Consultation on Health Complaints Regulations

Summary

The requester asked for a copy of the October 2020 consultation document regarding amendments to Health Complaints Regulations for the establishment of Manx Care. The Cabinet Office provided the document, noting that some information was sent but part was exempt.

Key Facts

• The consultation paper was issued on 14 October 2020 to key stakeholders.
• The document proposes amendments to the NHS (Complaints) Regulations 2004 and Social Services Independent Review Body Regulations 2014.
• The changes are intended to allow Manx Care to operate effectively from 1 April 2021.
• Proposals include requiring Manx Care to submit an annual complaints report to the Department of Health and Social Care (DHSC).
• Manx Care must notify the DHSC of any serious complaints as soon as reasonably practicable.

Data Disclosed

• 14-Oct-20
• 1 April 2021
• 2004
• 2014
• 2020
• 27 pages
• Version 0.01

Original Request

Please can you provide a copy of the Consultation on Health Complaints Regulations document issued to key stakeholders in circa October 2020. Thank you.

Data Tables (1)

Full Response Text

Amendments to the current health and social care complaints Regulations to allow for the establishment of Manx Care Key stakeholder consultation Date: 14-Oct-20 Version: 0.01 Status: Issued

Page: 1 of 27 Status: Issued
Date: 14-Oct-20 Version: 0.01 Contents Contents .................................................................................................................... 1 1. Purpose of the paper .......................................................................................... 2 2. Introduction ....................................................................................................... 3 3. Changes to secondary legislation ......................................................................... 4 4. Consultation ....................................................................................................... 6 5. Appendices ........................................................................................................ 7

Page: 2 of 27 Status: Issued
Date: 14-Oct-20 Version: 0.01 1. Purpose of the paper The purpose of this paper is to formally consult with key stakeholders on the approach being taken to change the existing complaints legislation, which consists of:  National Health Service (Complaints) Regulations 2004,
 National Health Service (Independent Review Body) Regulations 2004, and the
 Social Services Independent Review Body Regulations 2014 to allow for complaints procedures to operate effectively following the establishment of the new organisation to deliver health and care services for our Island (Manx Care).

Page: 3 of 27 Status: Issued
Date: 14-Oct-20 Version: 0.01 2. Introduction As part of establishing Manx Care, the Transformation Programme team are considering changes that are required to existing legislation to allow for Manx Care to operate effectively. One of the areas that is impacted and requires consideration is the handling and review of complaints in relation to services provided by Manx Care or its contracted service providers.
The situation with regard to complaints is being dealt with in three stages: 1. Revise/improve the existing complaints process (already in train by the Department of Health and Social Care (“DHSC”)); 2. Adjust the legislation to allow for the establishment of Manx Care; and
3. Deliver a longer term, comprehensive review of complaints handling as part of the National Health and Social Care Bill.
In relation to stage 2, the Transformation Team is considering changes that are required to existing legislation to allow for Manx Care to operate effectively.
The Manx Care Bill 2020 will bring in a requirement for the mandate to ensure that Manx Care and its contracted service providers each operate a complaints procedure. The Manx Care Bill 2020 also contains some consequential amendments to the National Health Service Act 2001 (“NHS Act 2001”) and the Social Service Act 2001 to allow for complaints about health and social care services to be made to Manx Care and the relevant Independent Review Body (“IRB”). Complaints about children and families social care services do not require legislative amendment as the relevant Act is not prescriptive about the complaints process and does not include the requirement for an IRB. The Transformation Team is aiming to agree the policy on the differences to the current complaints system due to the establishment of Manx Care that require changes to current legislation to be made in line with timescales for the establishment of Manx Care. It is intended that Manx Care is established from 1 April 2021.
The policy to inform the changes has been put together between the DHSC and the Transformation Team and we would welcome your views on the proposed changes outlined within this paper ahead of drafting the legislation.

