# Care Act 2014

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U.K.

# Care Act 2014

# 2014 CHAPTER 23

An Act to make provision to reform the law relating to care and support for adults and the law relating to support for carers;                        to make provision about safeguarding adults from abuse or neglect; to make provision about care standards; to establish and                        make provision about Health Education England; to establish and make provision about the Health Research Authority; to make                        provision about integrating care and support with health services; and for connected purposes.                     

[14th May 2014]

Be it enacted by the Queen's most Excellent Majesty, by and with the advice and consent of the Lords Spiritual and Temporal, and Commons,                           in this present Parliament assembled, and by the authority of the same, as follows:—                        

## **PART 1**U.K.Care and support

### General responsibilities of local authoritiesE+W

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#### 2Preventing needs for care and supportE+W

(1)A local authority must provide or arrange for the provision of services, facilities or resources, or take other steps, which                        it considers will—                  

(a)contribute towards preventing or delaying the development by adults in its area of needs for care and support;                  

(b)contribute towards preventing or delaying the development by carers in its area of needs for support;                  

(c)reduce the needs for care and support of adults in its area;                  

(d)reduce the needs for support of carers in its area.                  

(2)In performing that duty, a local authority must have regard to—                  

(a)the importance of identifying services, facilities and resources already available in the authority's area and the extent                        to which the authority could involve or make use of them in performing that duty;                  

(b)the importance of identifying adults in the authority's area with needs for care and support which are not being met (by the                        authority or otherwise);                  

(c)the importance of identifying carers in the authority's area with needs for support which are not being met (by the authority                        or otherwise).                  

(3)Regulations may—                  

(a)permit a local authority to make a charge for providing or arranging for the provision of services, facilities or resources,                        or for taking other steps, under this section;                  

(b)prohibit a local authority from making a charge it would otherwise be permitted to make by virtue of paragraph (a).                  

(4)The regulations may in particular (in reliance on section 125(7)) make provision by reference to services, facilities or resources                        which—                  

(a)are of a specified type;                  

(b)are provided in specified circumstances;                  

(c)are provided to an adult of a specified description;                  

(d)are provided for a specified period only.                  

(5)A charge under the regulations may cover only the cost that the local authority incurs in providing or arranging for the provision                        of the service, facility or resource or for taking the other step.                  

(6)In cases where a local authority performs the duty under subsection (1) jointly with one or more other local authorities in                        relation to the authorities' combined area—                  

(a)references in this section to a local authority are to be read as references to the authorities acting jointly, and                  

(b)references in this section to a local authority's area are to be read as references to the combined area.                  

(7)Sections 21 (exception for persons subject to immigration control), 22 (exception for provision of health services) and 23                        (exception for provision of housing etc.) apply in relation to the duty under subsection (1), but with the modifications set out in those sections.                  

(8)“Adult” means a person aged 18 or over.                  

Commencement Information

I1S. 2(3)(4) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(a)**

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### Meeting needs for care etc.E+W

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### Assessing needsE+W

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#### 12Assessments under sections 9 and 10: further provisionE+W

(1)Regulations must make further provision about carrying out a needs or carer's assessment; the regulations may, in particular—                  

(a)require the local authority, in carrying out the assessment, to have regard to the needs of the family of the adult to whom                        the assessment relates;                  

(b)specify other matters to which the local authority must have regard in carrying out the assessment (including, in particular,                        the matters to which it must have regard in seeking to ensure that the assessment is carried out in an appropriate and proportionate                        manner);                  

(c)specify steps that the local authority must take for the purpose of ensuring that the assessment is carried out in an appropriate                        and proportionate manner;                  

(d)specify circumstances in which the assessment may or must be carried out by a person (whether or not an officer of the authority)                        who has expertise in a specified matter or is of such other description as is specified, jointly with or on behalf of the                        local authority;                  

(e)specify circumstances in which the adult to whom the assessment relates may carry out the assessment jointly with the local                        authority;                  

(f)specify circumstances in which the local authority must, before carrying out the assessment or when doing so, consult a person                        who has expertise in a specified matter or is of such other description as is specified;                  

(g)specify circumstances in which the local authority must refer the adult concerned for an assessment of eligibility for NHS                        continuing healthcare.                  

(2)The regulations may include provision for facilitating the carrying out of a needs or carer's assessment in circumstances                        specified under subsection (1)(d) or (e); they may, for example, give the local authority power to provide the person carrying                        out the assessment—                  

(a)in the case of a needs assessment, with information about the adult to whom the assessment relates;                  

(b)in the case of a carer's assessment, with information about the carer to whom the assessment relates and about the adult needing                        care;                  

(c)in either case, with whatever resources, or with access to whatever facilities, the authority thinks will be required to carry                        out the assessment.                  

(3)The local authority must give a written record of a needs assessment to—                  

(a)the adult to whom the assessment relates,                  

(b)any carer that the adult has, if the adult asks the authority to do so, and                  

(c)any other person to whom the adult asks the authority to give a copy.                  

(4)The local authority must give a written record of a carer's assessment to—                  

(a)the carer to whom the assessment relates,                  

(b)the adult needing care, if the carer asks the authority to do so, and                  

(c)any other person to whom the carer asks the authority to give a copy.                  

(5)A local authority may combine a needs or carer's assessment with an assessment it is carrying out (whether or not under this                        Part) in relation to another person only if the adult to whom the needs or carer's assessment relates agrees and—                  

(a)where the combination would include an assessment relating to another adult, that other adult agrees;                  

(b)where the combination would include an assessment relating to a child (including a young carer), the consent condition is                        met in relation to the child.                  

(6)The consent condition is met in relation to a child if—                  

(a)the child has capacity or is competent to agree to the assessments being combined and does so agree, or                  

(b)the child lacks capacity or is not competent so to agree but the local authority is satisfied that combining the assessments                        would be in the child's best interests.                  

(7)Where a local authority is carrying out a needs or carer's assessment, and there is some other assessment being or about to                        be carried out in relation to the adult to whom the assessment relates or in relation to a relevant person, the local authority                        may carry out that other assessment—                  

(a)on behalf of or jointly with the body responsible for carrying it out, or                  

(b)if that body has arranged to carry out the other assessment jointly with another person, jointly with that body and the other                        person.                  

(8)A reference to a needs or carer's assessment includes a reference to a needs or carer's assessment (as the case may be) which                        forms part of a combined assessment under subsection (5).                  

(9)A reference to an assessment includes a reference to part of an assessment.                  

(10)“NHS continuing health care” is to be construed in accordance with standing rules under section 6E of the National Health Service Act 2006.                  

(11)A person is a “relevant person”, in relation to a needs or carer's assessment, if it would be reasonable to combine an assessment relating to that person                        with the needs or carer's assessment (as mentioned in subsection (5)).                  

Commencement Information

I2S. 12(1)(2) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(b)**

#### 13The eligibility criteriaE+W

(1)Where a local authority is satisfied on the basis of a needs or carer's assessment that an adult has needs for care and support                        or that a carer has needs for support, it must determine whether any of the needs meet the eligibility criteria (see subsection                        (7)).                  

(2)Having made a determination under subsection (1), the local authority must give the adult concerned a written record of the                        determination and the reasons for it.                  

(3)Where at least some of an adult's needs for care and support meet the eligibility criteria, the local authority must—                  

(a)consider what could be done to meet those needs that do,                  

(b)ascertain whether the adult wants to have those needs met by the local authority in accordance with this Part, and                  

(c)establish whether the adult is ordinarily resident in the local authority's area.                  

(4)Where at least some of a carer's needs for support meet the eligibility criteria, the local authority must—                  

(a)consider what could be done to meet those needs that do, and                  

(b)establish whether the adult needing care is ordinarily resident in the local authority's area.                  

(5)Where none of the needs of the adult concerned meet the eligibility criteria, the local authority must give him or her written                        advice and information about—                  

(a)what can be done to meet or reduce the needs;                  

(b)what can be done to prevent or delay the development of needs for care and support, or the development of needs for support,                        in the future.                  

(6)Regulations may make provision about the making of the determination under subsection (1).                  

(7)Needs meet the eligibility criteria if—                  

(a)they are of a description specified in regulations, or                  

(b)they form part of a combination of needs of a description so specified.                  

(8)The regulations may, in particular, describe needs by reference to—                  

(a)the effect that the needs have on the adult concerned;                  

(b)the adult's circumstances.                  

Commencement Information

I3S. 13(7)(8) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(c)**

### Charging and assessing financial resourcesE+W

#### 14Power of local authority to chargeE+W

(1)A local authority—                  

(a)may make a charge for meeting needs under sections 18 to 20, and                  

(b)where it is meeting needs because Condition 2 in section 18 or Condition 2 or 4 in section 20 is met, may make a charge (in                        addition to the charge it makes under paragraph (a)) for putting in place the arrangements for meeting those needs.                  

(2)The power to make a charge under subsection (1) for meeting needs under section 18 is subject to section 15.                  

(3)The power to make a charge under subsection (1) for meeting a carer's needs for support under section 20 by providing care                        and support to the adult needing care may not be exercised so as to charge the carer.                  

(4)A charge under subsection (1)(a) may cover only the cost that the local authority incurs in meeting the needs to which the                        charge applies.                  

(5)Regulations may make provision about the exercise of the power to make a charge under subsection (1).                  

(6)Regulations may prohibit a local authority from making a charge under subsection (1); and the regulations may (in reliance                        on section 125(7)) prohibit a local authority from doing so where, for example, the care and support or the support—                  

(a)is of a specified type;                  

(b)is provided in specified circumstances;                  

(c)is provided to an adult of a specified description;                  

(d)is provided for a specified period only.                  

(7)A local authority may not make a charge under subsection (1) if the income of the adult concerned would, after deduction of                        the amount of the charge, fall below such amount as is specified in regulations; and the regulations may in particular (in                        reliance on section 125(7)) specify—                  

(a)different amounts for different descriptions of care and support;                  

(b)different amounts for different descriptions of support.                  

(8)Regulations under subsection (7) may make provision as to cases or circumstances in which an adult is to be treated as having                        income that would, or as having income that would not, fall below the amount specified in the regulations if a charge were                        to be made.                  

Commencement Information

I4S. 14(5)-(8) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(d)**

Prospective

#### 15Cap on care costsE+W

(1)A local authority may not make a charge under section 14 for meeting an adult's needs under section 18 if the total of the                           costs accrued in meeting the adult's eligible needs after the commencement of this section exceeds the cap on care costs.                     

(2)The reference to costs accrued in meeting eligible needs is a reference—                     

(a)in so far as the local authority met those needs, to the cost to the local authority of having done so (as reckoned from the                           costs specified in the personal budget for meeting those needs (see section 26));                     

(b)in so far as another local authority met the needs, to the cost to that other local authority of having done so (as reckoned                           from the costs so specified for meeting those needs);                     

(c)in so far as a person other than a local authority met the needs, to what the cost of doing so would have been to the local                           authority which would otherwise have done so (as reckoned from the costs specified in the independent personal budget for                           meeting those needs (see section 28).                     

(3)An adult's needs are “eligible needs” if, at the time they were met—                     

(a)they met the eligibility criteria,                     

(b)they were not being met by a carer, and                     

(c)the adult was ordinarily resident or present in the area of a local authority.                     

(4)The “cap on care costs” is the amount specified as such in regulations; and the regulations may in particular (in reliance                           on section 125(7))—                     

(a)specify different amounts for persons of different age groups;                     

(b)specify zero as the amount for persons of a specified description.                     

(5)The total of the costs accrued in meeting an adult's eligible needs after the commencement of this section (as referred to                           in subsection (1)) is referred to in this Part as the adult's “accrued costs”.                     

(6)Where the costs accrued include daily living costs, the amount attributable to the daily living costs is to be disregarded                           in working out for the purposes of subsection (1) the total of the costs accrued in meeting an adult's eligible needs after                           the commencement of this section.                     

(7)Where the cost to a local authority of meeting an adult's needs under section 18 includes daily living costs, and the accrued                           costs exceed the cap on care costs (with the result that subsection (1) applies), the local authority may nonetheless make                           a charge to cover the amount attributable to those daily living costs.                     

(8)For the purposes of this Part, the amount attributable to an adult's daily living costs is the amount specified in, or determined                           in accordance with, regulations.                     

Prospective

#### 16Cap on care costs: annual adjustmentE+W

(1)Where it appears to the Secretary of State that the level of average earnings in England is different at the end of a review                           period from what it was at the beginning of that period, the Secretary of State must make regulations under section 15(4)                           to vary the cap on care costs by the percentage increase or decrease by which that level has changed.                     

(2)If a variation is made under subsection (1), each adult's accrued costs are to be varied by the same percentage with effect                           from when the variation itself takes effect (and local authorities must accordingly ensure that care accounts and other records                           reflect the variation).                     

(3)The “level of average earnings in England” means the amount which represents the average annual earnings in England estimated in such manner as the Secretary of State                           thinks fit.                     

(4)“Review period” means—                     

(a)the period of 12 months beginning with the day on which section 15 comes into force, and                     

(b)each subsequent period of 12 months.                     

(5)The duty under subsection (1) does not restrict the exercise of the power to make regulations under section 15(4).                     

#### 17Assessment of financial resourcesE+W

(1)Where a local authority, having made a determination under section 13(1), thinks that, if it were to meet an adult's needs                        for care and support, it would charge the adult under section 14(1) for meeting at least some of the needs, it must assess—                  

(a)the level of the adult's financial resources, and                  

(b)the amount (if any) which the adult would be likely to be able to pay towards the cost of meeting the needs for care and support.                  

(2)Where a local authority thinks that, in meeting an adult's needs for care and support, it would make a charge under section                        15(7), it must assess—                  

(a)the level of the adult's financial resources, and                  

(b)the amount (if any) which the adult would be likely to be able to pay towards the amount attributable to the adult's daily                        living costs.                  

(3)Where a local authority, having made a determination under section 13(1), thinks that, if it were to meet a carer's needs                        for support, it would charge the carer under section 14(1) for meeting at least some of the needs, it must assess—                  

(a)the level of the carer's financial resources, and                  

(b)the amount (if any) which the carer would be likely to be able to pay towards the cost of meeting the needs for support.                  

(4)Where a local authority, having made a determination under section 13(1), thinks that, if it were to meet a carer's needs                        for support, it would charge the adult needing care under section 14(1) for meeting at least some of the needs, it must assess—                  

(a)the level of the financial resources of the adult needing care, and                  

(b)the amount (if any) which the adult needing care would be likely to be able to pay towards the cost of meeting the carer's                        needs for support.                  

(5)An assessment under this section is referred to in this Part as a “financial assessment”.                  

(6)A local authority, having carried out a financial assessment, must give a written record of the assessment to the adult to                        whom it relates.                  

(7)Regulations must make provision about the carrying out of a financial assessment.                  

(8)The regulations must make provision as to cases or circumstances in which, if the financial resources of an adult who has                        needs for care and support (whether in terms of income, capital or a combination of both) exceed a specified level, a local                        authority is not permitted to, or may (but need not)—                  

(a)in a case where the adult's accrued costs do not exceed the cap on care costs, pay towards the cost of the provision of care                        and support for the adult;                  

(b)in a case where the adult's accrued costs exceed the cap on care costs, pay towards the amount attributable to the adult's                        daily living costs.                  

(9)The regulations must make provision as to cases or circumstances in which, if the financial resources of a carer who has needs                        for support or of the adult needing care (whether in terms of income, capital or a combination of both) exceed a specified                        level, a local authority is not permitted to, or may (but need not), pay towards the cost of the provision of support for                        the carer.                  

(10)The level specified for the purposes of subsections (8) and (9) is referred to in this Part as “the financial limit”; and the regulations may in particular (in reliance on section 125(7)) specify—                  

(a)different levels for different descriptions of care and support;                  

(b)different levels for different descriptions of support.                  

(11)The regulations must make provision for—                  

(a)calculating income;                  

(b)calculating capital.                  

(12)The regulations may make provision—                  

(a)for treating, or not treating, amounts of a specified type as income or as capital;                  

(b)as to cases or circumstances in which an adult is to be treated as having, or as not having, financial resources above the                        financial limit.                  

(13)The regulations may make provision as to cases or circumstances in which a local authority is to be treated as—                  

(a)having carried out a financial assessment in an adult's case, and                  

(b)being satisfied on that basis that the adult's financial resources exceed, or that they do not exceed, the financial limit.                  

Commencement Information

I5S. 17(7)(9)-(13) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(e)**

I6S. 17(8) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 7(1)** (with art. 7(2))

### Duties and powers to meet needsE+W

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#### 22Exception for provision of health servicesE+W

(1)A local authority may not meet needs under sections 18 to 20 by providing or arranging for the provision of a service or facility                        that is required to be provided under the National Health Service Act 2006 unless—                  

(a)doing so would be merely incidental or ancillary to doing something else to meet needs under those sections, and                  

(b)the service or facility in question would be of a nature that the local authority could be expected to provide.                  

(2)Regulations may specify—                  

(a)types of services or facilities which, despite subsection (1), may be provided or the provision of which may be arranged by                        a local authority, or circumstances in which such services or facilities may be so provided or the provision of which may                        be so arranged;                  

(b)types of services or facilities which may not be provided or the provision of which may not be arranged by a local authority,                        or circumstances in which such services or facilities may not be so provided or the provision of which may not be so arranged;                  

(c)services or facilities, or a method for determining services or facilities, the provision of which is, or is not, to be treated                        as meeting the conditions in subsection (1)(a) and (b).                  

(3)A local authority may not meet needs under sections 18 to 20 by providing or arranging for the provision of nursing care by                        a registered nurse.                  

(4)But a local authority may, despite the prohibitions in subsections (1) and (3), arrange for the provision of accommodation                        together with the provision of nursing care by a registered nurse if—                  

(a)the authority has obtained consent for it to arrange for the provision of the nursing care from whichever clinical commissioning                        group regulations require, or                  

(b)the case is urgent and the arrangements for accommodation are only temporary.                  

(5)In a case to which subsection (4)(b) applies, as soon as is feasible after the temporary arrangements are made, the local                        authority must seek to obtain the consent mentioned in subsection (4)(a).                  

