The Patient Rights (Complaints Procedure and Consequential Provisions) (Scotland) Regulations 2012

PART 3 S DEALING WITH COMPLAINTS

Period for raising a complaint S

5.—(1) Regulations 6 [F1 to] 7 apply where a complaint is raised orally or in writing within six months from the date on which the subject matter of the complaint comes to the complainant’s notice, provided that is no later than twelve months after the date on which the subject matter of the complaint occurred.

(2) The periods specified in paragraph (1) may be extended if the feedback and complaints officer F2 ... considers it would be reasonable in the circumstances.

Textual Amendments

F1 Word in reg. 5(1) substituted (1.4.2017) by The Patient Rights (Complaints Procedure and Consequential Provisions) (Scotland) Amendment Regulations 2016 (S.S.I. 2016/401), regs. 1(1), 2(3) (with reg. 3)

F2 Words in reg. 5(2) deleted (1.4.2017) by The Patient Rights (Complaints Procedure and Consequential Provisions) (Scotland) Amendment Regulations 2016 (S.S.I. 2016/401), regs. 1(1), 2(4) (with reg. 3)

Commencement Information

I1 Reg. 5 in force at 1.4.2012, see reg. 1(1)

Requirement to deal with complaints S

F3 6.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F3 Regs. 6A-6D substituted for reg. 6 (1.4.2017) by The Patient Rights (Complaints Procedure and Consequential Provisions) (Scotland) Amendment Regulations 2016 (S.S.I. 2016/401), regs. 1(1), 2(5) (with reg. 3)

[F3 Complaints capable of being resolved without investigation S

6A.— (1) In dealing with a complaint other than one specified in regulation 6B(2) or 7(2), the responsible body must—

(a) make a written record of the complaint; and

(b) seek to resolve the complaint to the satisfaction of the complainant within 5 working days of the date on which the complaint is received.

(2) The period of 5 working days referred to in paragraph (1)(b) may be extended to 10 working days if the feedback and complaints officer considers—

(a) that the complaint cannot be resolved to the satisfaction of the complainant within 5 working days; and

(b) that extending the period is likely to result in the complaint being so resolved.

(3) Paragraph (4) applies where—

(a) the responsible body determines that it will not be possible to resolve the complaint as provided for in paragraph (1)(b) or (2); or

(b) the responsible body has provided a response to the complainant and the complainant has notified the responsible body, within the period specified in regulation 5(1), or as the case may be, the period extended by virtue of regulation 5(2), that the complainant is not satisfied with the response.

(4) The responsible body must—

(a) investigate the complaint;

(b) send the complainant a written acknowledgement of the complaint within 3 working days of the determination or, as the case may be, the notification;

(c) subject to regulation 6C, send the complainant a report of the investigation within 20 working days of the determination or, as the case may be, the notification.

(5) In this regulation a complaint is taken to be resolved “to the satisfaction of the complainant” if the responsible body has provided a response to the complaint, and the complainant has either—

(a) indicated that they are satisfied with the response; or

(b) not responded to the responsible body.

Textual Amendments

F3 Regs. 6A-6D substituted for reg. 6 (1.4.2017) by The Patient Rights (Complaints Procedure and Consequential Provisions) (Scotland) Amendment Regulations 2016 (S.S.I. 2016/401), regs. 1(1), 2(5) (with reg. 3)

Complaints requiring investigation S

6B.— (1) In dealing with a complaint specified in regulation 6B(2), the responsible body must—

(a) make a written record of the complaint;

(b) investigate the complaint;

(c) send the complainant a written acknowledgement of the complaint within 3 working days of the day on which the complaint is received;

(d) subject to regulation 6C, send the complainant a written report of the investigation within 20 working days of the day on which the complaint is received.

(2) A complaint is specified if—

(a) it is a complaint which is not specified in regulation 7(2); and

(b) the responsible authority considers that it is a serious or complex complaint which is not capable of being resolved without an investigation.

Textual Amendments

F3 Regs. 6A-6D substituted for reg. 6 (1.4.2017) by The Patient Rights (Complaints Procedure and Consequential Provisions) (Scotland) Amendment Regulations 2016 (S.S.I. 2016/401), regs. 1(1), 2(5) (with reg. 3)

Extension of time for investigation S

6C.   The period of 20 working days referred to in regulations 6A(4)(c) and 6B(1)(d) may be extended if the feedback and complaints officer considers that a longer period is necessary to complete the investigation into the complaint.

