OpenLegislation

The Local Authority Social Services and National Health Service Complaints (England) Regulations 2009

S.I. 2009/309 · Made 23 February 2009 · Extends to England and Wales

Up to date with all changes known to legislation.gov.uk, revised to 6 November 2023.

National Health Service, England

Social Care, England

Made 23rd February 2009

Laid before Parliament 27th February 2009

Coming into force in accordance with regulation 1(2) and (3)

The Secretary of State, in exercise of the powers conferred by sections 113(1), (3) and (4), 114(1), (2) and (5), 115(1), (2), (4) and (5) and 195(1) and (2) of the Health and Social Care (Community Health and Standards) Act 2003f1, makes the following Regulations:C1

Annotations to the whole text

Modifications

C1

Regulations modified (1.7.2022) by The Health and Care Act 2022 (Commencement No. 2 and Transitional and Saving Provision) Regulations 2022 (S.I. 2022/734), reg. 31(3) (with regs. 13, 29, 30)

Footnotes

f1

2003 c. 43.

Contents

  1. 1Citation, commencement, effect and application
  2. 2Interpretation
  3. 3Arrangements for the handling and consideration of complaints
  4. 4Responsibility for complaints arrangements
  5. 5Persons who may make complaints
  6. 6Duty to handle complaints
  7. 7Complaints about the provision of health services
  8. 8Complaints not required to be dealt with
  9. 9Duty to co-operate
  10. 10Care standards complaints
  11. 11Social care provider complaints
  12. 12Time limit for making a complaint
  13. 13Procedure before investigation
  14. 14Investigation and response
  15. 15Form of communications
  16. 16Publicity
  17. 17Monitoring
  18. 18Annual reports
  19. 19Transitional provision: complaints to local authorities
  20. 20Transitional provision: complaints to NHS bodies, primary care providers and independent providers, and investigation by Health Service Commissioner
  21. 21Transitional provision: investigation by Health Service Commissioner in relation to complaints about NHS foundation trusts
  22. 22Revocations
  23. 23Consequential and transitional provisions
  24. Signature
  25. Schedule: CONSEQUENTIAL AND TRANSITIONAL PROVISIONS
  26. 1Amendment of the National Health Service (Pharmaceutical Services) Regulations 2005 Repealed
  27. 2Amendment of the National Health Service (Local Pharmaceutical Services etc.) Regulations 2006 Repealed
  28. 3Amendment of the National Health Service (General Medical Services Contracts) Regulations 2004 Repealed
  29. 4Amendment of the National Health Service (Personal Medical Services Agreements) Regulations 2004 Repealed
  30. 5Amendment of the National Health Service (General Dental Services Contracts) Regulations 2005
  31. 6Amendment of the National Health Service (Personal Dental Services Agreements) Regulations 2005
  32. 7Amendment to the General Ophthalmic Services Contracts Regulations 2008
  33. 8Transitional provision: the Primary Ophthalmic Services Amendment, Transitional and Consequential Provisions Regulations 2008, and the General Dental Services, Personal Dental Services and Abolition of the Dental Practice Board Transitional and Consequential Provisions Order 2006
  34. Explanatory note

1Citation, commencement, effect and applicationI1

(1)

These Regulations may be cited as the Local Authority Social Services and National Health Service Complaints (England) Regulations 2009.

(2)

These Regulations, except for regulations 2(3) and 11, come into force on 1st April 2009.

(3)

Regulations 2(3) and 11 come into force on F11st October 2010.

(4)

The following provisions shall cease to have effect on F21st October 2010—

(a)

regulation 2(2); and

(b)

regulation 10.

(5)

These Regulations apply in relation to England.

2InterpretationI1I2

(1)

In these Regulations—

  • “the 1993 Act” means the Health Service Commissioners Act 1993f1;

  • “the 2004 Regulations” means the National Health Service (Complaints) Regulations 2004f2;

  • “the 2006 Act” means the National Health Service Act 2006f3;

  • “the 2006 Regulations” means the Local Authority Social Services Complaints (England) Regulations 2006f4;

  • “adult” means an individual who has attained the age of 18;

  • “adult social care” means social care within the meaning of Part 1 of the Health and Social Care Act 2008f5 which is provided to an adult;

  • “adult social care provider” means a person or body who carries on an activity which—

    1. (a)

      involves, or is connected with, the provision of adult social care; and

    2. (b)

      is a regulated activity within the meaning of Part 1 of the Health and Social Care Act 2008;

  • F1“adult social care services” has the meaning given in paragraph 3(7) of Schedule 3A to the General Medical Services Contracts Regulations;

  • “child” means an individual who has not attained the age of 18;

  • “complaints manager” means the person designated in accordance with regulation 4(1)(b);

  • “local authority” means—

    1. (a)

      a county council in England;

    2. (b)

      a metropolitan district council;

    3. (c)

      a non-metropolitan district council for an area for which there is no county council;

    4. (d)

      a London borough council;

    5. (e)

      the Common Council of the City of London; or

    6. (f)

      the Council of the Isles of Scilly;

  • “general dental services contractor” means a person or body who has entered into a general dental services contract with F2NHS England in accordance with section 100 of the 2006 Act;

  • “general medical services contractor” means a person or body who has entered into a general medical services contract with NHS England in accordance with section 84 of the 2006 Act;

