Office of Public Sector Information

Form of communications

15.—(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(b) has not withdrawn such consent in writing or electronically.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.

Publicity

16.  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.

Monitoring

17.  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.

Annual reports

18.—(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 a Primary Care Trust; or

(b) a primary care provider or an independent provider,

and which in any year provides, or agrees to provide, services under arrangements with a Primary Care Trust.

(5) Where paragraph (4) applies to a responsible body, the responsible body must send a copy of its annual report to the Primary Care Trust which arranged for the provision of the services by the responsible body.

(6) Each Primary Care Trust must send a copy of its annual report to the Strategic Health Authority whose area includes any part of the area of the Primary Care Trust.

(7) The copy of the annual report required to be sent in accordance with paragraph (5) or (6) must be sent as soon as reasonably practicable after the end of the year to which the report relates.

Transitional provision: complaints to local authorities

19.—(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.

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

20.—(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.

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

21.—(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.

Revocations

22.—(1) Subject to regulations 20 and 21, the 2004 Regulations are revoked.

(2) Subject to regulation 19, the 2006 Regulations are revoked.

Consequential and transitional provisions

23.  The Schedule (consequential and transitional provisions) has effect.