Page: 4 of 27 Status: Issued
Date: 14-Oct-20 Version: 0.01 3. Changes to secondary legislation 3.1 Proposals The current complaints Regulations (listed above under section 1) set out how complaints are handled and considered by the DHSC for services provided under the NHS Act 2001, and the remit of the two IRBs.
It is acknowledged that the complaints processes and procedures across the DHSC require a more wholesale review; however, this cannot be completed within the timescales associated with the establishment of Manx Care. As noted above, complaints handling across the Health and Social Care Service will be considered as part of the National Health and Social Care Bill, the policy for which is currently being developed. Separate consultation on this will be carried out in due course. The general intention for the amendments being proposed to the Regulations at this stage is to allow complaints about services to be dealt with by Manx Care in the same way that they are currently dealt with by the DHSC and to allow them to continue to be referred to the relevant IRB. However, some changes are required in order to: 1. require Manx Care to prepare an annual report to the DHSC regarding complaints received by it or its commissioned service providers, 2. require Manx Care to notify the DHSC of any serious complaints received as soon as reasonably practicable. It is considered that the DHSC should be made aware of serious complaints, because the DHSC remains ultimately responsible for the services provided. The DHSC may also wish to be made aware of serious complaints in case the complaint is referred to the Minister or is made public. Serious complaint will be defined within the mandate, 3. allow the DHSC to take on a complaints review and assurance role for complaints. It is considered that complaints should be made to the service provider in the first instance. However, if the complainant is unhappy with the outcome of this review then the complaint can be referred to the DHSC, the IRB or the Mental Health Commission1 at this stage.
The proposed process, if the complaint is referred to the DHSC, is that the DHSC will seek to assure itself that the service provider has dealt with the complaint properly. If it has done so then the DHSC will inform the complainant of that. If the service provider has not dealt with it properly then the DHSC will inform the complainant and Manx Care of that fact and give Manx Care the opportunity to rectify the issue (itself or with the commissioned service provider). If Manx Care does not agree that the complaint has been dealt with unsatisfactorily, or the complainant remains unsatisfied, then the complaint can be referred to the IRB at this stage,

1 The Mental Health Act 1998 allows the Mental Health Commission to investigate complaints in relation to matters that occurred whilst a person was detained under that Act. It is not specific about where the complaint is to be made and so does not need updating to refer specifically to Manx Care. Services provided by Manx Care that may result in detainment under the Mental Health Act would be covered by the existing wording.

Page: 5 of 27 Status: Issued
Date: 14-Oct-20 Version: 0.01 4. allow the IRBs to continue to review individual complaints made in relation to health and social care services whether that service has been provided by Manx Care or its commissioned service providers. Versions of the current legislation showing the proposed updates to be made are attached at appendices 1 – 3 to this paper.

3.2 Next steps Following the consultation, it is intended that the Transformation Team will work with the Attorney General’s Chambers to draft the amending regulations which will reflect the changes shown in the appendices (subject to any comments received as part of the consultation). The changes highlighted reflect the proposals for the establishment of Manx Care only. It is acknowledged that there may be some further changes made to reflect the updated name of the Department of Health and Social Care and updates to other legislation that have occurred since the original regulations were made.
It is intended that the amending regulations will be laid before Tynwald ahead of 1 April 2021 in order for the changes to be effective on 1 April 2021, when Manx Care is established.

Page: 6 of 27 Status: Issued
Date: 14-Oct-20 Version: 0.01 4. Consultation This consultation is issued by the Health and Care Transformation Programme Management Office which is part of the Cabinet Office in conjunction with the Department of Health and Social Care. We would like to receive your comments by 11 November 2020. If you have any queries or suggestions in relation to the proposals please contact:

Health and Care Transformation Programme Management Office 2nd Floor, Heywood House Ridgeway Street Douglas IM1 1EW

Page: 7 of 27 Status: Issued
Date: 14-Oct-20 Version: 0.01 5. Appendices Appendix 1:
National Health Service (Complaints) Regulations 2004 - (with proposed amendments to be captured in the National Health Service (Complaints) (Amendment) Regulations 2021 marked in blue)

1. Citation commencement and interpretation

(1) These Regulations may be cited as the National Health Service (Complaints) Regulations 2004, and shall come into operation on the 1st January 2005.