  • “the General Medical Services Contracts Regulations” means the National Health Service (General Medical Services Contracts) Regulations 2015;

  • “general ophthalmic services contractor” means a person or body who has entered into a general ophthalmic services contract with NHS England in accordance with section 117 of the 2006 Act;

  • “Health Service Commissioner” means the person appointed Health Service Commissioner for England in accordance with section 1 of, and Schedule 1 to, the 1993 Act;

  • “independent provider” means a person or body who—

    1. (a)

      provides health care in England under arrangements made with an NHS body; and

    2. (b)

      is not an NHS body F3, a primary care provider or an integrated care provider;

  • “independent sub-contractor” means a person or body, not being an NHS body, who has entered into arrangements with an independent provider for the provision of health care in England on behalf of that provider pursuant to arrangements between that provider and an NHS body;

  • “integrated care provider” means a person or body, other than a person specified in paragraph 3(3) of Schedule 3A to the General Medical Services Contracts Regulations, who is party to an integrated care provider contract with one or more F4integrated care boards or NHS England;

  • “integrated care provider contract” has the meaning given in Schedule 3A to the General Medical Services Contracts Regulations;

  • “integrated care sub-contractor” means a person or body, not being an NHS body, who has entered into arrangements with an integrated care provider for the provision of health care in England on behalf of that provider in performance of an integrated care provider contract with one or more integrated care boards or NHS England;

  • “NHS body”, except in regulation 6(1)(a)(ii), means—

    1. (a)

      F5...

    2. (b)

      a Special Health Authority which does not exercise functions only or mainly in Wales and to which section 2 of the 1993 Act applies;

    3. (ba)

      F6an integrated care board;

    4. (bb)

      NHS England;

    5. (c)

      F7...

    6. (d)

      an NHS trust managing a hospital, or other establishment or facility, in England;

    7. (e)

      NHS Direct National Health Service Trust; or

    8. (f)

      an NHS foundation trust;

  • “primary care provider” means a person or body who—

    1. (a)

      is a general medical services contractor;

    2. (b)

      provides primary medical services in accordance with arrangements made under section F883(2) or 92 of the 2006 Act;

    3. (c)

      is a general dental services contractor;

    4. (d)

      provides primary dental services in accordance with arrangements made under section 107 of the 2006 Act;

    5. (e)

      is a general ophthalmic services contractor;

    6. (f)

      provides pharmaceutical services in accordance with arrangements made under section 126 of the 2006 Act;

    7. (g)

      provides additional pharmaceutical services in accordance with arrangements made under section 127 of the 2006 Act; or

    8. (h)

      provides local pharmaceutical services in accordance with an LPS scheme established under paragraph 1 of Schedule 12 to the 2006 Act;

  • “registered person” has the meaning given in regulation 10;

  • “relevant complaints procedure” means—

    1. (a)

      any arrangements for the handling and consideration of complaints that may at any time be or have been required respectively by any of the following provisions—

      1. (i)

        F9paragraph 34 of Schedule 4 to the National Health Service (Pharmaceutical and Local Pharmaceutical Services) Regulations 2013;

      2. (ia)

        paragraph 24 of Schedule 5 to the National Health Service (Pharmaceutical and Local Pharmaceutical Services) Regulations 2013;

      3. (iii)

        paragraph 8 of Schedule 6 to the National Health Service (Pharmaceutical and Local Pharmaceutical Services) Regulations 2013; or

      4. (iv)

        paragraph 25 of Schedule 7 to the National Health Service (Pharmaceutical and Local Pharmaceutical Services) Regulations 2013; or

    2. (b)

      any complaints procedure that may at any time be or have been required respectively by any of the following provisions—

      1. (i)

        F10regulation 79 of the National Health Service (General Medical Services Contracts) Regulations 2015;

      2. (ii)

        F11regulation 76 of the National Health Service (Personal Medical Services Agreements) Regulations 2015;

      3. (iii)

        paragraph 47 of Schedule 3 to the National Health Service (General Dental Services Contracts) Regulations 2005f6;

      4. (iv)

        paragraph 47 of Schedule 3 to the National Health Service (Personal Dental Services Agreements) Regulations 2005f7; or

      5. (v)

        paragraph 22 of Schedule 1 to the General Ophthalmic Services Contracts Regulations 2008f8;

  • “responsible body” means a local authority, NHS body, primary care provider F12, independent provider, independent sub-contractor, integrated care provider or integrated care sub-contractor;

  • “responsible person” means the person designated in accordance with regulation 4(1)(a);

  • “working day” means any day except a Saturday, a Sunday, Christmas Day, Good Friday or a day which is a bank holiday in England under section 1 of the Banking and Financial Dealings Act 1971f9.

(2)

“Care standards complaint” means a complaint which—

(a)

relates to services provided by an establishment or agency in respect of which a person is required to be registered under section 11 of the Care Standards Act 2000f10; and

(b)

does not relate to the exercise by a local authority of—

(i)

its social services functions (as defined in section 148 of the Health and Social Care (Community Health and Standards) Act 2003f11; or

(ii)

any function discharged by it under arrangements made under section 75 of the 2006 Act.

(3)

“Social care provider complaint” means a complaint which—

(a)

relates to action taken by an adult social care provider in connection with the provision of adult social care; and

(b)

does not relate to the exercise by a local authority of—

(i)

its social services functions; or

(ii)

any function discharged by it under arrangements made under section 75 of the 2006 Act.

