National Health Service (Complaints) Amendment Regulations 2006

http://www.opsi.gov.uk/si/si2006/20062084.htm

These Regulations are an amendment to the NHS (Complaints) Regulations 2004 (SI 2004/1768) (“the Principal Regulations”) (external link). The Principal Regulations, as amended, are the statutory framework for managing complaints against NHS Bodies.

The Amendment Regulations apply to Primary Care Trusts, Strategic Health Authorities, NHS Trusts and Special Health Authorities. They also apply to Foundation Trusts with regard to the Healthcare Commission’s role in dealing with complaints about them in certain situations (Regulation 9).

Key features of the new NHS complaints regulations as amended

The amended 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.

Amendments to this part

REGULATION 3 – AMENDMENT OF REGULATION 2 OF THE PRINCIPAL REGULATIONS

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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)
• responsibility for complaints 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).

REGULATION 4 – INSERTION OF NEW REGULATIONS 3A AND 3B INTO THE PRINCIPAL REGULATIONS

4. After regulation 3 (arrangements for the handling and consideration of complaints) of the Principal Regulations, insert -
“Complaints made to an NHS Body relating in part to a local authority
3A. (1) Paragraph (2) applies where it appears to a NHS Body considering a complaint which falls within regulation 9 that the complaint contains material which, fall to be handled by that authority under the Social Care Complaints Regulations.
(2) The NHS body must, as regards that part of the complaint which would appear to be a complaint for the purposes of the Social Care Complaints Regulations (“the local authority complaint”) –
(a) within 10 working days of receipt pf the complaint, ask the complainant whether he wishes details of the local authority complaint to be sent to the local authority to which it relates; and
(b) if the complainant does so wish, send details of the local authority complaint to that local authority as soon as reasonably practicable.
(3) In the case of a complainant to which paragraph (2) applies, the NHS body must notify the complainant –
(i) which part of the complaint will be handled in accordance with the procedure described in these Regulations; and
(ii) in a case where it has sent details of the local authority complaint to the local authority, that it has sent such details.
(4) Where a local authority handles a complaint under the Social Care Complaints Regulations in consequence of having been sent details under paragraph (2) (b), the local authority and the NHS body must cooperate with a view to the complainant receiving a coordinated response to his complaint.
(5) The duty to cooperate in paragraph (4) include, in particular, a duty to –
(a) provide information relevant to the consideration of a complaint which is reasonably requested;
(b) attend any meeting reasonably required in connection with the consideration of a complaint; and
(c) seek to agree which of the two bodies should take a lead in –
(I) coordinating the handling of the complaints against them, and
(ii) dealing with the complainant.
(6) Where a complainant is referred to a local authority in accordance with paragraph (3) the complainant shall be deemed to have made a complaint under Regulation 3 (making a complaint) of the Social Care Complaints Regulations for the purposes of those Regulations.

Complaints made to an NHS body relating only to a local authority

3B. – (1) Where a NHS body receives a complaint on or after 1 September 2006 which does not fall within regulation 6 and it appears to the NHS body that the complaint contains material which, had the complainant sent it to a Local Authority, would be a complaint which would fall to be handled by that body under the Social Care Complaints Regulations, it must –
(a) within 5 working days of the receipt of the complaint, ask the complainant whether he wishes that material to be sent to the local authority to which it relates; and
(b) if the complainant does so wish, send that material to that local authority as soon as reasonably practical.
(2) Where a complainant is referred to a local authority in accordance with paragraph (1) the complainant shall be deemed to have made a complaint under regulation 3 of the Social Care Complaints regulations ( making a complaint) for the purposes of those Regulations.

The duty on organisations to designate a senior person who bears responsibility for ensuring effective management of and action on complaints (regulation 5)

Amendments to this part

REGULATION 5 – AMENDMENT REGULATION 5 OF THE PRINCIPAL REGULATIONS

5. In regulation 5 (complaints manager) of the Principal Regulations, at the end add -
(3) A complaints manager may be –
(a) A person who is not an employee of the NHS body; or
(b) appointed as complaints manager for more than one body

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)

Amendments to this part

REGULATION 6 – AMENDMENT OF REGULATION 7 OF THE PRINCIPAL REGULATIONS

6. In regulation 7 (matters excluded from consideration under the arrangements) of the Principal Regulations –
(a) omit the “and” at the end of paragraph (h); and
(b) at the end, add -
(j) A complaint the subject matter of which has already been investigated under these Regulations; and
(k) A complaint which relates to any scheme established under section 10 (superannuation of persons engaged in health services, etc) or section 24 (compensation for loss of office, etc) of the Superannuation Act 1972(a), or the administration of those schemes.
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.  Sets out the timescale for the response. (regulation 13).

Amendments to this part

REGULATION 7 – AMENDMENT OF REGULATION 13 OF THE PRINCIPAL REGULATIONS

7. In regulation 13 (response) of the Principal Regulations, for paragraph (3) substitute -
(3) Subject to paragraph (4), the response must be sent to the complainant within 25 working days beginning on the date on which the complaint was made, unless the complainant agrees to a longer period in which case the response may be sent within that longer period.

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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 CHAI, timescales and criteria (Regulation 14)

Amendments to this part

REGULATION 8 – AMENDMENT OF REGULATION 14 OF THE PRINCIPAL REGULATIONS

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 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)

Amendments to this part

REGULATION 9 – AMENDMENT OF REGULATION 15 OF THE PRINCIPAL REGULATIONS

This 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 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)

Amendments to this part

REGULATION 10 – AMENDMENT OF REGULATION 16 OF THE PRINCIPAL REGULATIONS

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)
Where appropriate the consideration of a complaint by an independent panel of three lay people; composition of panels and their conduct (Regulation 18)

Amendments to this part

REGULATION 11 – AMENDMENT OF REGULATION 18 OF THE PRINCIPAL REGULATIONS

Regulation 11 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)

Amendments to this part

REGULATION 12 – AMENDMENT OF REGULATION 19 OF THE PRINCIPAL REGULATIONS

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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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