(6)Regulations may require a local authority—                  

(a)to be involved in the specified manner in processes for assessing a person's needs for health care and for deciding how those                        needs should be met;                  

(b)to make arrangements for determining disputes between the authority and a clinical commissioning group or the National Health                        Service Commissioning Board about whether or not a service or facility is required to be provided under the National Health                        Service Act 2006.                  

(7)Nothing in this section affects what a local authority may do under the National Health Service Act 2006, including entering                        into arrangements under regulations under section 75 of that Act (arrangements with NHS bodies).                  

(8)A reference to the provision of nursing care by a registered nurse is a reference to the provision by a registered nurse of                        a service involving—                  

(a)the provision of care, or                  

(b)the planning, supervision or delegation of the provision of care,                  

other than a service which, having regard to its nature and the circumstances in which it is provided, does not need to be                     provided by a registered nurse.                  

(9)Where, in a case within subsection (4), the National Health Service Commissioning Board has responsibility for arranging for                        the provision of the nursing care, the reference in paragraph (a) of that subsection to a clinical commissioning group is                        to be read as a reference to the Board.                  

(10)For the purposes of its application in relation to the duty in section 2(1) (preventing needs for care and support), this                        section is to be read as if references to meeting needs under sections 18 to 20 were references to performing the duty under                        section 2(1).                  

Commencement Information

I7S. 22(4)(a)(6) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(f)**

#### 23Exception for provision of housing etc.E+W

(1)A local authority may not meet needs under sections 18 to 20 by doing anything which it or another local authority is required                        to do under—                  

(a)the Housing Act 1996, or                  

(b)any other enactment specified in regulations.                  

(2)“Another local authority” includes a district council for an area in England for which there is also a county council.                  

(3)For the purposes of its application in relation to the duty in section 2(1) (preventing needs for care and support), this                        section is to be read as if, in subsection (1), for “meet needs under sections 18 to 20” there were substituted “ perform the duty under section 2(1) ”.                  

Commencement Information

I8S. 23(1)(b) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(g)**

### Next steps after assessmentsE+W

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#### 26Personal budgetE+W

(1)A personal budget for an adult is a statement which specifies—                  

(a)the cost to the local authority of meeting those of the adult's needs which it is required or decides to meet as mentioned                        in section 24(1),                  

(b)the amount which, on the basis of the financial assessment, the adult must pay towards that cost, and                  

(c)if on that basis the local authority must itself pay towards that cost, the amount which it must pay.                  

(2)In the case of an adult with needs for care and support which the local authority is required to meet under section 18, the                        personal budget must also specify—                  

(a)the cost to the local authority of meeting the adult's needs under that section, and                  

(b)where that cost includes daily living costs—                  

(i)the amount attributable to those daily living costs, and                  

(ii)the balance of the cost referred to in paragraph (a).                  

(3)A personal budget for an adult may also specify other amounts of public money that are available in the adult's case including,                        for example, amounts available for spending on matters relating to housing, health care or welfare.                  

(4)Regulations may make provision for excluding costs to a local authority from a personal budget if the costs are incurred in                        meeting needs for which the authority—                  

(a)does not make a charge, or                  

(b)is not permitted to make a charge.                  

Commencement Information

I9S. 26(4) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(h)**

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Prospective

#### 28Independent personal budgetE+W

(1)An independent personal budget is a statement which specifies what the cost would be to the local authority concerned (see                           section 24(3)) of meeting the adult's eligible needs for care and support.                     

(2)Where the amount referred to in subsection (1) includes daily living costs, the independent personal budget for the adult                           must specify—                     

(a)the amount attributable to those daily living costs, and                     

(b)the balance of the amount referred to in subsection (1).                     

(3)An adult's needs are “eligible needs” if, at the time they were met—                     

(a)they met the eligibility criteria,                     

(b)they were not being met by a carer, and                     

(c)the adult was ordinarily resident or present in the area of the local authority.                     

(4)A local authority must—                     

(a)keep under review generally independent personal budgets that it has prepared, and                     

(b)on a reasonable request by or on behalf of the adult to whom an independent personal budget relates, review the independent                           personal budget.                     

(5)A local authority may revise an independent personal budget; and in deciding whether or how to do so, it must, in so far as                           it is feasible to do so, involve—                     

(a)the adult to whom the independent personal budget relates,                     

(b)any carer that the adult has, and                     

(c)any other person whom the adult asks the authority to involve or, where the adult lacks capacity to ask the authority to do                           that, any person who appears to the authority to be interested in the adult's welfare.                     

(6)Where a local authority is satisfied that the circumstances of the adult to whom an independent personal budget applies have                           changed in a way that affects the independent personal budget, the authority must—                     

(a)to the extent it thinks appropriate, carry out a needs assessment and make a determination under section 13(1), and                     

(b)revise the independent personal budget accordingly.                     

(7)Where, in a case within subsection (6), an adult refuses a needs assessment and the local authority thinks that the adult's                           refusal is unreasonable, it need no longer keep an up-to-date care account in the adult's case.                     

(8)Having reviewed an independent personal budget, a local authority must—                     

(a)if it revises the independent personal budget, notify the adult to whom the independent personal budget relates of the revisions                           and provide an explanation of the effect of each revision, or                     

(b)if it does not revise the independent personal budget, notify the adult accordingly.                     

Prospective

#### 29Care accountE+W

(1)Where an adult has needs for care and support which meet the eligibility criteria, the local authority in whose area the adult                           is ordinarily resident or, if the adult is of no settled residence, in whose area the adult is present—                     

(a)must keep an up-to-date record of the adult's accrued costs (a “care account”), and                     

(b)once those costs exceed the cap on care costs, must inform the adult.                     

(2)Where a local authority which has been keeping a care account is no longer required to do so, it must nonetheless retain the                           account that it has kept so far until—                     

(a)the end of the period of 99 years beginning with the day on which it last updated the account, or                     

(b)where the adult dies, the local authority becomes aware of the death.                     

(3)A care account must specify such amount as is attributable to the adult's daily living costs.                     

(4)A local authority which is keeping a care account must, at such times as regulations may specify, provide the adult concerned                           with a statement which—                     

(a)sets out the adult's accrued costs, and                     

(b)includes such other matters as regulations may specify.                     

(5)Regulations may specify circumstances in which the duty under subsection (4) does not apply.                     

#### 30Cases where adult expresses preference for particular accommodationE+W

(1)Regulations may provide that where—                  

(a)a local authority is going to meet needs under sections 18 to 20 by providing or arranging for the provision of accommodation                        of a specified type,                  

(b)the adult for whom the accommodation is going to be provided expresses a preference for particular accommodation of that type,                        and                  

(c)specified conditions are met,                  

the local authority must provide or arrange for the provision of the preferred accommodation.

(2)The regulations may provide for the adult or a person of a specified description to pay for some or all of the additional                        cost in specified cases or circumstances.                  

(3)“Additional cost” means the cost of providing or arranging for the provision of the preferred accommodation less that part of the amount specified                        in the personal budget for the purposes of section 26(1)(a) that relates to the provision of accommodation of that type.                  

Commencement Information

I10S. 30 in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(i)**

### Direct paymentsE+W

#### 31. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 32. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 33Direct payments: further provisionE+W

(1)Regulations must make further provision about direct payments.                  

(2)The regulations may, in particular, specify—                  

(a)cases or circumstances in which a local authority must not, or cases or circumstances in which it has the discretion to decide                        not to, meet needs by making direct payments;                  

(b)conditions which a local authority may or must attach to the making of direct payments;                  

(c)matters to which a local authority may or must have regard when making a decision of a specified type in relation to direct                        payments;                  

(d)steps which a local authority may or must take before, or after, making a decision of a specified type in relation to direct                        payments;                  

(e)cases or circumstances in which an adult who lacks capacity to request the making of direct payments must or may nonetheless                        be regarded for the purposes of this Part or the regulations as having capacity to do so;                  

(f)cases or circumstances in which an adult who no longer lacks capacity to make such a request must or may nonetheless be regarded                        for any of those purposes as lacking capacity to do so;                  

(g)cases or circumstances in which a local authority making direct payments must review the making of those payments.                  

(3)A direct payment is made on condition that it be used only to pay for arrangements under which the needs specified under section                        25(2)(a) in the care and support plan or (as the case may be) the support plan are met.                  

(4)In a case where one or more of conditions 1 to 4 in section 31 is no longer met or one or more of conditions 1 to 5 in section                        32 is no longer met, the local authority must terminate the making of direct payments.                  

(5)In a case where a condition specified under subsection (2)(b) or the condition mentioned in subsection (3) is breached, the                        local authority—                  

(a)may terminate the making of direct payments, and                  

(b)may require repayment of the whole or part of a direct payment (with section 69 accordingly applying to sums which the local                        authority requires to be repaid).                  

Commencement Information

I11S. 33(1)(2) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(j)**

### Deferred payment agreements, etc.E+W

#### 34Deferred payment agreements and loansE+W

(1)Regulations may, in such cases or circumstances and subject to such conditions as may be specified, require or permit a local                        authority to enter into a deferred payment agreement with an adult.                  

(2)A “deferred payment agreement” is an agreement under which a local authority agrees not to require until the specified time                        either or both of the following—                  

(a)the payment of the specified part of the amounts due from an adult to the authority under such provision of this Part or of                        regulations under this Part as is specified in regulations;                  

(b)the repayment of the specified part of a loan made under the agreement by the authority to an adult for the purpose of assisting                        the adult to obtain the provision of care and support for the adult.                  

(3)The care and support mentioned in subsection (2)(b) includes care and support the provision of which—                  

(a)the authority does not consider to be necessary to meet the adult's needs;                  

(b)is in addition to care and support which is being provided, arranged for, or paid for (in whole or in part) by the authority.                  

(4)Regulations under subsection (1) may, in particular, prohibit a local authority from entering into, or permit it to refuse                        to enter into, a deferred payment agreement unless it obtains adequate security for the payment of the adult's deferred amount.                  

(5)Regulations may specify what constitutes adequate security for the purposes of subsection (4); they may, for example, specify—                  

(a)an obligation on the adult to give the authority a charge over the adult's legal or beneficial interest in the property which                        the adult occupies as his or her only or main residence (or in a property which the adult used to occupy as such) to secure                        payment of the adult's deferred amount;                  

(b)a guarantee from another person to pay the adult's deferred amount.                  

(6)A reference in this section or section 35 to an adult's deferred amount, in relation to a deferred payment agreement, is a                        reference to the amount of which the local authority agrees not to require payment or repayment until the specified time.                  

(7)“Specified”, in relation to a time or a part of an amount or loan, means specified in or determined in accordance with regulations;                        and the specified part of an amount or loan may be 100%.                  

(8)This section applies in relation to an agreement under which a local authority agrees to make a loan to an adult for the purpose                        of assisting the adult to obtain the provision of care and support for the adult as it applies in relation to a deferred payment                        agreement; and for that purpose—                  

(a)the reference in subsection (3) to subsection (2)(b) is to be read as a reference to this subsection; and                  

(b)the references in subsections (4) and (5) to payment of the adult's deferred amount are to be read as references to repayment                        of the loan.                  

Commencement Information

I12S. 34(1)(2)(4)-(8) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(k)**

#### 35Deferred payment agreements and loans: further provisionE+W

(1)Regulations may require or permit a local authority to charge—                  

(a)interest on an adult's deferred amount;                  

(b)such amount relating to the authority's administrative costs as is specified in or determined in accordance with the regulations;                  

(c)interest on an amount charged under paragraph (b).                  

(2)The regulations may specify costs which are, or which are not, to be regarded as administrative costs for the purposes of                        subsection (1)(b).                  

(3)The regulations may—                  

(a)require or permit adequate security to be obtained for the payment of any interest or other amount referred to in subsection                        (1);                  

(b)require or permit any such interest or other amount to be treated in the same way as the adult's deferred amount;                  

(c)specify what constitutes adequate security for the purposes of paragraph (a).                  

(4)The authority may not charge interest under regulations made under subsection (1) or under a deferred payment agreement at                        a rate that exceeds the rate specified in or determined in accordance with the regulations; the regulations may, for example,                        provide for a rate to be determined by reference to a specified interest rate or other specified criterion.                  

(5)The regulations must enable the adult to terminate a deferred payment agreement by—                  

(a)giving the authority notice, and                  

(b)paying the authority the full amount for which the adult is liable with respect to the adult's deferred amount and any interest                        or other amount charged under regulations made under subsection (1) or under the agreement.                  

(6)The regulations may make other provision about the duration of a deferred payment agreement and for its termination by either                        party.                  

(7)The regulations may make provision as to the rights and obligations of the authority and the adult where the adult disposes                        of any legal or beneficial interest in a property to which a deferred payment agreement relates and acquires a legal or beneficial                        interest in another property (whether or not it is in the area of that authority); they may, for example, make provision—                  

(a)for the authority not to require payment of the amounts referred to in subsection (5)(b) until the time specified in or determined                        in accordance with the regulations;                  

(b)for the adult to give the authority a charge over the adult's legal or beneficial interest in the other property.                  

(8)The regulations may—                  

(a)require or permit terms or conditions of a specified description, or in a specified form, to be included in a deferred payment                        agreement;                  

(b)permit such other terms or conditions as the authority considers appropriate to be included in such an agreement;                  

(c)require statements or other information relating to specified matters, or in a specified form, to be included in such an agreement.                  

(9)The regulations may make provision for the purpose of enabling local authorities to protect (for example, by registration)                        or enforce security obtained for the payment of the adult's deferred amount or the payment of any interest or other amount                        referred to in subsection (1); and, for that purpose, the regulations may amend, repeal, or revoke an enactment, or provide                        for an enactment to apply with specified modifications.                  

(10)This section applies in relation to an agreement of the kind mentioned in section 34(8) as it applies in relation to a deferred                        payment agreement; and for that purpose—                  

(a)the references in subsections (1), (3) and (5) to the adult's deferred amount are to be read as references to the loan; and                  

(b)the reference in subsection (9) to payment of the adult's deferred amount is to be read as a reference to repayment of the                        loan.                  

Commencement Information

I13S. 35 in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(k)**

Prospective

#### 36Alternative financial arrangementsE+W

(1)Regulations may, in such cases or circumstances and subject to such conditions as may be specified, require or permit a local                           authority to enter into alternative financial arrangements of a specified description with an adult.                     

(2)“Alternative financial arrangements” means arrangements which in the Secretary of State's opinion—                     

(a)equate in substance to a deferred payment agreement or an agreement of the kind mentioned in section 34(8), but                     

(b)achieve a similar effect to an agreement of the kind in question without including provision for the payment of interest.                     

(3)The regulations may make provision in connection with alternative financial arrangements to which they apply, including, in                           particular, provision of the kind that may (or must) be made in regulations under section 34 or 35 (apart from provision for                           the payment of interest).                     

### Continuity of care and support when adult movesE+W

#### 37. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 38Case where assessments not complete on day of moveE+W

(1)If, on the day of the intended move as mentioned in section 37(1)(b), (2)(b) or (3)(b), the second authority has yet to carry                        out the assessment or assessments under section 37(6), or has done so but has yet to take the other steps required under this                        Part in the adult's case, it must—                  

(a)meet the adult's needs for care and support, and the needs for support of any carer who is continuing as the adult's carer,                        which the first authority has been meeting, and                  

(b)where the first authority has been keeping a care account in the adult's case, itself keep that account on the same basis                        as the first authority has been keeping it.                  

(2)The second authority is subject to the duty under subsection (1) until it has—                  

(a)carried out the assessment or assessments under section 37(6), and                  

(b)taken the other steps required under this Part in the adult's case.                  

(3)In deciding how to meet the adult's needs for care and support under subsection (1), the second authority must involve—                  

(a)the adult,                  

(b)any carer who is continuing as the adult's carer, and                  

(c)any person whom the adult asks the authority to involve or, where the adult lacks capacity to ask the authority to do that,                        any person who appears to the authority to be interested in the adult's welfare.                  

(4)In deciding how to meet the needs for support of any carer who is continuing as the adult's carer, the second authority must                        involve—                  

(a)the carer,                  

(b)the adult needing care, if the carer asks the authority to do so, and                  

(c)any other person whom the carer asks the authority to involve.                  

(5)In performing the duty under subsection (3)(a) or (4)(a), the second authority must take all reasonable steps to reach agreement                        with the adult or carer about how it should meet the needs in question.                  

(6)The first authority is not required to meet the adult's needs for care and support or, if the adult has a carer, such needs                        for support as the carer has, for so long as the second authority is subject to the duty under subsection (1).                  

(7)Where, having complied with the duty under subsection (1), the second authority is not required to meet the adult's needs                        for care and support under section 18 because the adult is still ordinarily resident in the area of the first authority, the                        second authority may recover from the first authority the costs it incurs in complying with the duty under subsection (1).                  

(8)Regulations may specify matters to which the second authority must have regard in deciding how to perform the duty under subsection                        (1).                  

Commencement Information

I14S. 38(8) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(l)**

### Establishing where a person lives, etc.U.K.

#### 39Where a person's ordinary residence isU.K.

(1)Where an adult has needs for care and support which can be met only if the adult is living in accommodation of a type specified                        in regulations, and the adult is living in accommodation in England of a type so specified, the adult is to be treated for                        the purposes of this Part as ordinarily resident—                  

(a)in the area in which the adult was ordinarily resident immediately before the adult began to live in accommodation of a type                        specified in the regulations, or                  

(b)if the adult was of no settled residence immediately before the adult began to live in accommodation of a type so specified,                        in the area in which the adult was present at that time.                  

(2)Where, before beginning to live in his or her current accommodation, the adult was living in accommodation of a type so specified                        (whether or not of the same type as the current accommodation), the reference in subsection (1)(a) to when the adult began                        to live in accommodation of a type so specified is a reference to the beginning of the period during which the adult has been                        living in accommodation of one or more of the specified types for consecutive periods.                  

(3)The regulations may make provision for determining for the purposes of subsection (1) whether an adult has needs for care                        and support which can be met only if the adult is living in accommodation of a type specified in the regulations.                  