3Arrangements for the handling and consideration of complaintsI1

(1)

Each responsible body must make arrangements (“arrangements for dealing with complaints”) in accordance with these Regulations for the handling and consideration of complaints.

(2)

The arrangements for dealing with complaints must be such as to ensure that—

(a)

complaints are dealt with efficiently;

(b)

complaints are properly investigated;

(c)

complainants are treated with respect and courtesy;

(d)

complainants receive, so far as is reasonably practical—

(i)

assistance to enable them to understand the procedure in relation to complaints; or

(ii)

advice on where they may obtain such assistance;

(e)

complainants receive a timely and appropriate response;

(f)

complainants are told the outcome of the investigation of their complaint; and

(g)

action is taken if necessary in the light of the outcome of a complaint.

4Responsibility for complaints arrangementsI1

(1)

Each responsible body must designate—

(a)

a person, in these Regulations referred to as a responsible person, to be responsible for ensuring compliance with the arrangements made under these Regulations, and in particular ensuring that action is taken if necessary in the light of the outcome of a complaint; and

(b)

a person, in these Regulations referred to as a complaints manager, to be responsible for managing the procedures for handling and considering complaints in accordance with the arrangements made under these Regulations.

(2)

The functions of the responsible person may be performed by any person authorised by the responsible body to act on behalf of the responsible person.

(3)

The functions of the complaints manager may be performed by any person authorised by the responsible body to act on behalf of the complaints manager.

(4)

The responsible person is to be—

(a)

in the case of a local authority or NHS body, the person who acts as the chief executive officer of the authority or body;

(b)

in the case of any other responsible body, the person who acts as the chief executive officer of the body or, if none—

(i)

the person who is the sole proprietor of the responsible body;

(ii)

where the responsible body is a partnership, a partner; or

(iii)

in any other case, a director of the responsible body, or a person who is responsible for managing the responsible body.

(5)

The complaints manager may be—

(a)

a person who is not an employee of the responsible body;

(b)

the same person as the responsible person;

(c)

a complaints manager designated by another responsible body under paragraph (1)(b).

5Persons who may make complaintsI1

(1)

A complaint may be made by—

(a)

a person who receives or has received services from a responsible body; or

(b)

a person who is affected, or likely to be affected, by the action, omission or decision of the responsible body which is the subject of the complaint.

(2)

A complaint may be made by a person (in this regulation referred to as a representative) acting on behalf of a person mentioned in paragraph (1) who—

(a)

has died;

(b)

is a child;

(c)

is unable to make the complaint themselves because of—

(i)

physical incapacity; or

(ii)

lack of capacity within the meaning of the Mental Capacity Act 2005f1; or

(d)

has requested the representative to act on their behalf.

(3)

Where a representative makes a complaint on behalf of a child, the responsible body to which the complaint is made—

(a)

must not consider the complaint unless it is satisfied that there are reasonable grounds for the complaint being made by a representative instead of the child; and

(b)

if it is not so satisfied, must notify the representative in writing, and state the reason for its decision.

(4)

This paragraph applies where—

(a)

a representative makes a complaint on behalf of—

(i)

a child; or

(ii)

a person who lacks capacity within the meaning of the Mental Capacity Act 2005; and

(b)

the responsible body to which the complaint is made is satisfied that the representative is not conducting the complaint in the best interests of the person on whose behalf the complaint is made.

(5)

Where paragraph (4) applies—

(a)

the complaint must not be considered or further considered under these Regulations; and

(b)

the responsible body must notify the representative in writing, and state the reason for its decision.

(6)

In these Regulations any reference to a complainant includes a reference to a representative.

6Duty to handle complaintsI1

(1)

This regulation applies to a complaint made on or after 1st April 2009 in accordance with these Regulations to—

(a)

a local authority about the exercise by the local authority of the following functions—

(i)

its social services functions; or

(ii)

any function discharged or to be discharged by it under arrangements made between it and an NHS body under section 75 of the 2006 Act in relation to the functions of an NHS body;

(b)

an NHS body about—

(i)

the exercise of its functions; or

(ii)

the exercise of any function discharged or to be discharged by it under arrangements made between it and a local authority under section 75 of the 2006 Act in relation to the exercise of the health-related functions of a local authority;

F1(ba)

F2an integrated care board or F3NHS England about the exercise by it of any functions F4in accordance with—

(i)

arrangements made under section 7A of the 2006 Act;

(ii)

directions given to it under section 7B of the 2006 Act;

(c)

a primary care provider about the provision of services by it under arrangements with an NHS body; or

(d)

an independent provider about the provision of services by it under arrangements with an NHS body.

F5(1ZA)

This regulation also applies, subject to paragraph (1ZB), to a complaint made on or after 1st April 2019 in accordance with these Regulations to—

(a)

an independent sub-contractor about the provision of services by it on behalf of an independent provider pursuant to arrangements between the provider and an NHS body;

(b)

an integrated care provider about the provision of services by it under an integrated care provider contract with one or more integrated care boards or NHS England; or

(c)

an integrated care sub-contractor about the provision of services by it on behalf of an integrated care provider in so far as those services are provided in performance of an integrated care provider contract with one or more integrated care boards or NHS England.

