme your practice subscribes to
Serious concerns about an individual's fitness to practise can be raised with the GDC
How to complain: by phone, in person, in writing or by email, and to whom. Accept verbal complaints and record them.
Who is responsible: the named complaints lead, with their role and contact route.
Timescales: how quickly you will acknowledge, how long you expect an investigation to take, and what you will do if it will take longer.
What happens next: who investigates, whether the clinician involved is consulted, and how the response is written.
Support for the complainant: an offer to meet, and acceptance that they may bring someone with them.
Escalation: where to go if the complaint is not resolved, with separate routes for NHS and private patients.
No detriment: a statement that making a complaint will not affect the patient's care.
Treatment taking longer than first estimated, which usually points to expectations set at consent or missed appointments.
Disagreement about what was included in the fee, including retainers, refinements and replacement appliances.
Difficulty getting through by phone or getting an emergency appointment.
Dissatisfaction with the final result, including relapse after debond, which links to the importance of retainer compliance.
Feeling pressured or not fully informed about options.
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References
CQC guidance on what registered providers must do to receive, record, investigate and respond to complaints.
Care Quality Commission - Regulation 16: Receiving and acting on complaintsThe GDC standards, including the expectation that patients have access to an effective complaints procedure.
General Dental Council - Standards for the Dental TeamInformation on how NHS complainants can escalate unresolved complaints to the Ombudsman.
Parliamentary and Health Service Ombudsman - Complaining about the NHSCQC guidance on what registered providers must do to receive, record, investigate and respond to complaints.
Care Quality Commission - Regulation 16: Receiving and acting on complaintsThe GDC standards, including the expectation that patients have access to an effective complaints procedure.
General Dental Council - Standards for the Dental TeamInformation on how NHS complainants can escalate unresolved complaints to the Ombudsman.
Parliamentary and Health Service Ombudsman - Complaining about the NHS