(4)An adult who is being provided with accommodation under section 117 of the Mental Health Act 1983 (after-care) is to be treated                        for the purposes of this Part as ordinarily resident in the area of the local authority in England or the local authority                        in Wales on which the duty to provide the adult with services under that section is imposed; and for that purpose—                  

(a)“local authority in England” means a local authority for the purposes of this Part, and                  

(b)“local authority in Wales” means a local authority for the purposes of the Social Services and Well-being (Wales) Act 2014.                  

(5)An adult who is being provided with NHS accommodation is to be treated for the purposes of this Part as ordinarily resident—                  

(a)in the area in which the adult was ordinarily resident immediately before the accommodation was provided, or                  

(b)if the adult was of no settled residence immediately before the accommodation was provided, in the area in which the adult                        was present at that time.                  

(6)“NHS accommodation” means accommodation under—                  

(a)the National Health Service Act 2006,                  

(b)the National Health Service (Wales) Act 2006,                  

(c)the National Health Service (Scotland) Act 1978, or                  

(d)Article 5(1) of the Health and Personal Social Services (Northern Ireland) Order 1972.                  

(7)The reference in subsection (1) to this Part does not include a reference to section 28 (independent personal budget).                  

(8)Schedule 1 (which makes provision about cross-border placements to and from Wales, Scotland or Northern Ireland) has effect.                  

Commencement Information

I15S. 39(1)(3) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(m)**

I16S. 39(8) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(x)(2)**

#### 40Disputes about ordinary residence or continuity of careE+W

(1)Any dispute about where an adult is ordinarily resident for the purposes of this Part, or any dispute between local authorities                        under section 37 about the application of that section, is to be determined by—                  

(a)the Secretary of State, or                  

(b)where the Secretary of State appoints a person for that purpose (the “appointed person”), that person.                  

(2)The Secretary of State or appointed person may review a determination under subsection (1), provided that the review begins                        within 3 months of the date of the determination.                  

(3)Having carried out a review under subsection (2), the Secretary of State or appointed person must—                  

(a)confirm the original determination, or                  

(b)substitute a different determination.                  

(4)Regulations may make further provision about resolution of disputes of the type mentioned in subsection (1); the regulations                        may, for example, include—                  

(a)provision for ensuring that care and support is provided to the adult while the dispute is unresolved;                  

(b)provision requiring the local authorities in dispute to take specified steps before referring the dispute to the Secretary                        of State or (as the case may be) the appointed person;                  

(c)provision about the procedure for referring the dispute to the Secretary of State or appointed person;                  

(d)where a review of a determination has been carried out under subsection (2) and a different determination substituted, provision                        requiring a local authority to take specified steps (including paying specified amounts) in relation to the period before                        the determination was substituted.                  

Commencement Information

I17S. 40(4) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(n)**

#### 41. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

### Safeguarding adults at risk of abuse or neglectE+W

#### 42. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 43. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 44. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 45. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 46. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 47. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

### Provider failureU.K.

#### 48. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 49. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 50. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 51. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 52Sections 48 to 51: supplementaryU.K.

(1)An authority becomes subject to the duty under section 48(2), 50(3) or 51(3) as soon as it becomes aware of the business failure.                  

(2)Section 8 (how to meet needs) applies to meeting needs under section 48(2) as it applies to meeting needs under section 18.                  

(3)Section 34 of the Social Services and Well-being (Wales) Act 2014 (how to meet needs) applies to meeting needs under section                        50(3) as it applies to meeting needs under section 35 of that Act.                  

(4)In deciding how to meet an adult's needs for care and support under section 48(2), 50(3) or 51(3), an authority must involve—                  

(a)the adult,                  

(b)any carer that the adult has, and                  

(c)any person whom the adult asks the authority to involve or, where the adult lacks capacity to ask the authority to do that,                        any person who appears to the authority to be interested in the adult's welfare.                  

(5)In deciding how to meet a carer's needs for support under section 48(2), 50(3) or 51(3), an authority must involve—                  

(a)the carer, and                  

(b)any person whom the carer asks the authority to involve.                  

(6)In carrying out the duty under subsection (4)(a) or (5)(a), an authority must take all reasonable steps to reach agreement                        with the adult or carer about how it should meet the needs in question.                  

(7)Sections 21 to 23 (exceptions to duty to meet needs) apply to meeting needs under section 48(2) as they apply to meeting needs                        under section 18.                  

(8)Sections 46 to 49 of the Social Services and Well-being (Wales) Act 2014 (exceptions to, and restrictions on, duty to meet                        needs) apply to meeting needs under section 50(3) as they apply to meeting needs under section 35 of that Act.                  

(9)Where an adult whose case comes within section 48 is being provided with NHS continuing healthcare under arrangements made                        by a clinical commissioning group no part of whose area is in the local authority's area, the group is to be treated as a                        relevant partner of the authority for the purposes of sections 6 and 7.                  

(10)“NHS continuing healthcare” is to be construed in accordance with standing rules under section 6E of the National Health Service Act 2006.                  

(11)Where a local authority considers it necessary to do so for the purpose of carrying out its duty under section 48(2), it may                        request the registered care provider, or such other person involved in the provider's business as it considers appropriate,                        to provide it with specified information.                  

(12)Regulations must make provision as to the interpretation for the purposes of sections 48, 50 and 51 and this section of references                        to business failure or to being unable to do something because of business failure; and the regulations may, in particular,                        specify circumstances in which a person is to be treated as unable to do something because of business failure.                  

(13)Pending the commencement of Part 4 of the Social Services and Well-being (Wales) Act 2014—                  

(a)a reference in section 49 or 51 to making arrangements to meet needs under section 35 or 36 of that Act is to be read as a                        reference to making arrangements or providing services under—                  

(i)Part 3 of the National Assistance Act 1948,                  

(ii)section 45 of the Health Services and Public Health Act 1968,                  

(iii)section 117 of the Mental Health Act 1983, or                  

(iv)Schedule 15 to the National Health Service (Wales) Act 2006;                  

(b)a reference in section 49 or 51 to making arrangements to meet needs under section 40 or 45 of that Act is to be read as a                        reference to providing services as referred to in section 2 of the Carers and Disabled Children Act 2000;                  

(c)a reference in section 49 or 51 to making direct payments under section 50 or 52 of that Act is to be read as a reference                        to making direct payments by virtue of section 57 of the Health and Social Care Act 2001;                  

(d)subsection (8) is to be read as if there were substituted for it—                  

“(8)Sections 21(1A) and (8) and 29(6) of the National Assistance Act 1948 apply to meeting needs under section 50(3) as they apply                           to the exercise of functions under sections 21 and 29 of that Act by a local authority in Wales (within the meaning given                           in paragraph 12 of Schedule 1).”                  

(14)Pending the commencement of section 5 of the Social Care (Self-directed Support) (Scotland) Act 2013—                  

(a)sections 49(2)(b)(ii) and 50(2)(b)(ii) are to be read as if there were substituted for each of them—                  

“(ii)under section 12B of the Social Work (Scotland) Act 1968,”, and                  

(b)section 51(2)(b)(iii) is to be read as if there were substituted for it—                  

“(iii)under section 12B of the Social Work (Scotland) Act 1968.”.                  

Commencement Information

I18S. 52(12) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(o)**

### Market oversightE+W

#### 53Specifying criteria for application of market oversight regimeE+W

(1)Regulations must specify criteria for determining whether (subject to regulations under subsection (4)) section 55 (financial                        sustainability assessment) applies to a registered care provider who is registered in respect of the carrying on of a regulated                        activity relating to the provision of social care for adults.                  

(2)In specifying the criteria, the Secretary of State must have regard to the following in particular—                  

(a)the amount of social care provided by a registered care provider,                  

(b)the geographical concentration of a registered care provider's business,                  

(c)the extent to which a registered care provider specialises in the provision of particular types of care.                  

(3)The Secretary of State must—                  

(a)at such times as the Secretary of State considers appropriate, review the criteria for the time being specified in the regulations,                        and                  

(b)publish information about how the matters mentioned in subsection (2), and any other matters to which the Secretary of State                        has regard in specifying the criteria, are to be measured.                  

(4)Regulations may provide that section 55 does not apply, or applies only to the extent specified, to a specified registered                        care provider or to a registered care provider of a specified description, regardless of whether that provider or a provider                        of that description would satisfy the criteria.                  

(5)Regulations may provide that section 55 applies, or applies to the extent specified, to a specified registered care provider                        or to a registered care provider of a specified description, regardless of whether that provider or a provider of that description                        would satisfy the criteria.                  

(6)The circumstances in which regulations may be made under subsection (4) include those in which the Secretary of State is satisfied                        that certain registered care providers are already subject to a regulatory regime comparable to that provided for by sections                        55 and 56; and regulations made in such circumstances may, for example, make provision requiring specified persons to co-operate                        or to share information of a specified description.                  

(7)“Social care” has the same meaning as in Part 1 of the Health and Social Care Act 2008.                  

Commencement Information

I19S. 53(1)(2)(7) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(p)**

#### 54Determining whether criteria apply to care providerE+W

(1)The Care Quality Commission must determine, in the case of each registered care provider, whether the provider satisfies one                        or more of the criteria specified in regulations under section 53.                  

(2)If the Commission determines that the provider satisfies one or more of the criteria, section 55 applies to that provider                        unless, or except in so far as, regulations under section 53(4) provide that it does not apply.                  

(3)Where section 55 applies to a registered care provider (whether as a result of subsection (2) or as a result of regulations                        under section 53(5)), the Commission must inform the provider accordingly.                  

#### 55Assessment of financial sustainability of care providerE+W

(1)Where this section applies to a registered care provider, the Care Quality Commission must assess the financial sustainability                        of the provider's business of carrying on the regulated activity in respect of which it is registered.                  

(2)Where the Commission, in light of an assessment under subsection (1), considers that there is a significant risk to the financial                        sustainability of the provider's business, it may—                  

(a)require the provider to develop a plan for how to mitigate or eliminate the risk;                  

(b)arrange for, or require the provider to arrange for, a person with appropriate professional expertise to carry out an independent                        review of the business.                  

(3)Where the Commission imposes a requirement on a care provider under subsection (2)(a), it may also require the provider—                  

(a)to co-operate with it in developing the plan, and                  

(b)to obtain its approval of the finalised plan.                  

(4)Where the Commission arranges for a review under subsection (2)(b), it may recover from the provider such costs as the Commission                        incurs in connection with the arrangements (other than its administrative costs in making the arrangements).                  

(5)Regulations may make provision for enabling the Commission to obtain from such persons as it considers appropriate information                        which the Commission believes will assist it to assess the financial sustainability of a registered care provider to which                        this section applies.                  

(6)Regulations may make provision about the making of the assessment required by subsection (1).                  

(7)The Commission may consult such persons as it considers appropriate on the method for assessing the financial sustainability                        of a registered care provider's business; and, having done so, it must publish guidance on the method it expects to apply                        in making the assessment.                  

Commencement Information

I20S. 55(5) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(q)**

#### 56Informing local authorities where failure of care provider likelyE+W

(1)This section applies where the Care Quality Commission is satisfied that a registered care provider to which section 55 applies                        is likely to become unable to carry on the regulated activity in respect of which it is registered because of business failure                        as mentioned in section 48.                  

(2)The Commission must inform the local authorities which it thinks will be required to carry out the duty under section 48(2)                        if the provider becomes unable to carry on the regulated activity in question.                  

(3)Where the Commission considers it necessary to do so for the purpose of assisting a local authority to carry out the duty                        under section 48(2), it may request the provider, or such other person involved in the provider's business as the Commission                        considers appropriate, to provide it with specified information.                  

(4)Where (as a result of subsection (3) or otherwise) the Commission has information about the provider's business that it considers                        may assist a local authority in carrying out the duty under section 48(2), the Commission must give the information to the                        local authority.                  

(5)Regulations may make provision as to the circumstances in which the Commission is entitled to be satisfied for the purposes                        of subsection (1) that a registered care provider is likely to become unable to carry on a regulated activity.                  

(6)The Commission may consult such persons as it considers appropriate on the methods to apply in assessing likelihood for the                        purposes of subsection (1); and, having carried out that consultation, it must publish guidance on the methods it expects                        to apply in making the assessment.                  

#### 57Sections 54 to 56: supplementaryE+W

(1)For the purposes of Part 1 of the Health and Social Care Act 2008, the duties imposed on the Care Quality Commission under                        sections 54(1) and 55(1) are to be treated as regulatory functions of the Commission.                  

(2)For the purposes of that Part of that Act, the doing by the Commission of anything for the purpose of assisting a local authority                        to carry out the duty under section 48(2) is to be treated as one of the Commission's regulatory functions.                  

(3)For the purposes of sections 17 and 18 of that Act (cancellation or suspension of registration under Part 1 of that Act),                        a requirement imposed on a registered care provider under or by virtue of any of sections 54 to 56 (or by virtue of subsection                        (1) or (2)) is to be treated as a requirement imposed by or under Chapter 6 of Part 1 of that Act.                  

(4)The Commission must, in exercising any of its functions under sections 54 to 56, have regard to the need to minimise the burdens                        it imposes on others.                  

### Transition for children to adult care and support, etc.E+W

#### 58. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 59. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 60. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 61. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 62Power to meet child's carer's needs for supportE+W

(1)Where a local authority, having carried out a child's carer's assessment, is satisfied that the carer has needs for support,                        it may meet such of those needs as it considers appropriate.                  

(2)Regulations may make provision in connection with the exercise of the power under subsection (1); the regulations may, in                        particular, provide for provisions of this Part to apply with such modifications as may be specified.                  

(3)In deciding whether or how to exercise the power under subsection (1), a local authority must have regard to any services                        being provided to the carer under section 17 of the Children Act 1989.                  

(4)“Carer” has the same meaning as in section 60.                  

Commencement Information

I21S. 62(2) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(r)**

#### 63. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 64. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 65Assessments under sections 58 to 64: further provisionE+W

(1)Regulations under section 12—                  

(a)may make such provision about carrying out a child's needs assessment as they may make about carrying out a needs assessment;                  

(b)may make such provision about carrying out a child's carer's assessment or a young carer's assessment as they may make about                        carrying out a carer's assessment.                  

(2)A local authority may combine a child's needs assessment or young carer's assessment with an assessment it is carrying out                        (whether or not under this Part) in relation to another person only if the consent condition is met in relation to the child                        to whom the child's needs or young carer's assessment relates and—                  

(a)where the combination would include an assessment relating to another child, the consent condition is met in relation to that                        other child;                  

(b)where the combination would include an assessment relating to an adult, the adult agrees.                  

(3)A local authority may combine a child's carer's assessment with an assessment it is carrying out (whether or not under this                        Part) in relation to another person only if the adult to whom the child's carer's assessment relates agrees and—                  

(a)where the combination would include an assessment relating to another adult, that other adult agrees, and                  

(b)where the combination would include an assessment relating to a child, the consent condition is met in relation to that child.                  

(4)The consent condition is met in relation to a child if—                  

(a)the child has capacity or is competent to agree to the assessments being combined and does so agree, or                  

(b)the child lacks capacity or is not competent so to agree but the local authority is satisfied that combining the assessments                        would be in the child's best interests.                  

(5)Where a local authority is carrying out a child's needs assessment, a child's carer's assessment or a young carer's assessment,                        and there is some other assessment being or about to be carried out in relation to the person to whom the assessment relates                        or in relation to a relevant person, the local authority may carry out that other assessment—                  

(a)on behalf of or jointly with the body responsible for carrying it out, or                  

(b)if that body has arranged to carry out the other assessment jointly with another person, jointly with that body and the other                        person.                  

(6)A reference to an assessment includes a reference to part of an assessment.                  

(7)A person is a “relevant person”, in relation to a child's needs, child's carer's or young carer's assessment, if it would be reasonable to combine an assessment                        relating to that person with the child's needs, child's carer's or young carer's assessment (as mentioned in subsections (2)                        and (3)).                  

Commencement Information

I22S. 65(1) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(s)**

#### 66. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

### Independent advocacy supportE+W

#### 67Involvement in assessments, plans etc.E+W

(1)This section applies where a local authority is required by a relevant provision to involve an individual in its exercise                        of a function.                  

(2)The authority must, if the condition in subsection (4) is met, arrange for a person who is independent of the authority (an                        “independent advocate”) to be available to represent and support the individual for the purpose of facilitating the individual's                        involvement; but see subsection (5).                  

(3)The relevant provisions are—                  

(a)section 9(5)(a) and (b) (carrying out needs assessment);                  

(b)section 10(7)(a) (carrying out carer's assessment);                  

(c)section 25(3)(a) and (b) (preparing care and support plan);                  

(d)section 25(4)(a) and (b) (preparing support plan);                  

(e)section 27(2)(b)(i) and (ii) (revising care and support plan);                  

(f)section 27(3)(b)(i) and (ii) (revising support plan);                  

(g)section 59(2)(a) and (b) (carrying out child's needs assessment);                  

(h)section 61(3)(a) (carrying out child's carer's assessment);                  

(i)section 64(3)(a) and (b) (carrying out young carer's assessment).                  

(4)The condition is that the local authority considers that, were an independent advocate not to be available, the individual                        would experience substantial difficulty in doing one or more of the following—                  

(a)understanding relevant information;                  

(b)retaining that information;                  

(c)using or weighing that information as part of the process of being involved;                  

(d)communicating the individual's views, wishes or feelings (whether by talking, using sign language or any other means).                  

(5)The duty under subsection (2) does not apply if the local authority is satisfied that there is a person—                  

(a)who would be an appropriate person to represent and support the individual for the purpose of facilitating the individual's                        involvement, and                  

(b)who is not engaged in providing care or treatment for the individual in a professional capacity or for remuneration.                  

(6)For the purposes of subsection (5), a person is not to be regarded as an appropriate person unless—                  

(a)where the individual has capacity or is competent to consent to being represented and supported by that person, the individual                        does so consent, or                  

(b)where the individual lacks capacity or is not competent so to consent, the local authority is satisfied that being represented                        and supported by that person would be in the individual's best interests.                  