(1ZB)

Sub-paragraphs (b) and (c) of paragraph (1ZA) do not apply to a complaint about the provision of adult social care services.

F6(1A)

This regulation also applies to a complaint made on or after 1st September 2009 in accordance with these Regulations to a local authority where—

(a)

the local authority has made arrangements with a person for the discharge of a relevant function; and

(F7b)

the complaint relates to the provision of services pursuant to those arrangements.

(1B)

In paragraph (1A), “relevant function” means—

(a)

any of the local authority’s social services functions; or

(b)

any function to be discharged by the local authority under arrangements specified in paragraph (1)(a)(ii).

(2)

This regulation does not apply to a complaint specified in regulation 8(1).

(3)

In paragraph (1)(a)(ii), “NHS body” has the meaning given in section 28 of the 2006 Act, but does not include a Special Health Authority.

(4)

Where this regulation applies to a complaint, the responsible body to which the complaint is made must handle the complaint in accordance with these Regulations.

(5)

This paragraph applies where—

(a)

a responsible body (“the first body”) receives a complaint on or after 1st April 2009;

(b)

it appears to the first body that the complaint, if it had been made to another responsible body (“the second body”), would be a complaint which would fall to be handled in accordance with these Regulations by the second body; and

(c)

the first body sends the complaint to the second body.

(6)

Where paragraph (5) applies, the complainant is deemed to have made the complaint to the second body under these Regulations.

7Complaints about the provision of health servicesI1

(1)

This regulation applies to a complaint which is—

(a)

made to F1F2an integrated care board or F3NHS England in accordance with these Regulations on or after F41st April 2013;

(b)

about the services provided by a provider under arrangements with the F5F6integrated care board or F7NHS England; and

(c)

not specified in regulation 8(1).

F8(1A)

This regulation also applies to a complaint which is—

(a)

made to an integrated care board or NHS England in accordance with these Regulations on or after 1st April 2019;

(b)

subject to paragraph (1B), about the services provided by—

(i)

an independent sub-contractor on behalf of an independent provider pursuant to arrangements between that provider and the F9integrated care board or F10NHS England;

(ii)

an integrated care provider under an integrated care provider contract with the F11integrated care board or NHS England; or

(iii)

an integrated care sub-contractor on behalf of an integrated care provider in so far as those services are provided in performance of an integrated care provider contract with the F12integrated care board or NHS England; and

(c)

not specified in regulation 8(1).

(1B)

paragraphs (ii) and (iii) of sub-paragraph (b) of paragraph (1A) do not apply to a complaint about adult social care services.

(2)

In this regulation F13, except in paragraph (1A), “provider” means an NHS body, primary care provider or independent provider.

(3)

Where F14an integrated care board or NHS England receives a complaint to which this regulation applies—

(a)

the F15F16integrated care board or F17NHS England must ask the complainant whether the complainant consents to details of the complaint being sent to the provider F18or other responsible body to which the complaint relates; and

(b)

if the complainant so consents, the F19F20integrated care board or F21NHS England must as soon as reasonably practicable send details of the complaint to the provider or other responsible body to which the complaint relates.

(4)

If the F22integrated care board or NHS England considers that it is appropriate for F23the integrated care board F24 or F25NHS England to deal with the complaint—

(a)

it must so notify the complainant and the provider or other responsible body to which the complaint relates; and

(b)

it must continue to handle the complaint in accordance with these Regulations.

(5)

If the F26integrated care board or NHS England considers that it is more appropriate for the complaint to be dealt with by the provider or other responsible body to which the complaint relates, and the complainant consents—

(a)

the F27F28integrated care board or F29NHS England must so notify the complainant and the provider or other responsible body to which the complaint relates;

(b)

when the provider or other responsible body to which the complaint relates receives the notification given to it under sub-paragraph (a)—

(i)

the provider or other responsible body to which the complaint relates must handle the complaint in accordance with these Regulations; and

(ii)

the complainant is deemed to have made the complaint to the provider or other responsible body to which the complaint relates under these Regulations.

F30(6)

For the purposes of paragraphs (3) to (5), a complaint relates to a responsible body if it relates to the provision of services by that body as referred to in paragraph (1A)(b).

8Complaints not required to be dealt withI1

(1)

F1... The following complaints are not required to be dealt with in accordance with these Regulations—

(a)

a complaint by a responsible body;

(b)

a complaint by an employee of a local authority or NHS body about any matter relating to that employment;

(c)

a complaint which—

(i)

is made orally; and

(ii)

is resolved to the complainant’s satisfaction not later than the next working day after the day on which the complaint was made;

(d)

a complaint the subject matter of which is the same as that of a complaint that has previously been made and resolved in accordance with sub-paragraph (c);

(e)

a complaint the subject matter of which has previously been investigated under—

(i)

these Regulations;

(ii)

the 2004 Regulations, in relation to a complaint made under those Regulations before 1st April 2009;

(iii)

the 2006 Regulations, in relation to a complaint made under those Regulations before 1st April 2009; or

(iv)

a relevant complaints procedure in relation to a complaint made under such a procedure before 1st April 2009;

(f)

a complaint the subject matter of which is being or has been investigated by—

(i)

a Local Commissioner under the Local Government Act 1974f1; or

(ii)

a Health Service Commissioner under the 1993 Act;

(g)

a complaint arising out of the alleged failure by a responsible body to comply with a request for information under the Freedom of Information Act 2000f2; and

(h)

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 1972f3, or to the administration of those schemes.

