Key features of the new NHS Complaints Regulations as amended

http://www.legislation.hmso.gov.uk/si/si2004/20041768.htm (external link)

The Regulations are in five parts.

Part 1: Introduction: citation, commencement, application and interpretation

Part 2: Handling and consideration of complaints by NHS bodies

Part 3: Handling and consideration of complaints by the Healthcare Commission

Part 4: General

Part 5: transitional provision and revocations

NB The Healthcare Commission is referred to as CHAI in the regulations

Part 1: Introduction Citation, commencement and application

The amended regulations change the citation to

The National Health Service (Complaints) Amendment Regulations 2006 which came into force on I September 2006. These Regulations apply in relation to England.

Interpretation: This section defines the terms used. In these Regulations, "the Principal Regulations" means the National Health Service (Complaints) Regulations 2004
NB In the 2004 regulations, the “Healthcare Commission" means the Commission for Healthcare, Audit and Inspection established under section 41 of the 2003 Act.

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Part 2: Handling and consideration of complaints by NHS bodies

This covers arrangements for the handling and consideration of complaints

• the obligation on NHS bodies and primary care providers to make arrangements for handling and considering complaints (regulation 3) April 18, 2006s arrangements: each NHS body must designate one of its members, or in the case of an NHS trust a member of its board of directors, to take responsibility for complaints (regulation 4) There is now a duty on NHS bodies to cooperate with local authorities when complaints relate in part to a local authority’s functions. This will ensure that patients and service users get a more integrated response when they raise concerns which cover both health and social care.
• the duty on organisations to designate a senior person who bears responsibility for ensuring effective management of and action on complaints (regulation 5) The amended regulations clarify that the complaints manager does not have to be an employee of the NHS body and may act as Complaints Manager for more than one NHS body. This will give NHS bodies more flexibility and allow them to pool resources
• the definition of complaints that may be made to primary care providers and NHS bodies (regulation 6)
• matters excluded from consideration under the arrangements (regulation 7)
• who may make a complaint and to whom, how and when (regulation 8)
• time limit for making a complaint (regulation 10)
• acknowledging and recording a complaint (regulation 11)
• investigating the complaint including arrangements for conciliation, mediation or other assistance, and keeping the complainant informed of progress (regulation 12)
• the response to the complaint which summarises the nature and substance of the complaint, describes the investigation under regulation 12 and summarising its conclusions. The response must be sent to the complainant within 25 working days beginning on the date on which the complaint was made or, where that is not possible, as soon as reasonably practicable (regulation 13).
  

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Part 3: Handling and consideration of complaints by the Healthcare Commission

• general complaints remit of the Healthcare Commission and how a complaint is to be made to the Healthcare Commission, timescales and criteria (Regulation 14). Amended Regulation 14(1A) removes complaints relating to the NHS Bursary Scheme from the remit of the Healthcare Commission. Time-limits for requesting independent review: the amended regulation also increases the time within which a complainant may request the consideration of a complaint by the Healthcare Commission from 2 months to 6 months. Requests for independent review must be made within 6 months of the end of local resolution.
• Remit of Healthcare Commission in relation to complaints about NHS foundation trusts (Regulations 15). The  amended Regulation broadens the remit of the Healthcare Commission in respect of complaints relating to NHS foundation trusts to bring it into line with complaints about NHS bodies. It also increases the time within which a complainant may request the consideration of such a complaint by the Healthcare Commission. Requests for independent review must now be made within 6 months of the end of local resolution. Independent Regulator of NHS Foundation Trusts: the amended regulation also replaces the Healthcare Commission’s obligation to send copies of all complaints about foundation trusts to the Independent Regulator with a regular reporting requirement. It enables the Healthcare Commission to send copies of complaints to the Independent Regulator, provided it has the consent of the complainant, either of its own volition, or at the request of the Independent Regulator. The Healthcare Commission will supply the Regulator of NHS Foundation Trusts (Monitor) with monthly data reports about all complaints relating to foundation trusts that have been referred for independent review. From these reports, Monitor may request further information about specific complaints. The Healthcare Commission will request permission from the complainant to release this information to Monitor and, where this is forthcoming, copy the complaint and the final independent review report to Monitor.
• Decision on handling of complaint, responses and bodies to be notified (regulation 16) The amended Regulation 16(1)(c) requires the Healthcare Commission only to consider any views given by the Independent Regulator in determining how to handle a complaint, where it has sent a copy of the complaint to the Independent Regulator.
• Investigation by the Healthcare Commission, manner, timescales and terms of reference (regulation 17)
• Composition of panels and their conduct (Regulation 18) The amended Regulation reduces the prescription of the management of independent panels used by the Healthcare Commission to hear and consider complaints.
• Report of investigation by the Healthcare Commission contents and processes (regulation 19) The amended Regulation requires the Healthcare Commission only to send an investigation report of a complaint to the Independent Regulator where the Independent Regulator requests it.

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Part 4: General

• publicity for complaints procedures (Regulation 20)
• providing information about complaints handling for monitoring purposes. Regular reports are required on the numbers of complaints received, the substance of those complaints and the action taken as a result. (Regulation 21)
• annual reports (Regulation 22).

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Part 5: Transitional provision and revocations

Part 5 covers technical detail to do with the introduction of the new processes and, importantly, the framework for managing the transition between the old and new systems.

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