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Previous legislation and guidance on the complaints procedure

  • Last modified date:
    21 February 2007
  • Series number:
    EL (96) 19

The NHS complaints procedure - April 1996 to July 2004

This page contains all the legislation and guidance issued in relation to the previous NHS complaints procedure

Legislation

Directions were issued in 1996, and subsequently in 1998, to cover the arrangements for making a complaint in different parts of the NHS.

These Directions required NHS trusts and (and health authorities prior to their abolition in October 2002) to have written procedures for dealing with complaints within their organisation (Local Resolution) and to operate the second element of the complaints procedure (Independent Review).  Primary care practitioners are required, through their Terms of Service, to operate a practice-based complaints procedure (Local Resolution) and to co-operate with the Independent Review process operated by the relevant health authority (PCTs post 1 October 2002).

Primary Care Trusts and amendments as a result of the NHS Reform and Health Care Professions Act 2002 (Shifting the Balance of Power)

Changes to the structure of the NHS following enactment of the NHS Reforms and Health Care Professions Act 2002 (Shifting the Balance of Power) made it necessary to clarify the complaints role of primary care trusts and to reflect the abolition of health authorities in the complaints Directions. Duties on health authorities for operating parts of the complaints procedure transferred to primary care trusts on 1st October 2002.

Listed below are Directions to PCTs for handling complaints and three sets of 'Amendment' Directions which principally ensure that primary care trusts operate the existing Directions in as much as they apply to them (in particular those relating to complaints against primary care practitioners) and include references in the Directions to the new Strategic Health Authorities where appropriate.

Complaints about Strategic Health Authorities

Strategic Health Authorities (SHAs), which were established from 1 October 2002 by the National Health Service Reform and Health Care Professions Act 2002, are subject to the NHS complaints procedure by virtue of the Health Authority (Construction of References) Directions 2002. This means that Miscellaneous Directions to Health Authorities for Dealing With Complaints (issued in 1996) listed above apply to SHAs.

Personal Medical Services Pilot Schemes

From 1 April 2004, Personal Medical Services Pilot Schemes ceased to exist by virtue of the National Health Service (Personal Medical Services Agreements) Regulations 2004, aside from those Schemes covered by The General Medical Services and Personal Medical Services Transitional and Consequential Provisions Order 2004. 

An amended set of Directions on the NHS complaints procedure has been issued to address this change, basically by removing references to PMS pilot schemes, and these are listed below.

For queries on the Directions, please email nhscomplaintsprocedure@doh.gsi.gov.uk

Guidance

The following is all the guidance issued on the NHS complaints procedure since 1996

Other useful documents

The following two documents are reproduced by kind permission of the Health Service Ombudsmans office. They are a checklist for independent review panel reports and markers of success for complaints investigations.

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