F2(2)

Subject to paragraph (2A), where a complaint is a complaint specified in paragraph (1), and a responsible body makes a decision to that effect, the responsible body must as soon as reasonably practicable notify the complainant in writing of its decision and the reason for its decision.

(2A)

Paragraph (2) does not apply to a complaint specified in sub-paragraph (c) of paragraph (1).

(3)

Where a complaint specified in paragraph (1) is part of, or is connected with, another complaint which is not so specified, nothing in this regulation prevents that other complaint being handled in accordance with these Regulations.

9Duty to co-operateI1

(1)

This regulation applies where—

(a)

a responsible body (“the first body”) is considering a complaint made in accordance with these Regulations; and

(b)

it appears to the first body that the complaint contains material which, if it had been sent to another responsible body (“the second body”), would be a complaint which would fall to be handled in accordance with these Regulations by the second body.

(2)

The first body and the second body must co-operate for the purpose of—

(a)

co-ordinating the handling of the complaint; and

(b)

ensuring that the complainant receives a co-ordinated response to the complaint.

(3)

The duty to co-operate under paragraph (2) includes, in particular, a duty for each body—

(a)

to seek to agree which of the two bodies should take the lead in—

(i)

co-ordinating the handling of the complaint; and

(ii)

communicating with the complainant;

(b)

to provide to the other body information relevant to the consideration of the complaint which is reasonably requested by the other body; and

(c)

to attend, or ensure it is represented at, any meeting reasonably required in connection with the consideration of the complaint.

10Care standards complaintsI1

(1)

This regulation applies where it appears to a local authority considering a complaint that the complaint is wholly or in part a care standards complaint.

(2)

The local authority must—

(a)

ask the complainant whether the complainant consents to details of the complaint being sent to the registered person; and

(b)

if the complainant so consents, send such details to the registered person as soon as reasonably practicable.

(3)

Where a complaint is in part a care standards complaint and in part for the local authority to consider, the local authority must—

(a)

as soon as reasonably practicable notify the complainant which part of the complaint will be handled by the local authority in accordance with these Regulations; and

(b)

where the local authority has sent details of the complaint to the registered person under paragraph (2)(b), co-operate as much as is reasonable and practicable with the registered person for the purpose of ensuring that the complainant receives a co-ordinated response to the complaint.

(4)

In this regulation, “registered person” means the person registered under section 11 of the Care Standards Act 2000 in respect of the establishment or agency complained about.

11Social care provider complaintsI1

(1)

This regulation applies where it appears to a local authority considering a complaint that the complaint is wholly or in part a social care provider complaint.

(2)

The local authority must—

(a)

ask the complainant whether the complainant consents to details of the complaint being sent to the relevant adult social care provider; and

(b)

if the complainant so consents, send such details to the relevant adult social care provider as soon as reasonably practicable.

(3)

Where a complaint is in part a social care provider complaint and in part for the local authority to consider, the local authority must—

(a)

as soon as reasonably practicable notify the complainant which part of the complaint will be handled by the local authority in accordance with these Regulations; and

(b)

where the local authority has sent details of the complaint to the relevant adult social care provider under paragraph (2)(b), co-operate as much as is reasonable and practicable with the relevant adult social care provider for the purpose of ensuring that the complainant receives a co-ordinated response to the complaint.

(4)

In this regulation, “relevant adult social care provider” means the adult social care provider in relation to whom the social care provider complaint was made.

12Time limit for making a complaintI1

(1)

Except as mentioned in paragraph (2), a complaint must be made not later than 12 months after—

(a)

the date on which the matter which is the subject of the complaint occurred; or

(b)

if later, the date on which the matter which is the subject of the complaint came to the notice of the complainant.

(2)

The time limit in paragraph (1) shall not apply if the responsible body is satisfied that—

(a)

the complainant had good reasons for not making the complaint within that time limit; and

(b)

notwithstanding the delay, it is still possible to investigate the complaint effectively and fairly.

13Procedure before investigationI1

(1)

A complaint may be made orally, in writing or electronically.

(2)

Where a complaint is made orally, the responsible body to which the complaint is made must—

(a)

make a written record of the complaint; and

(b)

provide a copy of the written record to the complainant.

(3)

Except where regulation 6(5) or 7(1) applies in relation to a complaint, the responsible body must acknowledge the complaint not later than 3 working days after the day on which it receives the complaint.

(4)

Where paragraph (5) of regulation 6 applies, and a responsible body (“the recipient body”) receives a complaint sent to it by another responsible body in accordance with that paragraph, the complaint must be acknowledged by the recipient body not later than 3 working days after the day on which it receives the complaint.

(5)

Where regulation 7(1) applies to a complaint—

(a)

the F1integrated care board or F2NHS England which receives the complaint must acknowledge the complaint not later than 3 working days after the day on which it receives it; and

(b)

where a responsible body receives notification given to it under regulation 7(5)(a), it must acknowledge the complaint not later than 3 working days after the day on which it receives the notification.

(6)

The acknowledgement may be made orally or in writing.

(7)

At the time it acknowledges the complaint, the responsible body must offer to discuss with the complainant, at a time to be agreed with the complainant—

(a)

the manner in which the complaint is to be handled; and

(b)

the period (“the response period”) within which—

(i)

the investigation of the complaint is likely to be completed; and

(ii)

the response required by regulation 14(2) is likely to be sent to the complainant.

