NATIONAL HEALTH SERVICE, ENGLAND Citation, commencement and application 1 1 These Regulations may be cited as the National Health Service (Complaints) Amendment Regulations 2006 and shall come into force on 1st September 2006. 2 These Regulations apply in relation to England only. Interpretation 2 In these Regulations, “the Principal Regulations ” means the National Health Service (Complaints) Regulations 2004 . Amendment of regulation 2 of the Principal Regulations 3 In regulation 2 (interpretation) of the Principal Regulations, in paragraph (1), in the appropriate alphabetical position, insert— “ NHS Bursary Scheme” means the NHS Bursary Scheme established pursuant to section 63 of the Health Services and Public Health Act 1968 ; and “ Social Services Complaints Regulations ” means the Local Authority Social Services Complaints (England) Regulations 2006 ; . 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 an NHS body considering a complaint made in accordance with regulation 9 on or after 1st September 2006 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 authority under the Social Services 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 Services Complaints Regulations (“the local authority complaint”)— a within 10 working days of receipt of 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 complaint to which paragraph (2) applies, the NHS body must notify the complainant— a which part of the complaint will be handled in accordance with the procedure described in these Regulations; and b 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 Services 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) includes, 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 the lead in— i coordinating the handling of the complaints against them, and ii dealing with the complainant. 6 Where a complaint is referred to a local authority in accordance with paragraph (2)(b) the complainant shall be deemed to have made a complaint under regulation 3 (duty to deal with complaints) of the Social Services Complaints Regulations for the purposes of those Regulations. Complaints made to an NHS body relating only to a local authority 3B 1 Where an NHS body receives a complaint on or after 1st 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 Services Complaints Regulations, it must— a within 5 working days of 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 practicable. 2 Where a complaint is referred to a local authority in accordance with paragraph (1) the complainant shall be deemed to have made a complaint under regulation 3 (duty to deal with complaints) of the Social Services Complaints Regulations for the purposes of those Regulations. . Amendment of 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 NHS body. . 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 , or to the administration of those schemes. . 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. . Amendment of regulation 14 of the Principal Regulations 8 In regulation 14 (general complaints remit of the Healthcare Commission) of the Principal Regulations— a in paragraph (1), for “In any case” substitute “Subject to paragraph (1A), in any case”; b after paragraph (1), insert— 1A Paragraph (1) does not apply in the case of a complaint, or part of a complaint, that was made to an NHS body in accordance with regulation 9 on or after 1st September 2006 which relates to the NHS Bursary Scheme, or the administration of that scheme. ; and c in paragraph (3), for “2 months” substitute “6 months”. Amendment of regulation 15 of the Principal Regulations 9 In regulation 15 (remit of the Healthcare Commission in relation to complaints about NHS foundation trusts) of the Principal Regulations— a in paragraph (2)(a), after “a patient” insert “or any other person who is affected by, or likely to be affected by, the action or omission of the NHS foundation trust which forms the subject matter of the complaint”; b in paragraph (2)(b), for “patients” substitute “such persons”; c in paragraph (6), for “2 months” substitute “6 months”; d for paragraph (7), substitute— 7 The Healthcare Commission shall make a report to the Independent Regulator each month and when the Independent Regulator shall otherwise require, which— a specifies the number of complaints received about NHS foundation trusts in that month, or other period specified in the request; b identifies the subject matter of those complaints; and c summarises how any complaints concluded during that month, or other period specified in the request, were handled, including their outcome. ; and e at the end, add— 8 The Healthcare Commission may, provided that it has the consent, which may be either express or implied, of the complainant send a copy of any complaint that it has received about an NHS foundation trust to the Independent Regulator. 9 The Independent Regulator may request that the Healthcare Commission send him any complaint about an NHS foundation trust that the Healthcare Commission receives. 10 For the purposes of paragraph (9) the Independent Regulator may make a standing request that identifies a type of complaint that he wishes to receive. 11 Where the Healthcare Commission receives a request under paragraph (9) it must, provided that it has the consent, which may be either express or implied, of the complainant, send a copy of the complaint to the Independent Regulator— a in the case of an individual request, within two days of receiving the request; or b in the case of a standing request, within two days of receipt of a complaint which falls within the terms of that request. 12 On receipt of a copy of a complaint under paragraph (8) or (11) the Independent Regulator may give his views on the complaint or its handling to the Healthcare Commission and, where he wishes to give such views, must do so as soon as reasonably practicable. . Amendment of regulation 16 of the Principal Regulations 10 In regulation 16 (decision on handling of complaint) of the Principal Regulations, for paragraph (1)(c) substitute— c in the case of a complaint about an NHS foundation trust which falls within regulation 15(2), any views given by the Independent Regulator pursuant to regulation 15(12); . Amendment of regulation 18 of the Principal Regulations 11 In regulation 18 (panels) of the Principal Regulations— a for paragraph (1), substitute— 1 The Healthcare Commission may use an independent panel to hear and consider complaints. ; b in paragraph (2), omit “lay”; c omit paragraph (3); d in paragraph (4), for “ to (7)” substitute “and (6)”; e in paragraph (5), after “informed” insert “in a timely manner”; and f omit paragraph (7). Amendment of regulation 19 of the Principal Regulations 12 In regulation 19 (report of investigation by the Healthcare Commission) of the Principal Regulations— a for paragraph (3)(e), substitute— e in the case of a complaint involving an NHS foundation trust, the Independent Regulator, where he so requests. ; and b after paragraph (3), insert— 3A For the purposes of paragraph (3)(e) the Independent Regulator may make an individual request for a report to be sent to him, or a standing request that identifies a type of complaint of which he wishes to receive the report. . Signed by authority of the Secretary of State for Health Rosie Winterton Minister of State Department of Health 27th July 2006