(7)Regulations may make provision in connection with the making of arrangements under subsection (2); the regulations may in                        particular—                  

(a)specify requirements that must be met for a person to be independent for the purposes of subsection (2);                  

(b)specify matters to which a local authority must have regard in deciding whether an individual would experience substantial                        difficulty of the kind mentioned in subsection (4);                  

(c)specify circumstances in which the exception in subsection (5) does not apply;                  

(d)make provision as to the manner in which independent advocates are to perform their functions;                  

(e)specify circumstances in which, if an assessment under this Part is combined with an assessment under this Part that relates                        to another person, each person may or must be represented and supported by the same independent advocate or by different independent                        advocates;                  

(f)provide that an independent advocate may, in such circumstances or subject to such conditions as may be specified, examine                        and take copies of relevant records relating to the individual.                  

(8)This section does not restrict the provision that may be made under any other provision of this Act.                  

(9)“Relevant record” means—                  

(a)a health record (within the meaning given in section 68 of the Data Protection Act 1998 (as read with section 69 of that Act)),                  

(b)a record of, or held by, a local authority and compiled in connection with a function under this Part or a social services                        function (within the meaning given in section 1A of the Local Authority Social Services Act 1970),                  

(c)a record held by a person registered under Part 2 of the Care Standards Act 2000 or Chapter 2 of Part 1 of the Health and                        Social Care Act 2008, or                  

(d)a record of such other description as may be specified in the regulations.                  

Commencement Information

I23S. 67(7) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(t)**

#### 68. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

### Enforcement of debtsE+W

#### 69. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 70. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

Prospective

### Review of funding provisionsE+W

#### 71Five-yearly review by Secretary of StateE+W

(1)The Secretary of State must review—                     

(a)the level at which the cap on care costs is for the time being set under regulations under section 15(4),                     

(b)the level at which the amount attributable to an adult's daily living costs is for the time being set under regulations under                           section 15(8), and                     

(c)the level at which the financial limit is for the time being set under regulations under section 17(8).                     

(2)In carrying out the review, the Secretary of State must have regard to—                     

(a)the financial burden on the state of each of those matters being at the level in question,                     

(b)the financial burden on local authorities of each of those matters being at the level in question,                     

(c)the financial burden on adults who have needs for care and support of each of those matters being at the level in question,                     

(d)the length of time for which people can reasonably be expected to live in good health,                     

(e)changes in the ways or circumstances in which adults' needs for care and support are being or are likely to be met,                     

(f)changes in the prevalence of conditions for which the provision of care and support is or is likely to be required, and                     

(g)such other factors as the Secretary of State considers relevant.                     

(3)The Secretary of State must prepare and publish a report on the outcome of the review.                     

(4)The first report must be published before the end of the period of five years beginning with the day on which section 15 comes                           into force.                     

(5)Each subsequent report must be published before the end of the period of five years beginning with the day on which the previous                           report was published.                     

(6)The Secretary of State may arrange for some other person to carry out the whole or part of a review under this section on                           the Secretary of State's behalf.                     

(7)The Secretary of State must lay before Parliament a report prepared under this section.                     

Prospective

### AppealsE+W

#### 72Part 1 appealsE+W

(1)Regulations may make provision for appeals against decisions taken by a local authority in the exercise of functions under                           this Part in respect of an individual (including decisions taken before the coming into force of the first regulations made                           under this subsection).                     

(2)The regulations may in particular make provision about—                     

(a)who may (and may not) bring an appeal;                     

(b)grounds on which an appeal may be brought;                     

(c)pre-conditions for bringing an appeal;                     

(d)how an appeal is to be brought and dealt with (including time limits);                     

(e)who is to consider an appeal;                     

(f)matters to be taken into account (and disregarded) by the person or body considering an appeal;                     

(g)powers of the person or body deciding an appeal;                     

(h)what action is to be taken by a local authority as a result of an appeal decision;                     

(i)providing information about the right to bring an appeal, appeal procedures and other sources of information and advice;                     

(j)representation and support for an individual bringing or otherwise involved in an appeal;                     

(k)investigations into things done or not done by a person or body with power to consider an appeal.                     

(3)Provision about pre-conditions for bringing an appeal may require specified steps to have been taken before an appeal is brought.                     

(4)Provision about how an appeal is to be dealt with may include provision for—                     

(a)the appeal to be treated as, or as part of, an appeal brought or complaint made under another procedure;                     

(b)the appeal to be considered with any such appeal or complaint.                     

(5)Provision about who is to consider an appeal may include provision—                     

(a)establishing, or requiring or permitting the establishment of, a panel or other body to consider an appeal;                     

(b)requiring an appeal to be considered by, or by persons who include, persons with a specified description of expertise or experience.                     

(6)Provision about representation and support for an individual may include provision applying any provision of or made under                           section 67, with or without modifications.                     

(7)The regulations may make provision for—                     

(a)an appeal brought or complaint made under another procedure to be treated as, or as part of, an appeal brought under the regulations;                     

(b)an appeal brought or complaint made under another procedure to be considered with an appeal brought under the regulations;                     

(c)matters raised in an appeal brought under the regulations to be taken into account by the person or body considering an appeal                           brought or complaint made under another procedure.                     

(8)The regulations may include provision conferring functions on a person or body established by or under an Act (including an                           Act passed after the passing of this Act); for that purpose, the regulations may amend, repeal, or revoke an enactment, or                           provide for an enactment to apply with specified modifications.                     

(9)Regulations may make provision, in relation to a case where an appeal is brought under regulations under subsection (1)—                     

(a)for any provision of this Part to apply, for a specified period, as if a decision (“the interim decision”) differing from                           the decision appealed against had been made;                     

(b)as to what the terms of the interim decision are, or as to how and by whom they are to be determined;                     

(c)for financial adjustments to be made following a decision on the appeal.                     

(10)The period specified under subsection (9)(a) may not begin earlier than the date on which the decision appealed against was                           made, or end later than the date on which the decision on the appeal takes effect.                     

### MiscellaneousU.K.

#### 73. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 74Discharge of hospital patients with care and support needsE+W

Schedule 3 (which includes provision about the discharge of hospital patients with care and support needs) has effect.

Commencement Information

I24S. 74 in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(y)**

#### 75After-care under the Mental Health Act 1983E+W

(1)In section 117 of the Mental Health Act 1983 (after-care), in subsection (2), after “to provide” insert “ or arrange for the provision of ”.                  

(2)In subsection (2D) of that section, for the words from “as if” to the end substitute “ as if the words “provide or” were omitted. ”                  

(3)In subsection (3) of that section, after “means the local social services authority” insert “—                   

(a)if, immediately before being detained, the person concerned was ordinarily resident in England, for the area in England in                           which he was ordinarily resident;                  

(b)if, immediately before being detained, the person concerned was ordinarily resident in Wales, for the area in Wales in which                           he was ordinarily resident; or                  

(c)in any other case”.                  

(4)After that subsection insert—                  

“(4)Where there is a dispute about where a person was ordinarily resident for the purposes of subsection (3) above—                  

(a)if the dispute is between local social services authorities in England, section 40 of the Care Act 2014 applies to the dispute                           as it applies to a dispute about where a person was ordinarily resident for the purposes of Part 1 of that Act;                  

(b)if the dispute is between local social services authorities in Wales, section 195 of the Social Services and Well-being (Wales)                           Act 2014 applies to the dispute as it applies to a dispute about where a person was ordinarily resident for the purposes of                           that Act;                  

(c)if the dispute is between a local social services authority in England and a local social services authority in Wales, it                           is to be determined by the Secretary of State or the Welsh Ministers.                  

(5)The Secretary of State and the Welsh Ministers shall make and publish arrangements for determining which of them is to determine                           a dispute under subsection (4)(c); and the arrangements may, in particular, provide for the dispute to be determined by whichever                           of them they agree is to do so.”                  

(5)After subsection (5) insert—                  

“(6)In this section, “after-care services”, in relation to a person, means services which have both of the following purposes—                  

(a)meeting a need arising from or related to the person's mental disorder; and                  

(b)reducing the risk of a deterioration of the person's mental condition (and, accordingly, reducing the risk of the person requiring                           admission to a hospital again for treatment for mental disorder).”                  

(6)After section 117 of that Act insert—                  

##### “117AAfter-care: preference for particular accommodation

(1)The Secretary of State may by regulations provide that where—                  

(a)the local social services authority under section 117 is, in discharging its duty under subsection (2) of that section, providing                           or arranging for the provision of accommodation for the person concerned;                  

(b)the person concerned expresses a preference for particular accommodation; and                  

(c)any prescribed conditions are met,                  

the local social services authority must provide or arrange for the provision of the person's preferred accommodation.                  

(2)Regulations under this section may provide for the person concerned, or a person of a prescribed description, to pay for some                           or all of the additional cost in prescribed cases.                  

(3)In subsection (2), “additional cost” means the cost of providing or arranging for the provision of the person's preferred accommodation less the amount that                           the local social services authority would expect to be the usual cost of providing or arranging for the provision of accommodation                           of that kind.                  

(4)The power to make regulations under this section—                  

(a)is exercisable only in relation to local social services authorities in England;                  

(b)includes power to make different provision for different cases or areas.”                  

(7)The ways in which a local authority may discharge its duty under section 117 of the Mental Health Act 1983 include by making                        direct payments; and for that purpose Part 1 of Schedule 4 (which includes modifications of the provisions of this Part relating                        to direct payments) has effect.                  

(8)In section 53 of the Social Services and Well-being (Wales) Act 2014 (direct payments: further provision), at the end insert—                  

“(11)The ways in which a local authority may discharge its duty under section 117 of the Mental Health Act 1983 include by making                           direct payments; and for that purpose Schedule A1 (which includes modifications of sections 50 and 51 and this section) has                           effect.”                  

(9)Before Schedule 1 to that Act insert the Schedule A1 contained in Part 2 of Schedule 4 to this Act.                  

(10)In section 194 of that Act (ordinary residence), after subsection (4) insert—                  

“(4A)A person who is being provided with accommodation under section 117 of the Mental Health Act 1983 (after-care) is to be treated                           for the purposes of this Act as ordinarily resident in the area of the local authority, or the local authority in England,                           on which the duty to provide that person with services under that section is imposed.”                  

(11)In consequence of subsections (7) to (9), in subsection (2C) of section 117 of the Mental Health Act 1983—                  

(a)in paragraph (a), for “regulations under section 57 of the Health and Social Care Act 2001 or” substitute “—                   

(i)sections 31 to 33 of the Care Act 2014 (as applied by Schedule 4 to that Act),                  

(ii)sections 50, 51 and 53 of the Social Services and Well-being (Wales) Act 2014 (as applied by Schedule A1 to that Act), or                  

(iii)regulations under”,                  

(b)in paragraph (b), after “apart from” insert “ those sections (as so applied) or ”.                  

(12)In the case of a person who, immediately before the commencement of subsections (3) and (4), is being provided with after-care                        services under section 117 of the Mental Health Act 1983, the amendments made by those subsections do not apply while those                        services are continuing to be provided to that person.                  

(13)In section 145 of the Mental Health Act 1983 (interpretation), for the definition of “local social services authority” substitute—                  

““local social services authority” means—                  

(a)an authority in England which is a local authority for the purposes of Part 1 of the Care Act 2014, or                  

(b)an authority in Wales which is a local authority for the purposes of the Social Services and Well-being (Wales) Act 2014.”                  

Commencement Information

I25S. 75(6) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(u)**

I26S. 75(7) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(z)**

#### 76. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 77Registers of sight-impaired adults, disabled adults, etc.E+W

(1)A local authority must establish and maintain a register of sight-impaired and severely sight-impaired adults who are ordinarily                        resident in its area.                  

(2)Regulations may specify descriptions of persons who are, or are not, to be treated as being sight-impaired or severely sight-impaired                        for the purposes of this section.                  

(3)A local authority may establish and maintain one or more registers of adults to whom subsection (4) applies, and who are ordinarily                        resident in the local authority's area, for the purposes in particular of—                  

(a)planning the provision by the authority of services to meet needs for care and support, and                  

(b)monitoring changes over time in the number of adults in the authority's area with needs for care and support and the types                        of needs they have.                  

(4)This subsection applies to an adult who—                  

(a)has a disability,                  

(b)has a physical or mental impairment which is not a disability but which gives rise, or which the authority considers may in                        the future give rise, to needs for care and support, or                  

(c)comes within any other category of persons the authority considers appropriate to include in a register of persons who have,                        or the authority considers may in the future have, needs for care and support.                  

(5)“Disability” has the meaning given by section 6 of the Equality Act 2010.                  

Commencement Information

I27S. 77(2) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(v)**

#### 78. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### 79. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

### GeneralE+W

#### 80Part 1: interpretationE+W

(1)For the purposes of this Part, an expression in the first column of the following table is defined or otherwise explained                        by the provision of this Act specified in the second column.                  

(2)A reference in this Part to having or lacking capacity, or to a person's best interests, is to be interpreted in accordance                        with the Mental Capacity Act 2005.                  

(3)A reference in this Part to being authorised under the Mental Capacity Act 2005 is a reference to being authorised (whether                        in general or specific terms) as—                  

(a)a donee of a lasting power of attorney granted under that Act, or                  

(b)a deputy appointed by the Court of Protection under section 16(2)(b) of that Act.                  

Commencement Information

I28S. 80(1) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(w)**

## **PART 2**E+WCare standards

### Quality of servicesE+W

#### 81Duty of candourE+W

In section 20 of the Health and Social Care Act 2008 (regulation of regulated activities), after subsection (5) insert—

“(5A)Regulations under this section must make provision as to the provision of information in a case where an incident of a specified                           description affecting a person's safety occurs in the course of the person being provided with a service.”                  

Commencement Information

I29S. 81 in force at 7.7.2014 for specified purposes by S.I. 2014/1714, **art. 2(a)**

I30S. 81 in force at 15.7.2014 in so far as not already in force by S.I. 2014/1714, **art. 3(1)**

#### 82Warning noticeE+W

(1)In section 29 of the Health and Social Care Act 2008 (warning notice), after subsection (1) insert—                  

“(1A)But a warning notice under this section may not be given to an NHS trust established under section 25 of the National Health                           Service Act 2006 or an NHS foundation trust.”                  

(2)In subsections (2) and (3)(a) of that section, after “warning notice” insert “ under this section ”.                  

(3)After that section insert—                  

##### “29AWarning notice: quality of health care

(1)If it appears to the Commission that the quality of health care provided by an NHS trust established under section 25 of the                           National Health Service Act 2006 or by an NHS foundation trust requires significant improvement, the Commission may give the                           trust a warning notice.                  

(2)A warning notice under this section is a notice in writing—                  

(a)stating that the Commission has formed the view that the quality of health care provided by the trust requires significant                           improvement,                  

(b)specifying the health care concerned,                  

(c)giving the Commission's reasons for its view, and                  

(d)requiring the trust to make a significant improvement to the quality of the health care concerned within a specified time.                  

(3)Where a warning notice under this section imposes more than one requirement under subsection (2)(d), it may specify different                           times for different requirements.                  

(4)The Commission must—                  

(a)where the notice specifies only one time under subsection (2)(d), determine at the end of that time whether the requirement                           has been complied with;                  

(b)where the notice specifies more than one time under subsection (2)(d), determine at the end of the latest of those times,                           whether the requirements have been complied with.                  

(5)Where, having carried out the duty under subsection (4), the Commission is satisfied that a requirement to which the notice                           relates has not been complied with, it—                  

(a)must decide what action to take in relation to the trust, and                  

(b)in so deciding in the case of an NHS foundation trust, must consider in particular whether to require Monitor to make an order                           under section 65D(2) of the National Health Service Act 2006 (appointment of trust special administrator).”                  

(4)In each of the following provisions of that Act, after “section 29” insert “ or 29A ”                  

(a)section 32(1)(a) (decisions against which appeal may not be made to the First-tier tribunal),                  

(b)section 39(2)(c) (bodies required to be given certain notices), and                  

(c)section 89(1)(e) and (2) (publication of information relating to enforcement action).                  

(5)In section 88(1)(d) of that Act (guidance issued by the Commission about enforcement action), for “section 29” substitute                        “ sections 29 and 29A ”.                  

#### 83Imposition of licence conditions on NHS foundation trustsE+W

(1)Section 111 of the Health and Social Care Act 2012 (imposition by Monitor of licence conditions on NHS foundation trusts during                        transitional period) is amended as follows.                  

(2)After subsection (2) insert—                  

“(2A)Where a warning notice under section 29A of the Health and Social Care Act 2008 is given to an NHS foundation trust, Monitor                           may include in the trust's licence such conditions as it considers appropriate in connection with the matters to which the                           notice relates.”                  

(3)In subsections (3) to (5) and (7) to (9), after “subsection (1)” in each place it appears insert “ or (2A) ”.                  

#### 84Trust special administration: appointment of administratorE+W

(1)In section 65D of the National Health Service Act 2006 (NHS foundation trusts: appointment of trust special administrator),                        in subsection (1)—                  

(a)after “satisfied that” insert “—                   

(a)”, and

(b)at the end insert “, or                   

(b)there is a serious failure by an NHS foundation trust to provide services that are of sufficient quality to be provided under                           this Act and it is appropriate to make an order under subsection (2).”                  

(2)After that subsection insert—                  

“(1A)This section also applies if the Care Quality Commission—                  

(a)is satisfied that there is a serious failure by an NHS foundation trust to provide services that are of sufficient quality                           to be provided under this Act and that it is appropriate to make an order under subsection (2),                  

(b)informs the regulator that it is satisfied as mentioned in paragraph (a) and gives the regulator its reasons for being so                           satisfied, and                  

(c)requires the regulator to make an order under subsection (2).”                  

(3)In subsection (2) of that section, after “The regulator may” insert “ or, where this section applies as a result of subsection (1A), must ”.                  

(4)After subsection (3) of that section insert—                  

“(3A)Before imposing a requirement as mentioned in subsection (1A)(c), the Care Quality Commission must—                  

(a)consult the Secretary of State and the regulator, and                  

(b)having done that, consult—                  

(i)the trust,                  

(ii)the Board, and                  

(iii)any other person to which the trust provides services under this Act and which the Commission considers it appropriate to                           consult.”                  

(5)In subsection (4) of that section, after “making an order under this section” insert “ (except where it is required to do so as a result of subsection (1A)) ”.                  

(6)In section 65N of that Act (guidance for trust special administrators), after subsection (3) insert—                  

“(3A)Before publishing guidance under this section, the Secretary of State must consult the Care Quality Commission.”                  