(8)

If the complainant does not accept the offer of a discussion under paragraph (7), the responsible body must—

(a)

determine the response period specified in paragraph (7)(b); and

(b)

notify the complainant in writing of that period.

14Investigation and responseI1

(1)

A responsible body to which a complaint is made must—

(a)

investigate the complaint in a manner appropriate to resolve it speedily and efficiently; and

(b)

during the investigation, keep the complainant informed, as far as reasonably practicable, as to the progress of the investigation.

(2)

As soon as reasonably practicable after completing the investigation, the responsible body must send the complainant in writing a response, signed by the responsible person, which includes—

(a)

a report which includes the following matters—

(i)

an explanation of how the complaint has been considered; and

(ii)

the conclusions reached in relation to the complaint, including any matters for which the complaint specifies, or the responsible body considers, that remedial action is needed; and

(b)

confirmation as to whether the responsible body is satisfied that any action needed in consequence of the complaint has been taken or is proposed to be taken;

(c)

where the complaint relates wholly or in part to the functions of a local authority, details of the complainant’s right to take their complaint to a Local Commissioner under the Local Government Act 1974f1; and

(d)

except where the complaint relates only to the functions of a local authority, details of the complainant’s right to take their complaint to the Health Service Commissioner under the 1993 Act.

(3)

In paragraph (4), “relevant period” means the period of 6 months commencing on the day on which the complaint was received, or such longer period as may be agreed before the expiry of that period by the complainant and the responsible body.

(4)

If the responsible body does not send the complainant a response in accordance with paragraph (2) within the relevant period, the responsible body must—

(a)

notify the complainant in writing accordingly and explain the reason why; and

(b)

send the complainant in writing a response in accordance with paragraph (2) as soon as reasonably practicable after the relevant period.

15Form of communicationsI1

(1)

Any communication which is required by these Regulations to be made to a complainant may be sent to the complainant electronically where the complainant—

(a)

has consented in writing or electronically; and

(b)

has not withdrawn such consent in writing or electronically.

(2)

Any requirement in these Regulations for a document to be signed by a person is satisfied, in the case of a document which is sent electronically in accordance with these Regulations, by the individual who is authorised to sign the document typing their name or producing their name using a computer or other electronic means.

16PublicityI1

Each responsible body must make information available to the public as to—

(a)

its arrangements for dealing with complaints; and

(b)

how further information about those arrangements may be obtained.

17MonitoringI1

For the purpose of monitoring the arrangements under these Regulations each responsible body must maintain a record of the following matters—

(a)

each complaint received;

(b)

the subject matter and outcome of each complaint; and

(c)

where the responsible body informed the complainant of—

(i)

the response period specified in regulation 13(7)(b); or

(ii)

any amendment to that period,

whether a report of the outcome of the investigation was sent to the complainant within that period or any amended period.

18Annual reportsI1

(1)

Each responsible body must prepare an annual report for each year which must—

(a)

specify the number of complaints which the responsible body received;

(b)

specify the number of complaints which the responsible body decided were well-founded;

(c)

specify the number of complaints which the responsible body has been informed have been referred to—

(i)

the Health Service Commissioner to consider under the 1993 Act; or

(ii)

the Local Commissioner to consider under the Local Government Act 1974; and

(d)

summarise—

(i)

the subject matter of complaints that the responsible body received;

(ii)

any matters of general importance arising out of those complaints, or the way in which the complaints were handled;

(iii)

any matters where action has been or is to be taken to improve services as a consequence of those complaints.

(2)

In paragraph (1), “year” means a period of 12 months ending with 31st March.

(3)

Each responsible body must ensure that its annual report is available to any person on request.

(4)

This paragraph applies to a responsible body which is—

(a)

an NHS body other than F1F2an integrated care board or F3NHS England; or

(b)

a primary care provider F4, an independent provider, an independent sub-contractor, an integrated care provider or an integrated care sub-contractor,

and which in any year provides, or agrees to provide, services F5, other than adult social care services, under arrangements with an integrated care board F6, NHS England, an independent provider or an integrated care provider.

(5)

Where paragraph (4) applies to a responsible body, the responsible body must send a copy of its annual report to F7—

(a)

the integrated care board;

(b)

NHS England;

(c)

in the case of services provided by an independent sub-contractor, the independent provider; or

(d)

in the case of services provided by an integrated care sub-contractor, the integrated care provider,

which arranged for the provision of the services by the responsible body.

F8(6)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(7)

The copy of the annual report required to be sent in accordance with paragraph (5) F9... must be sent as soon as reasonably practicable after the end of the year to which the report relates.

19Transitional provision: complaints to local authoritiesI1

(1)

This paragraph applies to a complaint where, immediately before 1st April 2009—

(a)

the complaint falls to be handled under the 2006 Regulations; and

(b)

the complaint is not a complaint which, under regulation 5 of those Regulations, is not to be considered or further considered.

(2)

Where paragraph (1) applies, the 2006 Regulations shall continue to have effect in relation to the complaint.

(3)

References in this regulation to a complaint include—

(a)

any investigation of the complaint which has been requested under regulation 8 of the 2006 Regulations; and

(b)

any complaint in respect of which a review panel has been established, or has been requested to be established, in accordance with those Regulations.