(2) In these Regulations -

"the Act" means the National Health Service Act 2001;

"complainant" means any person who makes or has made a complaint in accordance with regulation 6;

"complaints manager'' means the person appointed under regulation 3;

"Department" means the Department of Health and Social Security;

"disciplinary proceedings" means any procedure for disciplining employees adopted by the Department, Manx Care or by the primary care provider;

"general medical services contractor'' means a person who has entered into a general medical services contract with the Department under section 31 of the Act or with Manx Care under section 17 of the Manx Care Act 2021;

"health care professional" means a person who is a member of a profession which is regulated by a health regulatory body;

"health regulatory body'' means a body mentioned in section 25(3) of the National Health Service Reform and Health Care Professionals Act 2002 (an Act of Parliament);

"independent provider" means a person or body, including a voluntary organisation which is providing services under arrangements (other than with a primary care provider) made with the Department in accordance with the Act or Manx Care in accordance with the Manx Care Act 2021;

"Independent Review Body'' means the body established by the Department under section 2 of the Act;

“Manx Care” means the body established under the Manx Care Act 2021;

"patient" in regulation 5 means a person who is receiving or has received services from the Department, Manx Care, a primary care provider or an independent provider;

“primary care provider" has the meaning given in paragraph (3);

Page: 8 of 27 Status: Issued
Date: 14-Oct-20 Version: 0.01 “primary care services" means services provided under Part 2 of the Act or the Manx Care Act 2021;

"staff' means any person who is employed by, or engaged to provide services to the Department, Manx Care, a primary care provider or an independent provider;

"working day'' means any day other than a Saturday, a Sunday, Christmas Day, Boxing Day, Good Friday or a day which is a bank holiday under the Bank Holidays Act 1989.

(3) A primary care provider means

(a) a general medical services contractor;

(b) a dental practitioner who provides general dental services in accordance with arrangements made under Part 2 of the Act or the Manx Care Act 2021;

(c) a person who provides general pharmaceutical services in accordance with arrangements made under Part 2 of the Act or the Manx Care Act 2021; and

(d) an ophthalmic optician or ophthalmic medical practitioners who provides general ophthalmic services in accordance with arrangements made under Part 2 of the Act or the Manx Care Act 2021.

1. Arrangements about the handling and consideration of complaints

(1) The Department, or as the case may be, Manx Care, and primary care providers must make arrangements in accordance with these Regulations for the handling and consideration of complaints.

(2) The arrangements must be accessible and such as to ensure that complaints are dealt with speedily and efficiently, and that complainants are treated courteously and sympathetically and as far as possible involved in decisions about how their complaints are handled and considered.

(3) The arrangements must be in writing and a copy must be given, free of charge, to any person who makes a request for one.

(4) Where the Department, or as the case may be, Manx Care, or primary care provider makes arrangements for the provision of services with an independent provider, it must ensure that the independent provider has in place arrangements for the handling and consideration of complaints about any matter connected to its provision of services as if these regulations applied to it.

1. Complaints manager

(1) The Department, Manx Care, and each primary care provider must designate a person, in these Regulations referred to as a complaints manager, to manage the procedures for handling and considering complaints and in particular

(a) to perform the functions of the complaints manager under these regulations; and

Page: 9 of 27 Status: Issued
Date: 14-Oct-20 Version: 0.01 (b) to perform such other functions in relation to complaints as the Department, or as the case may be, Manx Care, or a primary care provider may require.

(2) The functions of the complaints manager may be performed by him or by any person authorised by the Department, or as the case may be, Manx Care, or primary care provider to act on his behalf,

1. Complaints to the Department, Manx Care, and primary care providers

(1) Subject to paragraph (2), a complaint to the Department, or as the case may be, Manx Care, or a primary care provider may be about any matter reasonably connected with the exercise of its functions under the Act or the Manx Care Act 2021.

(2) The following complaints are excluded from the scope of the arrangements required under these Regulations -

(a) a complaint made by a primary care provider which relates to the contract or arrangements under which it provides primary care services;

(b) a complaint made by an employee of the Department, Manx Care, or a primary care provider about a matter relating to his contract of employment;

(c) a complaint made by an independent provider about any matter relating to arrangements made by the Departmen

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