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

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.