Explanatory note

These Regulations make provision for complaints in the National Health Service. They require NHS bodies to establish and operate complaints procedures with a view to securing a speedy resolution of complaints at local level. Where such resolution is not achieved, the regulations provide for complaints to be considered by the Commission for Healthcare, Audit and Inspection (the Healthcare Commission) established under section 41 of the Health and Social Care (Community Health and Standards) Act 2003.

Regulation 3 imposes on NHS bodies an obligation to make arrangements for the handling and consideration of complaints. Regulation 4 requires the designation of a senior member of the NHS body to take responsibility for the complaints procedures and regulation 5 requires the appointment of a complaints manager. Regulation 6 is about the nature of complaints to NHS bodies and regulation 7 excludes certain types of complaint from the ambit of the Regulations. There then follows provision as to who may make a complaint (regulation 8), how a complaint should be made (regulation 9), what time limits apply (regulation 10), and how it is to be processed initially (regulation 11). Local level investigation and the response to the claimant are covered in regulations 12 and 13.

Part III of the Regulations is about handling and consideration of complaints by the Healthcare Commission. The Healthcare Commission’s remit in relation to complaints, which is dealt with in regulation 14, extends to consideration of complaints made about primary care. By regulation 15 it also extends to complaints made about the provision of health care and other services to patients by NHS foundation trusts. Provision is made for how a complaint is to be made (regulations 14 and 15), the Healthcare Commission’s decision on how to handle a complaint (regulation 16) and its investigation (regulation 17). Where the Healthcare Commission considers it appropriate, its investigation may involve an independent panel of three lay people. Regulation 18 is about the appointment and procedure of such panels. Regulation 19 is about the Healthcare Commission’s report.

Part IV contains provision about publicity for complaints procedures (regulation 20), monitoring (regulation 21) and annual reports (regulation 22).

Transitional provision, consequential amendments and revocations are contained in Part V.