(7)In subsection (4) of that section, for “the reference in subsection (1) to the Secretary of State is to be read as a reference”                        substitute “ the references in subsections (1) and (3A) to the Secretary of State are to be read as references ”.                  

(8)In paragraph 24 of Schedule 14 to the Health and Social Care Act 2012 (abolition of NHS trusts in England: consequential amendments                        to section 65N of the National Health Service Act 2006), after sub-paragraph (2) insert—                  

“(2A)In subsection (3A), for “the Secretary of State” substitute “ the regulator ”.”                  

Commencement Information

I31S. 84 in force at 15.7.2014 by S.I. 2014/1714, **art. 3(2)(a)**

#### 85Trust special administration: objective, consultation and reportsE+W

(1)In section 65DA of the National Health Service Act 2006 (objective of trust special administration), in subsection (1), after                        paragraph (a) (but before the following “and”) insert—                  

“(aa)that the services whose continuous provision is secured as mentioned in paragraph (a) are of sufficient safety and quality                           to be provided under this Act,”.                  

(2)After subsection (5) of that section insert—                  

“(5A)Before publishing guidance under subsection (4)(c), the regulator must consult the Care Quality Commission.”                  

(3)In section 65F of that Act (administrator's draft report), in subsection (2)—                  

(a)omit the “and” preceding paragraph (b), and                  

(b)after that paragraph insert “, and                   

(c)the Care Quality Commission.”                  

(4)In subsection (5) of that section, in paragraph (a), for “65DA” substitute “ 65DA(1)(a) ”.                  

(5)After that subsection insert—                  

“(5A)Nor, in the case of an NHS foundation trust, may the administrator provide the draft report to the regulator under subsection                           (1) without having obtained from the Care Quality Commission a statement that it considers that the recommendation in the                           draft report would achieve that part of the objective set out in section 65DA(1)(aa).”                  

(6)In subsection (6) of that section—                  

(a)after “Where the Board” insert “ or the Care Quality Commission ”,                  

(b)for “to that effect” substitute “ to the effect mentioned in subsection (5) or (5A) ”, and                  

(c)after “, the Board” insert “ or (as the case may be) the Commission ”.                  

(7)In section 65G of that Act (consultation plan), in subsection (4), in paragraph (a), for “65DA” substitute “ 65DA(1)(a) ”.                  

(8)After that subsection insert—                  

“(4A)Nor may the administrator make a variation to the draft report following the consultation period without having obtained from                           the Care Quality Commission a statement that it considers that the recommendation in the draft report as so varied would achieve                           that part of the objective set out in section 65DA(1)(aa).”                  

(9)In subsection (5) of that section—                  

(a)after “Where the Board” insert “ or the Care Quality Commission ”,                  

(b)for “to that effect” substitute “ to the effect mentioned in subsection (4) or (4A) ”, and                  

(c)after “, the Board” insert “ or (as the case may be) the Commission ”.                  

(10)In section 65H of that Act (consultation requirements)—                  

(a)in subsection (7), after paragraph (b) insert—                  

“(ba)the Care Quality Commission;”, and                  

(b)in subsection (9), after “subsection (7)(b),” insert “ (ba), ”.                  

(11)In section 65KB of that Act (Secretary of State's response to regulator's decision), in subsection (1), after paragraph (c)                        insert—                  

“(ca)that the Care Quality Commission has discharged its functions for the purposes of this Chapter,”.                  

(12)In subsection (2) of that section, in paragraph (b), after “the regulator” insert “ and the Care Quality Commission ”.                  

(13)In section 65KD of that Act (Secretary of State's response to re-submitted final report), in subsection (3), for “(8)” substitute                        “ (8A) ”.                  

(14)After subsection (8) of that section insert—                  

“(8A)If the notice states that the Care Quality Commission has failed to discharge a function—                  

(a)the Care Quality Commission is to be treated for the purposes of this Act as having failed to discharge the function, and                  

(b)the failure is to be treated for those purposes as significant (and section 82 of the Health and Social Care Act 2008 applies                           accordingly).”                  

(15)In paragraph 15(4) of Schedule 14 to the Health and Social Care Act 2012 (abolition of NHS trusts in England: consequential                        amendments to section 65F of the National Health Service Act 2006)—                  

(a)in the new subsection (2A) to be inserted by paragraph 15(4), in paragraph (a), for “65DA” substitute “ 65DA(1)(a) ”,                  

(b)after that new subsection, insert—                  

“(2AA)Nor may the administrator provide the draft report to the regulator under subsection (1) without having obtained from the                           Care Quality Commission a statement that it considers that the recommendation in the draft report would achieve that part                           of the objective set out in section 65DA(1)(aa).”, and                  

(c)in the new subsection (2B) to be inserted by paragraph 15(4)—                  

(i)after “Where the Board” insert “ or the Care Quality Commission ”,                  

(ii)for “to that effect” substitute “ to the effect mentioned in subsection (2A) or (2AA) ”, and                  

(iii)after “, the Board” insert “ or (as the case may be) the Commission ”.                  

Commencement Information

I32S. 85 in force at 15.7.2014 by S.I. 2014/1714, **art. 3(2)(b)**

### Care Quality CommissionE+W

#### 86Restriction on applications for variation or removal of conditionsE+W

(1)Section 19 of the Health and Social Care Act 2008 (applications by registered persons to the Care Quality Commission for variation                        or removal of conditions, etc.) is amended as follows.                  

(2)In subsection (1), after “Except in case A or B” insert “ and subject to subsections (3A) to (3F) ”.                  

(3)After subsection (3) insert—                  

“(3A)R may not apply under subsection (1)(a) for the variation of a condition where either subsection (3B) or (3C) applies.                  

(3B)This subsection applies where—                  

(a)the Commission has given R notice under section 26(4)(c) of a proposal to make that variation (or a variation which would                           have substantially the same effect as that variation), and                  

(b)the Commission has not decided not to take that step.                  

(3C)This subsection applies where—                  

(a)the Commission has given R notice under section 28(3) of its decision to make that variation (or a variation which would have                           substantially the same effect as that variation), and                  

(b)either the time within which an appeal may be brought has not expired or, if an appeal has been brought, it has not yet been                           determined.                  

(3D)R may not apply under subsection (1)(a) for the removal of a condition where either subsection (3E) or (3F) applies.                  

(3E)This subsection applies where—                  

(a)the Commission has given R notice under section 26(4)(c) of a proposal to remove that condition, and                  

(b)the Commission has not decided not to take that step.                  

(3F)This subsection applies where—                  

(a)the Commission has given R notice under section 28(3) of its decision to remove that condition, and                  

(b)either the time within which an appeal may be brought has not expired or, if an appeal has been brought, it has not yet been                           determined.”                  

(4)The amendments made by this section do not affect any application made under section 19(1)(a) of the Health and Social Care                        Act 2008 before the day on which those amendments come into force.                  

Commencement Information

I33S. 86 in force at 1.10.2014 by S.I. 2014/2473, **art. 3(a)**

#### 87Rights of appealE+W

(1)In section 26 of the Health and Social Care Act 2008 (registration procedure: notice of proposals), after subsection (4) insert—                  

“(4A)Where a proposal under subsection (4) names an individual and specifies action that the Commission would require the registered                           person to take in relation to that individual, the Commission must give that individual notice in writing of the proposal.”                  

(2)In section 28 of that Act (notice of decisions), in subsection (6), for “subsection (7)” substitute “ subsections (7) to (9) ”.                  

(3)In that section, after subsection (7) insert—                  

“(8)But in a case where notice of the proposal has been given to an individual under section 26(4A) subsection (7) does not apply                           unless, by the time the Commission receives the applicant's notification, it has received notification from the individual                           that he or she does not intend to appeal.                  

(9)And if the Commission receives notification from the individual after it receives the applicant's notification and before                           the end of the period mentioned in subsection (6)(a), the decision is to take effect when the Commission receives the individual's                           notification.”                  

Commencement Information

I34S. 87 in force at 1.10.2014 by S.I. 2014/2473, **art. 3(b)**

#### 88Unitary boardE+W

(1)In paragraph 3 of Schedule 1 to the Health and Social Care Act 2008 (membership of the Care Quality Commission), in sub-paragraph                        (1)—                  

(a)after paragraph (a), omit “and”, and                  

(b)at the end of paragraph (b) insert “,                   

(c)a chief executive appointed by the members appointed under paragraphs (a) and (b), and                  

(d)other members appointed by the members appointed under paragraphs (a) and (b).”                  

(2)After that sub-paragraph, insert—                  

“(1A)The members appointed under sub-paragraph (1)(a) and (b)—                  

(a)are not employees of the Commission, and                  

(b)are referred to in this Schedule as the “non-executive members”.                  

(1B)The members appointed under sub-paragraph (1)(c) and (d)—                  

(a)are employees of the Commission, and                  

(b)are referred to in this Schedule as the “executive members”.                  

(1C)The number of non-executive members must exceed the number of executive members.”                  

(3)In sub-paragraph (2) of that paragraph—                  

(a)for “sub-paragraph (1)”, substitute “ sub-paragraph (1)(a) and (b) ”, and                  

(b)for “the members”, substitute “ the non-executive members ”.                  

(4)In sub-paragraph (3) of that paragraph, for “any other member”, substitute “ any other non-executive member ”.                  

(5)In sub-paragraph (4) of that paragraph—                  

(a)in paragraph (a)—                  

(i)for “other members”, substitute “ other non-executive members ”, and                  

(ii)for “of members who may be appointed”, substitute “ of such members who may be appointed ”,                  

(b)after paragraph (a), omit “and”,                  

(c)in paragraph (b), for “other members”, substitute “ other non-executive members ”, and                  

(d)after paragraph (b), insert—                  

“(c)the limits on the total number of members who may be appointed, and                  

(d)the minimum total number of members who must be appointed.”                  

(6)In paragraph 4 of that Schedule (the cross-heading preceding which becomes “ Remuneration and allowances for non-executive members ”), in sub-paragraphs (1) and (2), for “any other member”, substitute “ any other non-executive member ”.                  

(7)In paragraph 5 of that Schedule (employees), omit sub-paragraph (1).                  

(8)In sub-paragraph (2) of that paragraph, for “such other employees”, substitute “ such employees (in addition to the executive members appointed by the non-executive members) ”.                  

Commencement Information

I35S. 88 in force at 1.10.2014 by S.I. 2014/2473, **art. 3(c)**

### Increasing the independence of the Care Quality CommissionE+W

#### 89Chief InspectorsE+W

After paragraph 3 of Schedule 1 to the Health and Social Care Act 2008 insert—
*“Chief Inspectors*
3A(1)The non-executive members must—                  

(a)appoint an executive member to be the Chief Inspector of Hospitals,                  

(b)appoint an executive member to be the Chief Inspector of Adult Social Care, and                  

(c)appoint an executive member to be the Chief Inspector of General Practice.                  

(2)Each of those executive members is to exercise such functions of the Commission on its behalf as it determines.                  

(3)When exercising functions under sub-paragraph (2), an executive member must have regard to the importance of safeguarding                           and promoting the Commission's independence from the Secretary of State.”                  

Commencement Information

I36S. 89 in force at 1.10.2014 by S.I. 2014/2473, **art. 3(d)**

#### 90Independence of the Care Quality CommissionE+W

(1)Part 1 of the Health and Social Care Act 2008 (the Care Quality Commission) is amended as follows.                  

(2)In section 48 (special reviews or investigations), omit subsection (7) (Secretary of State's power to make regulations as                        to procedure for representations before publication of report).                  

(3)In section 54 (studies as to economy, efficiency etc), in subsections (1) and (3), omit “, with the approval of the Secretary                        of State,”.                  

(4)After subsection (2) of that section, insert—                  

“(2A)The Commission may not exercise the power under subsection (1)(a), so far as it relates to the activity mentioned in subsection                           (2)(d), without the approval of the Secretary of State.”                  

(5)In section 55 (publication of results of studies under section 54), omit subsection (2) (Secretary of State's power to make                        regulations as to procedure for representations before publication of report).                  

(6)In section 57 (reviews of data, studies and research), in subsection (1), omit “, with the approval of the Secretary of State,”.                  

(7)In section 61 (inspections carried out for registration purposes), omit—                  

(a)subsection (1) (Secretary of State's power to make regulations specifying frequency etc. of inspections), and                  

(b)subsection (4) (Secretary of State's power to make regulations as to procedure for representations before publication of report).                  

(8)In section 83 (annual reports), omit subsection (3) (Secretary of State's power to direct preparation of separate reports).                  

(9)In paragraph 5 of Schedule 4 (inspection programmes etc.), omit—                  

(a)in sub-paragraph (1) (preparation of programme etc.), “, or at such times as the Secretary of State may specify by order,”,                        and                  

(b)sub-paragraph (3) (Secretary of State's power to specify form of programme etc.).                  

(10)In consequence of subsections (3) and (6), omit section 293(3) and (4) of the Health and Social Care Act 2012.                  

Commencement Information

I37S. 90 in force at 1.10.2014 by S.I. 2014/2473, **art. 3(e)**

### Performance ratingsE+W

#### 91Reviews and performance assessmentsE+W

(1)Chapter 3 of Part 1 of the Health and Social Care Act 2008 (the Care Quality Commission: quality of health and social care)                        is amended as follows.                  

(2)For section 46 (periodic reviews of health and social care provision) substitute—                  

##### “46Reviews and performance assessments

(1)The Commission must, in respect of such regulated activities and such registered service providers as may be prescribed—                  

(a)conduct reviews of the carrying on of the regulated activities by the service providers,                  

(b)assess the performance of the service providers following each such review, and                  

(c)publish a report of its assessment.                  

(2)Regulations under subsection (1) may prescribe—                  

(a)all regulated activities or regulated activities of a particular description;                  

(b)all registered service providers or particular registered service providers;                  

(c)the whole of a regulated activity or a particular aspect of it.                  

(3)The assessment of the performance of a registered service provider is to be by reference to whatever indicators of quality                           the Commission devises.                  

(4)The Commission must prepare a statement—                  

(a)setting out the frequency with which reviews under this section are to be conducted and the period to which they are to relate,                           and                  

(b)describing the method that it proposes to use in assessing and evaluating the performance of a registered service provider                           under this section.                  

(5)The Commission may—                  

(a)use different indicators for different cases,                  

(b)make different provision about frequency and period of reviews for different cases, and                  

(c)describe different methods for different cases.                  

(6)The Commission must publish—                  

(a)any indicators it devises for the purpose of subsection (3), and                  

(b)the statement it prepares for the purpose of subsection (4).                  

(7)Before doing so, the Commission—                  

(a)must consult the Secretary of State and such other persons, or other persons of such a description, as may be prescribed,                           and                  

(b)may also consult any other persons it considers appropriate.                  

(8)The Commission may from time to time revise—                  

(a)any indicators it devises for the purpose of subsection (3), and                  

(b)the statement it prepares for the purpose of subsection (4);                  

and, if it does so, it must publish the indicators and statement as revised.                  

(9)Subsection (7) applies to revised indicators and a revised statement, so far as the Commission considers the revisions in                           question to be significant.                  

(10)In this section “registered service provider” means a person registered under Chapter 2 as a service provider.                  

(11)Consultation undertaken before the commencement of this section is as effective for the purposes of subsection (7) as consultation                           undertaken after that commencement.”                  

(3)Sections 47 (frequency and period of reviews under section 46) and 49 (power to extend periodic review function) are repealed.                  

(4)In section 48 (special reviews and investigations), in subsection (1)—                  

(a)omit “, with the approval of the Secretary of State,”, and                  

(b)at the end insert “ ; but the Commission may not conduct a review or investigation under subsection (2)(ba) or (bb) without the approval of                           the Secretary of State. ”                  

(5)Omit subsection (1A) of that section.                  

(6)In subsection (2) of that section, for “a periodic review” substitute “ a review under section 46 ”.                  

(7)In that subsection, after paragraph (ba) (but before the following “or”) insert—                  

“(bb)the exercise of the functions of English local authorities in arranging for the provision of adult social services,”.                  

(8)After subsection (3) of that section insert—                  

“(3A)A review or investigation under subsection (2)(b), in so far as it involves a review or investigation into the arrangements                           made for the provision of the adult social services in question, is to be treated as a review under subsection (2)(bb) (and                           the requirement for approval under subsection (1) is accordingly to apply).”                  

(9)In consequence of the preceding provisions of this section—                  

(a)in section 50(1) of the Health and Social Care Act 2008 (failings by English local authorities), omit “or 49”;                  

(b)in section 51(1) of that Act (failings by Welsh NHS bodies), omit “or 49”;                  

(c)in section 70(3)(a) of that Act (provision by Commission to Monitor of material relevant to review under section 46 or 49),                        omit “or 49”;                  

(d)in section 72(a) of that Act (provision by Commission to Comptroller and Auditor General of material relevant to review under                        section 46 or 49), omit “or 49”;                  

(e)in section 293 of the Health and Social Care Act 2012, omit subsections (1) and (2);                  

(f)in Schedule 5 to that Act (amendments in consequence of Part 1 of that Act), omit paragraphs 157, 159, 163 and 164.                  

Commencement Information

I38S. 91(1)(2) in force at 7.7.2014 for specified purposes by S.I. 2014/1714, **art. 2(b)**

I39S. 91(1)(2) in force at 1.10.2014 in so far as not already in force by S.I. 2014/1714, **art. 4**

I40S. 91(3)-(9) in force at 1.10.2014 by S.I. 2014/1714, **art. 4**

### False or misleading informationE+W

#### 92OffenceE+W

(1)A care provider of a specified description commits an offence if—                  

(a)it supplies, publishes or otherwise makes available information of a specified description,                  

(b)the supply, publication or making available by other means of information of that description is required under an enactment                        or other legal obligation, and                  

(c)the information is false or misleading in a material respect.                  

(2)But it is a defence for a care provider to prove that it took all reasonable steps and exercised all due diligence to prevent                        the provision of false or misleading information as mentioned in subsection (1).                  

(3)“Care provider” means—                  

(a)a public body which provides health services or adult social care in England,                  

(b)a person who provides health services or adult social care in England pursuant to arrangements made with a public body exercising                        functions in connection with the provision of such services or care, or                  

(c)a person who provides health services or adult social care in England all or part of the cost of which is paid for by means                        of a direct payment under section 12A of the National Health Service Act 2006 or under Part 1 of this Act.                  