Textual Amendments

F3 Regs. 6A-6D substituted for reg. 6 (1.4.2017) by The Patient Rights (Complaints Procedure and Consequential Provisions) (Scotland) Amendment Regulations 2016 (S.S.I. 2016/401), regs. 1(1), 2(5) (with reg. 3)

Modification of procedure for anonymous complaints S

6D.— (1) A complaint is an “anonymous complaint” if the complainant does not disclose sufficient information about the complainant’s identity to enable the responsible authority to correspond about, or investigate, the complaint.

(2) If a complaint which is required to be dealt with under regulation 6A or 6B is an anonymous complaint, those regulations apply subject to the following modifications.

(3) A requirement to communicate with or send any information to the complainant only applies to the extent that it is reasonably practicable for the responsible authority to do so.

(4) A requirement to investigate the complaint only applies to the extent that the responsible authority is able to determine the facts and circumstances giving rise to the complaint.]

Textual Amendments

F3 Regs. 6A-6D substituted for reg. 6 (1.4.2017) by The Patient Rights (Complaints Procedure and Consequential Provisions) (Scotland) Amendment Regulations 2016 (S.S.I. 2016/401), regs. 1(1), 2(5) (with reg. 3)

[F4 Complaints not to be dealt with under the arrangements] S

7.—(1) In dealing with a complaint specified in regulation 7(2), the responsible body must as soon as reasonably practicable notify the complainant in writing—

(a) that such a complaint will not be investigated under the arrangements; and

(b) of the procedures for raising such a complaint.

(2) The following complaints are specified—

(a) a complaint raised by a relevant NHS body about the exercise of another relevant NHS body’s functions;

(b) a complaint raised by a service provider about any matter connected with the contract or arrangements under which that service provider provides health services;

(c) a complaint raised by an employee of a responsible body about any matter relating to that employee’s contract of employment;

(d) a complaint which is being or has been investigated by the Scottish Public Services Ombudsman;

(e) a complaint arising out of an alleged failure to comply with a request for information under the Freedom of Information (Scotland) Act 2002(1);

(f) a complaint about which the complainant [F5 has commenced legal proceedings (whether or not those proceedings have concluded)];

[F6 (fa) a complaint which in the opinion of the feedback and complaints officer should not be investigated under the arrangements because legal proceedings are likely to be commenced in respect of the complaint;]

(g) a complaint about which a responsible body is taking or proposing to take disciplinary proceedings against the person who is the subject of the complaint; and

(h) a complaint, the subject matter of which has previously been investigated under—

(i) the arrangements;

(ii) the 2005 Directions, in relation to a complaint raised under those Directions prior to 1st April 2012; or

(iii) a relevant complaints procedure, in relation to a complaint raised under such a procedure prior to 1st April 2012.

(3) Where a complaint specified in paragraph (2) is connected with another complaint which is not so specified, the other complaint is to be dealt with in accordance with [F7 regulation 6A or 6B, as the case may be].

Textual Amendments

F4 Reg. 7 heading inserted (1.4.2017) by The Patient Rights (Complaints Procedure and Consequential Provisions) (Scotland) Amendment Regulations 2016 (S.S.I. 2016/401), regs. 1(1), 2(6) (with reg. 3)

F5 Words in reg. 7(2)(f) substituted (1.4.2017) by The Patient Rights (Complaints Procedure and Consequential Provisions) (Scotland) Amendment Regulations 2016 (S.S.I. 2016/401), regs. 1(1), 2(7)(a) (with reg. 3)

F6 Reg. 7(2)(fa) inserted (1.4.2017) by The Patient Rights (Complaints Procedure and Consequential Provisions) (Scotland) Amendment Regulations 2016 (S.S.I. 2016/401), regs. 1(1), 2(7)(b) (with reg. 3)

F7 Words in reg. 7(3) substituted (1.4.2017) by The Patient Rights (Complaints Procedure and Consequential Provisions) (Scotland) Amendment Regulations 2016 (S.S.I. 2016/401), regs. 1(1), 2(8) (with reg. 3)

Commencement Information

I2 Reg. 7 in force at 1.4.2012, see reg. 1(1)

Form of communications S

8.  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 to this in writing; and

(b) has not withdrawn such consent in writing.

Commencement Information

I3 Reg. 8 in force at 1.4.2012, see reg. 1(1)

(1)

2002 asp 13.