20Transitional provision: complaints to NHS bodies, primary care providers and independent providers, and investigation by Health Service CommissionerI1

(1)

This paragraph applies to—

(a)

a complaint which—

(i)

immediately before 1st April 2009 falls to be handled under the 2004 Regulations; and

(ii)

is not a complaint which, under regulation 7 of those Regulations, is excluded from the scope of the arrangements required under Part 2 of those Regulations; or

(b)

a complaint which before 1st April 2009 a complainant has requested the Healthcare Commission to consider under regulation 14 of the 2004 Regulations.

(2)

Where paragraph (1) applies to a complaint—

(a)

the 2004 Regulations, except for regulations 14 to 22 of those Regulations, shall continue to have effect in relation to the complaint;

(b)

regulation 13 of those Regulations shall have effect in relation to the complaint as if, in paragraph (4), the words “Health Service Commissioner under the Health Service Commissioners Act 1993” were substituted for the words “Healthcare Commission in accordance with regulation 14”; and

(c)

any request made under regulation 14 before 1st April 2009 for the Healthcare Commission to consider the complaint shall have effect as a request to the Health Service Commissioner to consider the complaint under the 1993 Act.

21Transitional provision: investigation by Health Service Commissioner in relation to complaints about NHS foundation trustsI1

(1)

This paragraph applies where a person has made a complaint before 1st April 2009 to an NHS foundation trust and either—

(a)

the complainant is not satisfied with the outcome of any investigation of that complaint by the NHS foundation trust in accordance with any procedures it may have; or

(b)

the NHS foundation trust has no complaints procedures.

(2)

Where paragraph (1) applies, any request made under regulation 15 of the 2004 Regulations before 1st April 2009 for the Healthcare Commission to consider the complaint shall have effect as a request to the Health Service Commissioner to consider the complaint under the 1993 Act.

22RevocationsI1

(1)

Subject to regulations 20 and 21, the 2004 Regulations are revoked.

(2)

Subject to regulation 19, the 2006 Regulations are revoked.

23Consequential and transitional provisionsI1

The Schedule (consequential and transitional provisions) has effect.

Signature

Signed by authority of the Secretary of State for Health.

Ann Keen

Parliamentary Under-Secretary of State,

Department of Health

23rd February 2009

1Amendment of the National Health Service (Pharmaceutical Services) Regulations 2005F1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2Amendment of the National Health Service (Local Pharmaceutical Services etc.) Regulations 2006F1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3Amendment of the National Health Service (General Medical Services Contracts) Regulations 2004F1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4Amendment of the National Health Service (Personal Medical Services Agreements) Regulations 2004F1

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5Amendment of the National Health Service (General Dental Services Contracts) Regulations 2005I1

(1)

Schedule 3 to the National Health Service (General Dental Services Contracts) Regulations 2005f1 (other contractual terms), is amended as follows.

(2)

Before Part 6 (complaints) insert—

“PART 5A

Complaints received on or after 1st April 2009

46B.

As regards complaints relating to any matter reasonably connected with the provision of services under the contract which are received on or after 1st April 2009, the contractor must have in place a complaints procedure which meets the requirements of the Local Authority Social Services and National Health Service Complaints (England) Regulations 2009f2.”.

(3)

In Part 6 (complaints)—

(a)

in paragraph 47 (complaints procedure), in sub-paragraph (1) for the words from “The contractor” to “the contract” substitute—

“As regards complaints relating to any matter reasonably connected with the provision of services under the contract which are received before 1st April 2009, the contractor shall operate a complaints procedure”;

(b)

in paragraph 51 (co-operation with investigations)—

(i)

in sub-paragraph (1)(a)(ii), for “the Commission for Healthcare Audit and Inspection” substitute “the Health Service Commissioner”;

(ii)

at the end of sub-paragraph (2), add—

““Health Service Commissioner” means the person appointed Health Service Commissioner for England in accordance with section 1 of, and Schedule 1 to, the Health Service Commissioners Act 1993f3.”.

6Amendment of the National Health Service (Personal Dental Services Agreements) Regulations 2005I1

(1)

Schedule 3 to the National Health Service (Personal Dental Services Agreements) Regulations 2005f1 (other contractual terms) is amended as follows.

(2)

Before Part 6 (complaints) insert—

“PART 5A

Complaints received on or after 1st April 2009

46B.

As regards complaints relating to any matter reasonably connected with the provision of services under the agreement which are received on or after 1st April 2009, the contractor must have in place a complaints procedure which meets the requirements of the Local Authority Social Services and National Health Service Complaints (England) Regulations 2009f2.”.

(3)

In Part 6 (complaints)—

(a)

in paragraph 47 (complaints procedure), in sub-paragraph (1) for the words from “The contractor” to “the agreement” substitute—

“As regards complaints relating to any matter reasonably connected with the provision of services under the agreement which are received before 1st April 2009, the contractor shall operate a complaints procedure”;

(b)

in paragraph 51 (co-operation with investigations)—

(i)

in sub-paragraph (1)(a)(ii), for “the Commission for Healthcare Audit and Inspection” substitute “the Health Service Commissioner”;

(ii)

at the end of sub-paragraph (2), add—

““Health Service Commissioner” means the person appointed Health Service Commissioner for England in accordance with section 1 of, and Schedule 1 to, the Health Service Commissioners Act 1993f3.”.