(4)“Health services” means services which must or may be provided as part of the health service.                  

(5)“Adult social care”—                  

(a)includes all forms of personal care and other practical assistance for individuals who, by reason of age, illness, disability,                        pregnancy, childbirth, dependence on alcohol or drugs, or any other similar circumstances, are in need of such care or other                        assistance, but                  

(b)does not include anything provided by an establishment or agency for which Her Majesty's Chief Inspector of Education, Children's                        Services and Skills is the registration authority under section 5 of the Care Standards Act 2000.                  

(6)“Specified” means specified in regulations.                  

(7)If a care provider commits an offence under either of the provisions mentioned in subsection (8) in respect of the provision                        of information, the provision of that information by that provider does not also constitute an offence under subsection (1).                  

(8)The provisions referred to in subsection (7) are—                  

(a)section 44 of the Competition Act 1998 (provision of false or misleading information) as applied by section 72 of the Health                        and Social Care Act 2012 (functions of the OFT under Part 1 of the Competition Act 1998 to be concurrent functions of Monitor), and                  

(b)section 117 of the Enterprise Act 2002 (provision of false or misleading information) as applied by section 73 of the Health                        and Social Care Act 2012 (functions of the OFT under Part 4 of the Enterprise Act 2002 to be concurrent functions of Monitor).                  

(9)If a care provider commits an offence under subsection (1) in respect of the provision of information, the provision of that                        information by that provider does not also constitute an offence under section 64 of the Health and Social Care Act 2008 (failure                        to comply with request to provide information).                  

Commencement Information

I41S. 92(1)(3)-(6) in force at 15.7.2014 for specified purposes by S.I. 2014/1714, **art. 3(3)(a)**

#### 93PenaltiesE+W

(1)A person who is guilty of an offence under section 92 is liable—                  

(a)on summary conviction, to a fine;                  

(b)on conviction on indictment, to imprisonment for not more than two years or a fine (or both).                  

(2)A court before which a care provider is convicted of an offence under section 92 may (whether instead of or as well as imposing                        a fine under subsection (1)) make either or both of the following orders—                  

(a)a remedial order,                  

(b)a publicity order.                  

(3)A “remedial order” is an order requiring the care provider to take specified steps to remedy one or more of the following—                  

(a)the conduct specified in section 92(1),                  

(b)any matter that appears to the court to have resulted from the conduct,                  

(c)any deficiency, as regards the management of information, in the care provider's policies, systems or practices of which the                        conduct appears to the court to be an indication.                  

(4)A “publicity order” is an order requiring the care provider to publicise in a specified manner—                  

(a)the fact that it has been convicted of an offence under section 92,                  

(b)specified particulars of the offence,                  

(c)the amount of any fine imposed, and                  

(d)the terms of any remedial order made.                  

(5)A remedial order may be made only on an application by the prosecution specifying the terms of the proposed order; and any                        such order must be on such terms (whether those proposed or others) as the court considers appropriate having regard to any                        representations made, and any evidence adduced, in relation to that matter by the prosecution or on behalf of the care provider.                  

(6)A remedial order must specify a period within which the steps referred to in subsection (3) are to be taken.                  

(7)A publicity order must specify a period within which the requirements referred to in subsection (4) are to be complied with.                  

(8)A care provider that fails to comply with a remedial order or a publicity order commits an offence and is liable on conviction                        on indictment to a fine.                  

#### 94Offences by bodiesE+W

(1)Subsection (2) applies where an offence under section 92(1) is committed by a body corporate and it is proved that the offence                        is committed by, or with the consent or connivance of, or is attributable to neglect on the part of—                  

(a)a director, manager or secretary of the body, or                  

(b)a person purporting to act in such a capacity.                  

(2)The director, manager, secretary or person purporting to act as such (as well as the body) is guilty of the offence and liable                        to be proceeded against and punished accordingly (but section 93(2) does not apply).                  

(3)The reference in subsection (2) to a director, manager or secretary of a body corporate includes a reference—                  

(a)to any other similar officer of the body, and                  

(b)where the body is a local authority, to a member of the authority.                  

(4)Proceedings for an offence under section 92(1) alleged to have been committed by an unincorporated association are to be brought                        in the name of the association (and not in that of any of the members); and rules of court relating to the service of documents                        have effect as if the unincorporated association were a body corporate.                  

(5)In proceedings for an offence under section 92(1) brought against an unincorporated association, section 33 of the Criminal                        Justice Act 1925 and Schedule 3 to the Magistrates' Courts Act 1980 apply as they apply in relation to a body corporate.                  

(6)A fine imposed on an unincorporated association on its conviction for an offence under section 92(1) is to be paid out of                        the funds of the association.                  

(7)Subsection (8) applies if an offence under section 92(1) is proved—                  

(a)to have been committed by, or with the consent or connivance of, an officer of the association or a member of its governing                        body, or                  

(b)to be attributable to neglect on the part of such an officer or member.                  

(8)The officer or member (as well as the association) is guilty of the offence and liable to be proceeded against accordingly                        (but section 93(2) does not apply).                  

Commencement Information

I42S. 94(6) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 4(1)(a)**

### Regulated activitiesE+W

#### 95Training for persons working in regulated activityE+W

In section 20 of the Health and Social Care Act 2008 (regulation of regulated activities), after subsection (4) insert—

“(4A)Regulations made under this section by virtue of subsection (3)(d) may in particular include provision for a specified person                           to set the standards which persons undergoing the training in question must attain.”                  

Commencement Information

I43S. 95 in force at 1.10.2014 by S.I. 2014/2473, **art. 3(f)**

## **PART 3**U.K.Health

### CHAPTER 1U.K.Health Education England

#### EstablishmentU.K.

##### 96Health Education EnglandU.K.

(1)There is to be a body corporate called Health Education England (referred to in this Act as “HEE”).                  

(2)Schedule 5 (which includes provision about HEE's constitution, the exercise of its functions and its financial and reporting                        duties) has effect.                  

(3)The Special Health Authority called Health Education England is abolished; and, in consequence of that, the following are                        revoked—                  

(a)the Health Education England (Establishment and Constitution) Order 2012 (S.I. 2012/1273), and                  

(b)the Health Education England Regulations (S.I. 2012/1290).                  

(4)The Secretary of State may by order provide for the transfer of property, rights and liabilities from that Special Health                        Authority to HEE; for further provision about an order under this section, see section 118.                  

Commencement Information

I44S. 96(2)(4) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 4(1)(a)(f)**

#### National functionsE+W

##### 97Planning education and training for health care workers etc.E+W

(1)HEE must perform on behalf of the Secretary of State the duty under section 1F(1) of the National Health Service Act 2006                        (planning and delivery of education and training), so far as that duty applies to the functions of the Secretary of State                        under—                  

(a)section 63(1) and (5) of the Health Services and Public Health Act 1968 (instruction for officers of hospital authorities                        etc.),                  

(b)section 258(1) of the National Health Service Act 2006 (university clinical teaching and research), and                  

(c)such other of the enactments listed in section 1F(3) of that Act as regulations may specify.                  

(2)Regulations may—                  

(a)provide for the duty under section 1F(1) of the National Health Service Act 2006 to apply to such other functions of the Secretary                        of State as are specified; and                  

(b)impose on HEE a duty to perform the duty as it applies as a result of provision made under paragraph (a).                  

(3)Regulations may provide that the duty under subsection (1) or a duty imposed under subsection (2) may only be performed, or                        may not be performed, in relation to persons of a specified description.                  

(4)In each of the following provisions of the National Health Service Act 2006, after “the Secretary of State” insert “ and Health Education England ”                  

(a)section 1F(2) (duty on providers of health services to support system of education and training for health care workers);                  

(b)section 13M (duty on National Health Service Commissioning Board to support that system);                  

(c)section 14Z (duty on clinical commissioning groups to support that system).                  

(5)Regulations may give HEE further functions relating to education and training for health care workers.                  

(6)HEE may, with the consent of the Secretary of State, carry out other activities relating to—                  

(a)education and training for health care workers;                  

(b)the provision of information and advice on careers in the health service.                  

(7)After section 63(6) of the Health Services and Public Health Act 1968 insert—                  

“(6A)The Secretary of State may make such other payments as the Secretary of State considers appropriate to persons availing themselves                           of such instruction in England.                  

(6B)The Secretary of State may make a payment under subsection (6)(b) or (6A) subject to such terms and conditions as the Secretary                           of State decides; and the Secretary of State's power to make such a payment includes power to suspend or terminate the payment,                           or to require repayment, in such circumstances as the Secretary of State decides.”                  

(8)The power of the Secretary of State under section 63(6) or (6A) of the Health Services and Public Health Act 1968 is exercisable                        concurrently with HEE; but, in exercising the power, HEE must have regard to any guidance or other information issued by the                        Secretary of State about its exercise.                  

(9)“Health care workers” means persons in relation to whom HEE's duty under section 1F(1) of the National Health Service Act 2006 is to be performed.                  

Commencement Information

I45S. 97(7) in force at 1.10.2014 by S.I. 2014/2473, **art. 4(2)(a)**

##### 98Ensuring sufficient skilled health care workers for the health serviceE+W

(1)HEE must exercise its functions with a view to ensuring that a sufficient number of persons with the skills and training to                        work as health care workers for the purposes of the health service is available to do so throughout England.                  

(2)Regulations may provide that the duty under subsection (1) may only be performed, or may not be performed, in relation to                        persons of a specified description.                  

##### 99Quality improvement in education and training, etc.E+W

(1)HEE must exercise its functions with a view to securing continuous improvement—                  

(a)in the quality of education and training provided for health care workers;                  

(b)in the quality of health services.                  

(2)HEE must, in exercising its functions, promote—                  

(a)research into matters relating to such of the activities listed in section 63(2) of the Health Services and Public Health                        Act 1968 (social care services, primary care services and other health services) as are relevant to HEE's functions, and                  

(b)the use in those activities of evidence obtained from the research.                  

(3)In section 2(2) of the Health Act 2009 (bodies required to have regard to NHS Constitution when exercising health service                        functions), after paragraph (g) insert—                  

“(h)Health Education England.”                  

(4)HEE must exercise its functions with a view to securing that education and training for health care workers is provided in                        a way which promotes the NHS Constitution.                  

(5)“Health services” means health services provided as part of the health service.                  

(6)“NHS Constitution” has the meaning given by section 1(1) of the Health Act 2009.                  

##### 100Objectives, priorities and outcomesE+W

(1)The Secretary of State must publish before the start of each financial year a document which specifies the objectives and                        priorities that the Secretary of State has set for HEE for that year in relation to the education and training to be provided                        for health care workers.                  

(2)The Secretary of State must also publish at intervals of not more than three years a document (called the “Education Outcomes                        Framework”) which specifies the outcomes that the Secretary of State has set for HEE to achieve having regard to those objectives                        and priorities.                  

(3)The Secretary of State—                  

(a)may revise a document published under subsection (1) or (2), and                  

(b)if the Secretary of State does so, must publish it as revised.                  

(4)HEE must publish a document which—                  

(a)specifies the objectives and priorities that it has set, for the period specified in the document, for the planning and delivery                        of education and training to health care workers,                  

(b)specifies the outcomes that HEE expects to achieve in that respect during that period having regard to those objectives and                        priorities, and                  

(c)includes, or refers to a document which includes, guidance for LETBs (see section 103) on the exercise of the function under                        section 107(1).                  

(5)In performing the duty under subsection (4), HEE must have regard, in particular, to its objectives in the longer term in                        relation to the planning and delivery of education and training to health care workers.                  

(6)HEE must ensure that the objectives, priorities and outcomes specified for the purposes of subsection (4)(a) and (b) are consistent                        with those specified for the purposes of subsections (1) and (2).                  

(7)A document under subsection (4) may specify different periods in relation to different categories of health care worker.                  

(8)HEE must, before the end of 12 months beginning with the date on which a document under subsection (4) is published—                  

(a)review the document, and,                  

(b)if HEE revises it, publish it as revised.                  

(9)HEE may perform the duty under subsection (4) by publishing two or more documents which, taken together, comply with that                        subsection.                  

(10)HEE must seek to achieve the objectives and outcomes and to reflect the priorities specified in any document—                  

(a)published by the Secretary of State under subsection (1), (2) or (3);                  

(b)published by HEE under subsection (4) or (8).                  

##### 101Sections 98 and 100: matters to which HEE must have regardE+W

(1)In performing the duty under section 98(1) (ensuring sufficient skilled workers for the health service) or the duty under                        section 100(4) (setting objectives, priorities and outcomes for education and training), HEE must have regard to the following                        matters in particular—                  

(a)the likely future demand for health services and for persons with the skills and training to work as health care workers for                        the purposes of the health service,                  

(b)the sustainability of the supply of persons with the skills and training to work as such,                  

(c)the priorities that providers of health services have for the education and training of persons wishing to work as such,                  

(d)the mandate published under section 13A of the National Health Service Act 2006,                  

(e)the objectives of the Secretary of State in exercising public health functions (as defined by section 1H of that Act),                  

(f)the priorities that the National Health Service Commissioning Board has for the provision of health services,                  

(g)documents published by the Secretary of State under section 100(1), (2) or (3),                  

(h)the desirability of promoting the integration of health provision with health-related provision and care and support provision,                  

(i)the desirability of enabling health care workers to switch between different posts relating to health provision, health-related                        provision or care and support provision, and                  

(j)such other matters as regulations may specify.                  

(2)In subsection (1), “health provision”, “health-related provision” and “care and support provision” each have the same meaning                        as in section 3.                  

##### 102AdviceE+W

(1)HEE must make arrangements for obtaining advice on the exercise of its functions from persons who are involved in, or who                        HEE thinks otherwise have an interest in, the provision of education and training for health care workers.                  

(2)HEE must seek to ensure that it receives representations from the following, in particular, under the arrangements it makes                        under subsection (1)—                  

(a)persons who provide health services;                  

(b)persons to whom health services are provided;                  

(c)carers for persons to whom health services are provided;                  

(d)health care workers;                  

(e)bodies which regulate health care workers;                  

(f)persons who provide, or contribute to the provision of, education and training for health care workers.                  

(3)HEE may perform a duty under subsection (2) by seeking to ensure that it receives representations from organisations which                        represent the persons referred to in the paragraph in question.                  

(4)HEE must advise the Secretary of State on such matters relating to its functions as the Secretary of State may request; and                        a request under this subsection may specify how and when the advice is to be provided.                  

(5)“Carer” means an adult who provides or intends to provide care for another person.                  

#### Local functionsE+W

##### 103Local Education and Training BoardsE+W

(1)HEE must, in exercise of the power under paragraph 9 of Schedule 5, appoint committees for areas in England, each of which                        is to be called a Local Education and Training Board (referred to in this Chapter as an “LETB”).                  

(2)The main function of an LETB is to exercise on HEE's behalf its functions under sections 97(1) and 98(1) (planning and delivering                        education for health care workers and ensuring sufficient skilled health care workers in the health service), so far as they                        are exercisable in or in relation to the LETB's area.                  

(3)In carrying out its main function, an LETB must represent the interests of all the persons who provide health services in                        the area for which the LETB is appointed.                  

(4)Subsections (1), (2) and (4) of section 99 (quality improvement in education and training etc.) apply to an LETB in the exercise                        of its functions as they apply to HEE in the exercise of its functions.                  

(5)An LETB may co-operate with another LETB in the exercise of functions; and two or more LETBs may exercise functions jointly.                  

(6)HEE may attend any meeting held by an LETB about a matter of concern to HEE.                  

##### 104LETBs: appointment etc.E+W

(1)Where, on an application under this section, HEE is satisfied that the applicants meet the criteria that HEE has set for the                        purpose (the “appointment criteria”), HEE must appoint the applicants as members of an LETB for such area as HEE considers                        appropriate.                  

(2)Where, on an application under this section, HEE is satisfied that the applicants meet some (but not all) of the appointment                        criteria, it may nonetheless appoint the applicants as the members of an LETB for such area and subject to such conditions                        as HEE considers appropriate.                  

(3)The members of an LETB must include—                  

(a)persons who provide health services in the area for which the LETB is appointed,                  

(b)persons who have clinical expertise of a description specified in regulations, and                  

(c)a person who will represent the interests of patients.                  

(4)Regulations under paragraph (b) of subsection (3) may require a specified number of members to have the expertise mentioned                        in that paragraph.                  

(5)The following persons are also eligible to be appointed as members of an LETB—                  

(a)persons who, in the area for which the LETB is appointed, provide education or training for health care workers or for persons                        wishing to work as health care workers, and                  

(b)persons of such other description as HEE may decide.                  

(6)A member of HEE is not eligible for membership of an LETB.                  

(7)The appointment criteria must include criteria designed to ensure that a majority of the members of an LETB are persons who                        provide health services in the area for which the LETB in question is appointed.                  

(8)If HEE is unable (for reasons beyond its control) to comply with any requirement imposed by this section or regulations under                        this section to appoint persons of a particular description as members of an LETB, HEE may instead appoint employees of HEE                        (other than members of HEE).                  

(9)On appointing an LETB, HEE must appoint the chair of the LETB; but it may not appoint as chair a person who—                  

(a)provides health services in the area for which the LETB is appointed, or                  

(b)in the area for which the LETB is appointed, provides education or training for health care workers or for persons wishing                        to work as health care workers.                  

(10)HEE must notify applicants under subsection (1) or (2) of the decision on the application and—                  

(a)in the case of an approval of such an application, the area for which the LETB is appointed and the appointment under subsection                        (9);                  

(b)in the case of a rejection, the reasons for the rejection.                  

(11)HEE, having complied with subsection (10), must publish—                  

(a)the decision, and                  

(b)in the case of a rejection, the reasons for the rejection.                  

(12)The conditions on which a person is appointed as a member of an LETB must include a condition not to use information obtained                        in the capacity as such otherwise than for the purposes of the LETB.                  

(13)Regulations may make further provision about—                  

(a)the membership of an LETB;                  

(b)the removal by HEE of members of an LETB;                  

(c)the suspension by HEE of members of an LETB.                  

(14)Schedule 6 (which includes provision about the area of an LETB, the appointment criteria and the exercise of an LETB's functions)                        has effect.                  

Commencement Information

I46S. 104(3)(b)(4)(13)(a) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 4(1)(b)**

I47S. 104(14) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 4(1)(g)**

##### 105LETBs: co-operation by providers of health servicesE+W

(1)Regulations must require specified commissioners of health services to include in the arrangements under the National Health                        Service Act 2006 for the provision of such services terms to ensure that a provider of such services—                  

(a)co-operates with the LETB for each area in which it provides such services, in such manner and to such extent as the LETB                        in question may request, in planning the provision of, and in providing, education and training for health care workers;                  

(b)provides the LETB in question with such information as it may request;                  

(c)complies with such other obligations relating to education and training for health care workers as may be specified.                  

(2)Duties imposed by regulations under subsection (1) on commissioners of health services are in addition to the duty imposed                        on such persons by section 1F(2) of the National Health Service Act 2006 (duty to secure that persons providing health services                        co-operate with the Secretary of State in the discharge of the duty as to education and training).                  

(3)Regulations may specify factors to which an LETB must, when proposing to make a request of the type mentioned in subsection                        (1)(a) or (b), have regard in considering the reasonableness of making the request.                  

(4)A reference to a commissioner of health services is a reference to—                  

(a)the National Health Service Commissioning Board,                  

(b)a clinical commissioning group, or                  

(c)such other person as arranges for the provision of such services.                  

Commencement Information

I48S. 105(1)(4) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 4(1)(c)**

##### 106Education and training plansE+W

(1)An LETB must publish for each financial year a document (called an “education and training plan”) specifying how it proposes                        to exercise its main function (see section 103(2)).                  

(2)The education and training plan of an LETB must specify how the LETB proposes to—                  

(a)achieve the objectives and reflect the priorities set by the Secretary of State for the purposes of section 100(1),                  

(b)achieve the objectives and reflect the priorities set by HEE for the purposes of section 100(4)(a),                  

(c)achieve the outcomes set by the Secretary of State for the purposes of section 100(2), and                  

(d)achieve the outcomes set by HEE for the purposes of section 100(4)(b).                  

(3)In preparing its education and training plan, an LETB must have regard to—                  

(a)the priorities that the providers of health services whom the LETB represents have in relation to the provision in the LETB's                        area of health services and of education and training for health care workers or persons wishing to become health care workers,                  

(b)the priorities that commissioners of health services in the LETB's area have in relation to those matters,                  

(c)any assessment of relevant needs relating to the LETB's area prepared under section 116 of the Local Government and Public                        Involvement in Health Act 2007,                  

(d)any joint health and wellbeing strategy relating to the LETB's area prepared under section 116A of that Act, and                  

(e)the LETB's objectives in the longer term in relation to the exercise of the LETB's main function.                  

(4)In preparing its education and training plan, an LETB must involve—                  

(a)the providers of health services whom the LETB represents,                  

(b)the commissioners of health services in the LETB's area,                  

(c)the Health and Wellbeing Board for that area,                  

(d)such persons as HEE may direct the LETB to involve, and                  

(e)such other persons as the LETB considers appropriate.                  

(5)Before publishing its education and training plan (or an amended education and training plan), an LETB must obtain approval                        of the plan (or the amended plan) from HEE.                  

(6)Before giving an approval under subsection (5), HEE may direct the LETB concerned to amend the education and training plan                        (or the amended education and training plan) as HEE specifies.                  

(7)But, in the case of an LETB which meets all the appointment criteria, the only amendments which HEE may direct to be made                        under subsection (6) are those HEE considers necessary in order to ensure that the LETB achieves the outcomes set by HEE for                        the purposes of section 100(4)(b).                  

(8)Where HEE exercises the power under subsection (6), it must publish—                  

(a)the amendments in question, and                  

(b)its reasons for directing them to be made.                  

(9)HEE may give LETBs directions about—                  

(a)what to include in their education and training plans;                  

(b)how to present them.                  

(10)An LETB may perform the duty under subsection (1) by preparing two or more documents which, taken together, specify how it                        proposes to exercise its main function.                  

##### 107Commissioning education and trainingE+W

(1)Each LETB must for each financial year arrange for the provision of education and training in accordance with its education                        and training plan for that year.                  

(2)Where HEE considers that it would be better for the arrangements for the provision of certain education and training to be                        made on a national basis, it—                  

(a)may arrange for the provision of that education and training accordingly, or                  

(b)may direct one or more LETBs to do so on its behalf.                  

(3)Before exercising a power under subsection (2), HEE must involve LETBs in making its decision.                  

(4)HEE must for each financial year allocate to each LETB the amount that HEE considers appropriate to enable the LETB to comply                        with this section.                  

(5)In doing so, HEE must take into account any duty to which the LETB is subject under section 108(9) (requirement to make payments                        by reference to an approved tariff price or a price varied under a specified procedure).                  

(6)An LETB may arrange for another person to help it to exercise the function under subsection (1) or (where it is directed to                        do so under subsection (2)(b)) the function under subsection (2)(a) (and such functions as are exercisable for the purposes                        of or in connection with the exercise of the function concerned).                  

(7)Each LETB—                  

(a)must keep under review the quality of the education and training the provision of which it arranges, and                  

(b)must report its findings to such persons as it considers may be interested by them.                  

(8)An LETB must produce such reports on the exercise of the function under subsection (1) (including on the quality of the education                        and training the provision of which it arranges) as HEE may require.                  

#### TariffsE+W

##### 108TariffsE+W

(1)The Secretary of State may specify a tariff setting approved prices in respect of education and training.                  

(2)The approved prices may be different for different descriptions of education and training (and may in particular be different                        for different areas).                  

(3)A tariff specified under subsection (1) must be published.                  

(4)If a tariff is specified under subsection (1), the Secretary of State may also specify a procedure for varying the approved                        prices in particular cases or descriptions of cases.                  

(5)If the Secretary of State does so, the procedure—                  

(a)must be published, and                  

(b)must require a price as varied under the procedure to be published.                  

(6)A published tariff or variation procedure may be revised or revoked by the Secretary of State.                  

(7)If a tariff or variation procedure is revised, the Secretary of State must publish it as revised.                  

(8)If it is revoked, the Secretary of State must publish a statement to that effect.                  

(9)Where a tariff sets an approved price for a particular description of education or training, payments made by an LETB or HEE                        in respect of the provision of that description of education or training must be made—                  

(a)by reference to the approved price, or                  

(b)where the approved price has been varied in accordance with a variation procedure that has effect in relation to it, by reference                        to the price as varied.                  

### CHAPTER 2U.K.Health Research Authority

#### EstablishmentU.K.

##### 109The Health Research AuthorityU.K.

(1)There is to be a body corporate called the Health Research Authority (referred to in this Act as “the HRA”).                  

(2)Schedule 7 (which includes provision about the HRA's constitution, the exercise of its functions and its financial and reporting                        duties) has effect.                  

(3)The Special Health Authority called the Health Research Authority is abolished; and, in consequence of that, the following                        are revoked—                  

(a)the Health Research Authority (Establishment and Constitution) Order 2011 (S.I. 2011/2323), and                  

(b)the Health Research Authority Regulations 2011 (S.I. 2011/2341).                  

(4)The Secretary of State may by order provide for the transfer of property, rights and liabilities from that Special Health                        Authority to the HRA; for further provision about an order under this section, see section 118.                  

Commencement Information

I49S. 109(2) in force at 15.7.2014 for specified purposes by S.I. 2014/1714, **art. 3(3)(b)**

I50S. 109(4) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 4(1)(d)**

#### General functionsU.K.

##### 110The HRA's functionsU.K.

(1)The main functions of the HRA are—                  

(a)functions relating to the co-ordination and standardisation of practice relating to the regulation of health and social care                        research (see section 111);                  

(b)functions relating to research ethics committees (see sections 112 to 115);                  

(c)functions as a member of the United Kingdom Ethics Committee Authority (see section 116 and the Medicines for Human Use (Clinical                        Trials) Regulations 2004 (S.I. 2004/1031));                  

(d)functions relating to approvals for processing confidential information relating to patients (see section 117 and the Health                        Service (Control of Patient Information) Regulations 2002 (S.I. 2002/1438)).                  

(2)The main objective of the HRA in exercising its functions is—                  

(a)to protect participants and potential participants in health or social care research and the general public by encouraging                        research that is safe and ethical, and                  

(b)to promote the interests of those participants and potential participants and the general public by facilitating the conduct                        of research that is safe and ethical (including by promoting transparency in research).                  

(3)Health research is research into matters relating to people's physical or mental health; but a reference to health research                        does not include a reference to anything authorised under the Animals (Scientific Procedures) Act 1986.                  

(4)Social care research is research into matters relating to personal care or other practical assistance for individuals aged                        18 or over who are in need of care or assistance because of age, physical or mental illness, disability, pregnancy, childbirth,                        dependence on alcohol or drugs or other similar circumstances; and “illness” has the meaning given by section 275(1) of the National Health Service Act 2006.                  

(5)A reference to health or social care research does not include a reference to research into matters which are within the legislative                        competence of a devolved legislature.                  

(6)A reference to research that is ethical is a reference to research that conforms to generally accepted ethical standards.                  

(7)Promoting transparency in research includes promoting—                  

(a)the registration of research;                  

(b)the publication and dissemination of research findings and conclusions;                  

(c)the provision of access to data on which research findings or conclusions are based;                  

(d)the provision of information at the end of research to participants in the research;                  

(e)the provision of access to tissue used in research, for use in future research.                  

(8)The Secretary of State may by order amend subsection (1) in consequence of—                  

(a)functions being given to the HRA,                  

(b)functions being taken away from the HRA, or                  

(c)changes to the description of functions that the HRA has for the time being.                  

#### Regulatory practiceU.K.

##### 111. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  

#### Research ethics committeesU.K.

##### 112The HRA's policy on research ethics committeesU.K.

(1)The HRA must ensure that research ethics committees it recognises or establishes under this Chapter provide an efficient and                        effective means of assessing the ethics of health and social care research.                  

(2)A research ethics committee is a group of persons which assesses the ethics of research involving individuals; and the ways                        in which health or social care research might involve individuals include, for example—                  

(a)by obtaining information from them;                  

(b)by obtaining bodily tissue or fluid from them;                  

(c)by using information, tissue or fluid obtained from them on a previous occasion;                  

(d)by requiring them to undergo a test or other process (including xenotransplantation).                  

(3)For the purposes of subsection (1), the HRA—                  

(a)must publish a document (called “the REC policy document”) which specifies the requirements which it expects research ethics                        committees it recognises or establishes under this Chapter to comply with, and                  

(b)must monitor their compliance with those requirements.                  

(4)The HRA may do such other things in relation to research ethics committees it recognises or establishes under this Chapter                        as it considers appropriate; it may, for example—                  

(a)co-ordinate their work;                  

(b)allocate work to them;                  

(c)develop and maintain training programmes designed to ensure that their members and staff can carry out their work effectively;                  

(d)provide them with advice and help (including help in the form of financial assistance).                  

(5)The requirements in the REC policy document may, for example, relate to—                  

(a)membership;                  

(b)proceedings;                  

(c)staff;                  

(d)accommodation and facilities;                  

(e)expenses;                  

(f)objectives and functions;                  

(g)accountability;                  

(h)procedures for challenging decisions.                  

(6)The HRA must ensure that the requirements imposed on research ethics committees in the REC policy document do not conflict                        with the requirements imposed on them by the Medicines for Human Use (Clinical Trials) Regulations 2004 (S.I. 2004/1031).                  

(7)Before publishing the REC policy document, the HRA must consult—                  

(a)the devolved authorities, and                  

(b)such other persons as it considers appropriate.                  

(8)The HRA may revise the REC policy document and, where it does so, it must publish the document as revised; subsection (7)                        applies to a revised policy document in so far as the HRA considers the revisions significant.                  

(9)The HRA must indemnify the members of each research ethics committee it recognises or establishes under this Chapter against                        any liability to a third party for loss, damage or injury arising from the committee's exercise of its functions in assessing                        the ethics of health or social care research.                  

##### 113Approval of researchU.K.

(1)The HRA must publish guidance about—                  

(a)the cases in which, in its opinion, good practice requires a person proposing to conduct health or social care research that                        involves individuals to obtain the approval of a research ethics committee recognised or established by the HRA under this                        Chapter, and                  

(b)the cases in which an enactment requires a person proposing to conduct research of that kind to obtain that approval.                  

(2)Before publishing guidance under subsection (1), the HRA must—                  

(a)consult the devolved authorities and such other persons as the HRA considers appropriate, and                  

(b)obtain the approval of the Secretary of State.                  

(3)The HRA may revise guidance under subsection (1) and, where it does so, it must publish the guidance as revised; subsection                        (2) applies to revised guidance in so far as the HRA considers the revisions significant.                  

(4)Schedule 8 (which amends various references to research ethics committees in secondary legislation) has effect.                  

##### 114Recognition by the HRAU.K.

(1)The HRA may, on an application made by or on behalf of a group of persons, recognise the group as a research ethics committee                        which is capable of—                  

(a)approving research of the kind referred to in section 113(1), and                  

(b)giving such other approvals as enactments require.                  

(2)The HRA may not recognise a group under this section unless it is satisfied that—                  

(a)the group will, if recognised, comply with the requirements set out in the REC policy document, and                  

(b)there is or will be a demand for such a group.                  

(3)In deciding whether to recognise a group under this section, the HRA must have regard to whether the group is recognised as                        a research ethics committee by or on behalf of a devolved authority.                  

(4)The HRA may do anything (including providing financial assistance) to help a group wishing to be recognised under this section                        to reach a position from which it should be able to make an application for recognition under this section that is likely                        to succeed.                  

(5)The HRA may revoke a recognition under this section if it is satisfied that—                  

(a)the group to which the recognition applies is not complying with the requirements specified in the REC policy document,                  

(b)the group is not (or is not properly) carrying out its function of assessing the ethical aspects of research, or                  

(c)revocation is necessary or desirable for some other reason.                  

(6)A group in existence immediately before the commencement of section 109, and established or recognised by or on behalf of                        the old Health Research Authority, or by or on behalf of the Secretary of State, as a research ethics committee which assesses                        health or social care research is to be regarded as recognised by the HRA under this section.                  

(7)The reference in subsection (6) to the old Health Research Authority is a reference to the Special Health Authority called                        the Health Research Authority (and abolished by section 109).                  

##### 115Establishment by the HRAU.K.

(1)The HRA may establish research ethics committees which have the following functions—                  

(a)approving research of the kind referred to in section 113(1);                  

(b)giving such other approvals as enactments require.                  

(2)The HRA must ensure that a research ethics committee established under this section complies with the requirements set out                        in the REC policy document.                  

(3)The HRA may abolish a research ethics committee established under this section.                  

##### 116Membership of the United Kingdom Ethics Committee AuthorityU.K.

In regulation 5 of the Medicines for Human Use (Clinical Trials) Regulations 2004 (S.I. 2004/1031) (United Kingdom Ethics                     Committee Authority)—                  

(a)in paragraphs (1), (2) and (3), for “the Secretary of State for Health”, in each place it appears, substitute “ the Health Research Authority ”, and                  

(b)in paragraph (2), for “the Secretary of State” substitute “ the Health Research Authority ”.                  

#### Patient informationU.K.

##### 117Approval for processing confidential patient informationU.K.

(1)The Health Service (Control of Patient Information) Regulations 2002 (S.I. 2002/1438) are amended as follows.                  

(2)In regulation 5 (the title to which becomes “ Approval for processing information ”)—                  

(a)the existing text becomes paragraph (1), and                  

(b)in sub-paragraph (a) of that paragraph, for “both the Secretary of State and a research ethics committee” substitute “ the Health Research Authority ”.                  

(3)After paragraph (1) of that regulation insert—                  

“(2)The Health Research Authority may not give an approval under paragraph (1)(a) unless a research ethics committee has approved                           the medical research concerned.”                  

(4)After paragraph (2) of that regulation insert—                  

“(3)The Health Research Authority shall put in place and operate a system for reviewing decisions it makes under paragraph (1)(a).”                  

(5)In regulation 6 (registration requirements in relation to information), in paragraph (1)—                  

(a)before “the Secretary of State” insert “ the Health Research Authority or ”, and                  

(b)before “he” insert “ it or ”.                  

(6)In paragraph (2)(d) of that regulation, before “the Secretary of State” insert “ the Health Research Authority or (as the case may be) ”.                  

(7)In paragraph (3) of that regulation, for the words from the beginning to “in the register” substitute “ The Health Research Authority shall retain the particulars of each entry it records in the register, and the Secretary of                           State shall retain the particulars of each entry he records in the register, ”.                  

(8)For paragraph (4) of that regulation substitute—                  

“(4)The Health Research Authority shall, in such manner and to such extent as it considers appropriate, publish entries it records                           in the register; and the Secretary of State shall, in such manner and to such extent as he considers appropriate, publish                           entries he records in the register.”                  

### CHAPTER 3U.K.Chapters 1 and 2: supplementary

#### MiscellaneousU.K.

##### 118Transfer ordersU.K.

(1)An order under section 96 (establishment of Health Education England) or section 109 (establishment of the Health Research                        Authority) (a “transfer order”) may make provision for rights and liabilities relating to an individual's contract of employment.                  

(2)A transfer order may, in particular, make provision the same as or similar to provision in the Transfer of Undertakings (Protection                        of Employment) Regulations 2006 (S.I. 2006/246).                  

(3)A transfer order may provide for the transfer of property, rights or liabilities—                  

(a)whether or not they would otherwise be capable of being transferred;                  

(b)irrespective of any requirement for consent that would otherwise apply.                  

(4)A transfer order may create rights, or impose liabilities, in relation to property, rights or liabilities transferred.                  

(5)A transfer order may provide for things done by or in relation to the transferor for the purposes of or in connection with                        anything transferred to be—                  

(a)treated as done by or in relation to the transferee or its employees;                  

(b)continued by or in relation to the transferee or its employees.                  

(6)A transfer order may in particular make provision about continuation of legal proceedings.                  