7Amendment to the General Ophthalmic Services Contracts Regulations 2008I1

(1)

Schedule 1 to the General Ophthalmic Services Contracts Regulations 2008f1 (other contractual terms) is amended as follows.

(2)

Before Part 5 (complaints) insert—

“Part 4A

Complaints received on or after 1st April 2009

21A.

As regards complaints relating to any matter reasonably connected with the provision of services under the contract which are received on or after 1st April 2009, the contractor must have in place a complaints procedure which meets the requirements of the Local Authority Social Services and National Health Service Complaints (England) Regulations 2009f2.”.

(3)

In Part 5 (complaints), in paragraph 22 (complaints procedure)—

(a)

for sub-paragraph (1) substitute—

“(1)

As regards complaints relating to any matter reasonably connected with the provision of services under the contract which are received before 1st April 2009, the contractor shall operate a complaints procedure and that complaints procedure shall comply with the requirements of paragraphs 23 to 25 and 27.”;

(b)

in paragraph 26 (co-operation with investigations)—

(i)

in sub-paragraph (1)(a)(ii), for “the Commission for Healthcare Audit and Inspection” substitute “the Health Service Commissioner”;

(ii)

at the end of sub-paragraph (2), add—

““Health Service Commissioner” means the person appointed Health Service Commissioner for England in accordance with section 1 of, and Schedule 1 to, the Health Service Commissioners Act 1993f3.”.

8Transitional provision: the Primary Ophthalmic Services Amendment, Transitional and Consequential Provisions Regulations 2008, and the General Dental Services, Personal Dental Services and Abolition of the Dental Practice Board Transitional and Consequential Provisions Order 2006I1

(1)

This sub-paragraph applies to a complaint which—

(a)

was made before 1st April 2009; and

(b)

falls to be investigated by a Primary Care Trust under—

(i)

regulation 4(2) or 5(2) of the Primary Ophthalmic Services Amendment, Transitional and Consequential Provisions Regulations 2008f1; or

(ii)

article 5(5), 6(2), 21(2) or 22(2) of the General Dental Services, Personal Dental Services and Abolition of the Dental Practice Board Transitional and Consequential Provisions Order 2006f2.

(2)

Where sub-paragraph (1) applies to a complaint, the investigation of the complaint shall be carried out in accordance with the 2004 Regulations as if—

(a)

notwithstanding their revocation, the 2004 Regulations, except for regulations 14 to 22 of those Regulations, continued to have effect;

(b)

in paragraph (4) of regulation 13, the words “Health Service Commissioner under the Health Service Commissioners Act 1993” were substituted for the words “Healthcare Commission in accordance with regulation 14”; and

(c)

any request made under regulation 14 before 1st April 2009 for the Healthcare Commission to consider the complaint shall have effect as a request to the Health Service Commissioner to consider the complaint under the 1993 Act.

Explanatory note

(This note is not part of the Regulations)

These Regulations make provision for complaints made on or after 1st April 2009 in relation to local authority social services and the National Health Service.

Regulation 3 requires “responsible bodies” to make arrangements for the handling and consideration of complaints. “Responsible bodies” are defined (in regulation 2) to mean local authorities, NHS bodies and certain other providers who provide services under arrangements with NHS bodies.

Regulation 4 requires responsible bodies to designate a person to be responsible for ensuring compliance with the arrangements, and a complaints manager to be responsible for managing the complaints procedure.

Regulation 5 makes provision as to who may make a complaint. Regulations 6 and 7 specify the complaints which are to be handled by responsible bodies in accordance with the Regulations. Regulation 8 specifies certain types of complaint that are not required to be dealt with in accordance with these Regulations.

Regulation 9 provides for responsible bodies to co-operate in relation to complaints being considered by one body which also fall to be handled by another body. Regulations 10 and 11 make provision for disclosure and co-operation by local authorities considering a complaint.

Regulation 10 applies where a complaint wholly or in part relates to services in relation to which a person is registered under the Care Standards Act 2000. Regulation 11 applies where a complaint wholly or in part relates to action taken by a person who carries on an activity connected with the provision of adult social care, and the activity is a regulated activity under Part 1 of the Health and Social Care Act 2008. Regulation 11 is to come into force on 1st April 2010.

Regulation 12 specifies the time limits for making a complaint. Regulation 13 provides for how complaints are to be made and processed initially, including a discussion with the complainant as to how the complaint is to be handled and the likely period for investigating the complaint and responding to the complainant. Regulation 14 provides for the investigation of the complaint and the response to the claimant. Regulation 15 makes provision for electronic communications.

Each responsible body is required to ensure that its complaints arrangements are made available to the public (regulation 16), to record certain matters about complaints for monitoring purposes (regulation 17) and to prepare and make available an annual report (regulation 18).

Regulations 19 to 21 make transitional provision for complaints made before 1st April 2009 under the Local Authority Social Services Complaints (England) Regulations 2006, or the National Health Service (Complaints) Regulations 2004, which are revoked by regulation 22. Regulation 23 and the Schedule make consequential and transitional amendments to regulations relating to complaints about services provided by certain providers of health care.

An impact assessment has been prepared in relation to these Regulations and is available from the Department of Health, Quarry House, Quarry Hill, Leeds LS2 7UE.