Commencement Information

I51S. 118 in force at 1.10.2014 by S.I. 2014/2473, **art. 4(2)(b)**

#### GeneralU.K.

##### 119Chapters 1 and 2: interpretation and supplementary provisionU.K.

(1)For the purposes of Chapters 1 and 2, an expression in the first column of the following table is defined or otherwise explained                        by the provision of this Act specified in the second column.                  

(2)A power under Chapter 1 or 2 to give a direction—                  

(a)includes a power to vary or revoke the direction by a subsequent direction, and                  

(b)must be exercised by giving the direction in question in writing.                  

(3)The amendments made by sections 116 and 117 and Schedule 8 to provisions of subordinate legislation do not affect the power                        to make further subordinate legislation amending or revoking the amended provisions.                  

Commencement Information

I52S. 119 in force at 1.10.2014 for specified purposes for E. by S.I. 2014/2473, **art. 4(1)(e)**

### CHAPTER 4E+WTrust special administration

#### 120Powers of administrator etc.E+W

(1)In section 65O of the National Health Service Act 2006 (Chapter 5A of Part 2: interpretation) (the existing text of which                        becomes subsection (1)) at the end insert—                  

“(2)The references in this Chapter to taking action in relation to an NHS trust include a reference to taking action, including                           in relation to another NHS trust or an NHS foundation trust, which is necessary for and consequential on action taken in relation                           to that NHS trust.                  

(3)The references in this Chapter to taking action in relation to an NHS foundation trust include a reference to taking action,                           including in relation to another NHS foundation trust or an NHS trust, which is necessary for and consequential on action                           taken in relation to that NHS foundation trust.”                  

(2)In section 65F of that Act (administrator's draft report), in subsection (1), for “45 working days” substitute “ 65 working days ”.                  

(3)In subsection (5)(a) of that section, for “would achieve the objective set out in section 65DA(1)(a)” substitute “—                   

(i)would achieve the objective set out in section 65DA(1)(a), and                  

(ii)would do so without harming essential services provided for the purposes of the NHS by any other NHS foundation trust or NHS                           trust that provides services under this Act to the commissioner,”.                  

(4)After subsection (7) of that section insert—                  

“(8)Where the administrator recommends taking action in relation to another NHS foundation trust or an NHS trust, the references                           in subsection (5) to a commissioner also include a reference to a person to which the other NHS foundation trust or the NHS                           trust provides services under this Act that would be affected by the action.                  

(9)A service provided by an NHS foundation trust or an NHS trust is an essential service for the purposes of subsection (5) if                           the person making the statement in question is satisfied that the criterion in section 65DA(3) is met.                  

(10)Section 65DA(4) applies to the person making the statement when that person is determining whether that criterion is met.”                  

(5)In section 65G of that Act (consultation plan), in subsection (2), for “30 working days” substitute “ 40 working days ”.                  

(6)In subsection (4)(a) of that section, for “would achieve the objective set out in section 65DA(1)(a)” substitute “—                   

(i)would achieve the objective set out in section 65DA(1)(a), and                  

(ii)would do so without harming essential services provided for the purposes of the NHS by any other NHS foundation trust or NHS                           trust that provides services under this Act to the commissioner,”.                  

(7)After subsection (6) of that section insert—                  

“(7)Where the administrator recommends taking action in relation to another NHS foundation trust or an NHS trust, the references                           in subsection (4) to a commissioner also include a reference to a person to which the other NHS foundation trust or the NHS                           trust provides services under this Act that would be affected by the action.”                  

(8)A service provided by an NHS foundation trust or an NHS trust is an essential service for the purposes of subsection (4) if                           the person making the statement in question is satisfied that the criterion in section 65DA(3) is met.                  

(9)Section 65DA(4) applies to the person making the statement when that person is determining whether that criterion is met.”                  

(8)In section 65H of that Act (consultation requirements), in subsection (4)—                  

(a)after “trust special administrator must” insert “—                   

(a)”, and

(b)at the end insert “, and                   

(b)in the case of each affected trust, hold at least one meeting to seek responses from staff of the trust and from such persons                           as the trust special administrator may recognise as representing staff of the trust.”                  

(9)In subsection (7) of that section, after paragraph (b) (but before paragraph (ba) inserted by section 85(10)(a) of this Act)                        insert—                  

“(bza)any affected trust;                  

(bzb)any person to which an affected trust provides goods or services under this Act that would be affected by the action recommended                           in the draft report;                  

(bzc)any local authority in whose area the trust provides goods or services under this Act;                  

(bzd)any local authority in whose area an affected trust provides goods or services under this Act;                  

(bze)any Local Healthwatch organisation for the area of a local authority mentioned in paragraph (bzc) or (bzd);”.                  

(10)In subsection (8) of that section, omit paragraph (e).                  

(11)In subsection (9) of that section—                  

(a)after “trust special administrator must” insert “—                   

(a)”,

(b)after “subsection (7)(b),” (but before the insertion made by section 85(10)(b) of this Act) insert “ (bzb), ”, and                  

(c)at the end insert—                  

“(b)hold at least one meeting to seek responses from representatives of each of the trusts from which the administrator must request                           a written response under subsection (7)(bza), and                  

(c)hold at least one meeting to seek responses from representatives of each of the local authorities and Local Healthwatch organisations                           from which the administrator must request a written response under subsection (7)(bzc), (bzd) and (bze).”                  

(12)After subsection (11) of that section, insert—                  

“(11A)In this section, “affected trust” means—                  

(a)where the trust in question is an NHS trust, another NHS trust, or an NHS foundation trust, which provides goods or services                           under this Act that would be affected by the action recommended in the draft report;                  

(b)where the trust in question is an NHS foundation trust, another NHS foundation trust, or an NHS trust, which provides services                           under this Act that would be affected by the action recommended in the draft report.                  

(11B)In this section, a reference to a local authority includes a reference to the council of a district only where the district                           is comprised in an area for which there is no county council.”                  

(13)In subsection (12)(a) of that section, after “subsection (7)(b)”, insert “ , (bzb), (bzc) and (bzd) ”.                  

(14)In section 65N of that Act (guidance), after subsection (1) insert—                  

“(1A)It must, in so far as it applies to NHS trusts, include guidance about—                  

(a)seeking the support of commissioners for an administrator's recommendation;                  

(b)involving the Board in relation to finalising an administrator's report or draft report.”                  

(15)In section 13Q of that Act (public involvement and consultation by NHS Commissioning Board), at the end insert—                  

“(4)This section does not require the Board to make arrangements in relation to matters to which a trust special administrator's                           report or draft report under section 65F or 65I relates before the Secretary of State makes a decision under section 65K(1),                           is satisfied as mentioned in section 65KB(1) or 65KD(1) or makes a decision under section 65KD(9) (as the case may be).”                  

(16)In section 14Z2 of that Act (public involvement and consultation by clinical commissioning groups), at the end insert—                  

“(7)This section does not require a clinical commissioning group to make arrangements in relation to matters to which a trust                           special administrator's report or draft report under section 65F or 65I relates before the Secretary of State makes a decision                           under section 65K(1), is satisfied as mentioned in section 65KB(1) or 65KD(1) or makes a decision under section 65KD(9) (as                           the case may be).”                  

(17)In section 242 of that Act (public involvement and consultation by NHS trusts and foundation trusts), in subsection (6)—                  

(a)for “65I, 65R or 65U” substitute “ or 65I ”, and                  

(b)for the words from “the decision” to the end substitute “ the Secretary of State makes a decision under section 65K(1), is satisfied as mentioned in section 65KB(1) or 65KD(1) or                           makes a decision under section 65KD(9) (as the case may be). ”                  

(18)In Schedule 14 to the Health and Social Care Act 2012 (abolition of NHS trusts in England: consequential amendments)—                  

(a)after paragraph 4 insert—                  

##### 

In section 13Q(4) (public involvement and consultation by Board), omit “makes a decision under section 65K(1),”.                  

##### 

In section 14Z2 (public involvement and consultation by clinical commissioning groups), omit “makes a decision under section                        65K(1),”.”,                  

(b)in paragraph 15(4), in the new subsection (2A) to be inserted into section 65F of the National Health Service Act 2006, in                        paragraph (a), for “would achieve the objective set out in section 65DA(1)(a)” substitute “—                   

(i)would achieve the objective set out in section 65DA(1)(a), and                  

(ii)would do so without harming essential services provided for the purposes of the NHS by any other NHS foundation trust that                           provides services under this Act to the commissioner,”,                  

(c)in paragraph 15(4), after the new subsection (2C) to be inserted into that section, insert—                  

“(2D)Where the administrator recommends taking action in relation to another NHS foundation trust, the references in subsection                           (2A) to a commissioner also include a reference to a person to which the other NHS foundation trust provides services under                           this Act that would be affected by the action.                  

(2E)A service provided by an NHS foundation trust is an essential service for the purposes of subsection (2A) if the person making                           the statement in question is satisfied that the criterion in section 65DA(3) is met.                  

(2F)Section 65DA(4) applies to the person making the statement when that person is determining whether that criterion is met.”,                  

(d)in paragraph 15, after sub-paragraph (7) insert—                  

“(8)Omit subsections (8) to (10).”,                  

(e)in paragraph 16 (the text of which becomes sub-paragraph (1)) at the end insert—                  

“(2)In subsection (4)(a)(ii) of that section, omit “or NHS trust”.                  

(3)In subsection (7) of that section, omit “or an NHS trust” and “or the NHS trust”.                  

(4)In subsection (8) of that section, omit “or an NHS trust”.”,                  

(f)in paragraph 17, in sub-paragraph (2)(a), for “paragraph (b)” substitute “ paragraphs (b), (bzb), (bzc) and (bzd) ”,                  

(g)in that paragraph, after sub-paragraph (4) insert—                  

“(4A)In subsection (11A)—                  

(a)omit paragraph (a), and                  

(b)in paragraph (b), omit “where the trust in question is an NHS foundation trust,” and “, or an NHS trust,”.”,                  

(h)in paragraph 24, after sub-paragraph (2) insert—                  

“(2A)Omit subsection (1A).”,                  

(i)after that paragraph insert—                  

##### 

In section 65O (interpretation)—                  

(a)omit subsection (2), and                  

(b)in subsection (3), omit “or an NHS trust”.”, and                  

(j)in paragraph 35, omit the “and” preceding paragraph (d) and after that paragraph insert “, and                   

(e)in subsection (6), omit “makes a decision under section 65K(1),”.”                  

Commencement Information

I53S. 120 in force at 15.7.2014 by S.I. 2014/1714, **art. 3(2)(c)**

## **PART 4**E+WHealth and social care

### Integration fundE+W

#### 121Integration of care and support with health services etc: integration fundE+W

(1)At the end of section 223B of the National Health Service Act 2006 (funding of the National Health Service Commissioning Board)                        insert—                  

“(6)Where the mandate specifies objectives relating to service integration, the requirements that may be specified under section                           13A(2)(b) include such requirements relating to the use by the Board of an amount of the sums paid to it under this section                           as the Secretary of State considers it necessary or expedient to impose.                  

(7)The amount referred to in subsection (6)—                  

(a)is to be determined in such manner as the Secretary of State considers appropriate, and                  

(b)must be specified in the mandate.                  

(8)The reference in subsection (6) to service integration is a reference to the integration of the provision of health services                           with the provision of health-related services or social care services, as referred to in sections 13N and 14Z1.”                  

(2)After section 223G of that Act (meeting expenditure of clinical commissioning groups out of public funds) insert—                  

##### “223GAExpenditure on integration

(1)Where the mandate includes a requirement in reliance on section 223B(6) (requirements relating to use by the Board of an amount                           paid to the Board where mandate specifies service integration objectives), the Board may direct a clinical commissioning group                           that an amount (a “designated amount”) of the sums paid to the group under section 223G is to be used for purposes relating                           to service integration.                  

(2)The designated amount is to be determined—                  

(a)where the mandate includes a requirement (in reliance on section 223B(6)) that designated amounts are to be determined by                           the Board in a manner specified in the mandate, in that manner;                  

(b)in any other case, in such manner as the Board considers appropriate.                  

(3)The conditions under section 223G(7) subject to which the payment of a designated amount is made must include a condition                           that the group transfers the amount into one or more funds (“pooled funds”) established under arrangements under section 75(2)(a)                           (“pooling arrangements”).                  

(4)The conditions may also include—                  

(a)conditions relating to the preparation and agreement by the group and each local authority and other clinical commissioning                           group that is party to the pooling arrangements of a plan for how to use the designated amount (a “spending plan”);                  

(b)conditions relating to the approval of a spending plan by the Board;                  

(c)conditions relating to the inclusion of performance objectives in a spending plan;                  

(d)conditions relating to the meeting of any performance objectives included in a spending plan or specified by the Board.                  

(5)Where a condition subject to which the payment of a designated amount is made is not met, the Board may—                  

(a)withhold the payment (in so far as it has not been made);                  

(b)recover the payment (in so far as it has been made);                  

(c)direct the clinical commissioning group as to the use of the designated amount for purposes relating to service integration                           or for making payments under section 256.                  

(6)Where the Board withholds or recovers a payment under subsection (5)(a) or (b)—                  

(a)it may use the amount for purposes consistent with such objectives and requirements relating to service integration as are                           specified in the mandate, and                  

(b)in so far as the exercise of the power under paragraph (a) involves making a payment to a different clinical commissioning                           group or some other person, the making of the payment is subject to such conditions as the Board may determine.                  

(7)The requirements that may be specified in the mandate in reliance on section 223B(6) include requirements to consult the Secretary                           of State or other specified persons before exercising a power under subsection (5) or (6).                  

(8)The power under subsection (5)(b) to recover a payment may be exercised in a financial year after the one in respect of which                           the payment was made.                  

(9)The payments that may be made out of a pooled fund into which a designated amount is transferred include payments to a local                           authority which is not party to the pooling arrangements in question in connection with the exercise of its functions under                           Part 1 of the Housing Grants, Construction and Regeneration Act 1996 (disabilities facilities grants).                  

(10)In exercising a power under this section, the Board must have regard to the extent to which there is a need for the provision                           of each of the following—                  

(a)health services (see subsection (12)),                  

(b)health-related services (within the meaning given in section 14Z1), and                  

(c)social care services (within the meaning given in that section).                  

(11)A reference in this section to service integration is a reference to the integration of the provision of health services with                           the provision of health-related services or social care services, as referred to in sections 13N and 14Z1.                  

(12)“Health services” means services provided as part of the health service in England.”.                  

Commencement Information

I54S. 121 in force at 1.10.2014 by S.I. 2014/2473, **art. 6**

### InformationE+W

#### 122The Health and Social Care Information Centre: restrictions on dissemination of informationE+W

(1)Chapter 2 of Part 9 of the Health and Social Care Act 2012 (the Health and Social Care Information Centre) is amended as follows.                  

(2)In section 253(1) (general duties), after paragraph (c) (but before the “and” after it) insert—                  

“(ca)the need to respect and promote the privacy of recipients of health services and of adult social care in England,”.                  

(3)In section 261 (other dissemination of information), after subsection (1) insert—                  

“(1A)But the Information Centre may do so only if it considers that disseminating the information would be for the purposes of—                  

(a)the provision of health care or adult social care, or                  

(b)the promotion of health.”                  

(4)After section 262 insert—                  

##### “262APublication and other dissemination: supplementary

In exercising any function under this Act of publishing or otherwise disseminating information, the Information Centre must                        have regard to any advice given to it by the committee appointed by the Health Research Authority under paragraph 8(1) of                        Schedule 7 to the Care Act 2014 (committee to advise in connection with information dissemination etc).”                  

Commencement Information

I55S. 122(1) in force at 15.7.2014 for specified purposes by S.I. 2014/1714, **art. 3(2)(d)**

I56S. 122(2)(3) in force at 15.7.2014 by S.I. 2014/1714, **art. 3(2)(d)**

## **PART 5**U.K.General

### 123Power to make consequential provisionU.K.

(1)The Secretary of State may by order make provision in consequence of a provision of this Act.                  

(2)An order under this section may amend, repeal, or revoke an enactment, or provide for an enactment to apply with specified                        modifications.                  

(3)The power conferred by this section is not restricted by any other provision of this Act.                  

(4)A saving or a transitional or transitory provision in an order under this section by virtue of section 125(8) may, in particular,                        modify the application of a provision made by the order pending the commencement of—                  

(a)another provision of the order,                  

(b)a provision of this Act, or                  

(c)any other enactment.                  

(5)Before making an order under this section that contains provision which is within the legislative competence of a devolved                        legislature, the Secretary of State must consult the relevant devolved authority.                  

(6)A reference to an enactment includes a reference to an enactment passed or made after the passing of this Act.                  

### 124Power to make transitional etc. provisionU.K.

(1)The Secretary of State may by order make transitional, transitory or saving provision in connection with the commencement                        of a provision of this Act.                  

(2)An order under this section may modify the application of a provision of this Act pending the commencement of—                  

(a)another provision of this Act, or                  

(b)any other enactment (including one passed or made after the passing of this Act).                  

### 125Regulations and ordersU.K.

(1)A power to make regulations under this Act is exercisable by the Secretary of State.                  

(2)Regulations and orders under this Act must be made by statutory instrument.                  

(3)Subject to subsections (4) and (6), a statutory instrument containing regulations or an order under this Act is subject to                        annulment in pursuance of a resolution of either House of Parliament.                  

(4)A statutory instrument which contains (whether alone or with other provision) any of the following may not be made unless                        a draft of the instrument has been laid before, and approved by a resolution of, each House of Parliament—                  

(a)regulations under section 13(7) (the eligibility criteria);                  

(b)regulations under section 15(4) (the cap on care costs) other than those made in discharge of the duty under section 16(1);                  

(c)the first regulations under section 15(8) (the amount attributable to an adult's daily living costs);                  

(d)regulations under section 22(2)(b) (services or facilities which a local authority may not provide or arrange);                  

(e)regulations under section 35(9) or 36(3) (deferred payment agreements and loans and alternative financial arrangements) which                        include provision that amends or repeals a provision of an Act of Parliament, or provides for a provision of an Act of Parliament                        to apply with modifications;                  

(f)the first regulations under section 52(12) (meaning of references to business failure);                  

(g)the first regulations under section 53(1) (criteria for application of market oversight regime);                  

(h)the first regulations under section 53(4) (disapplication of market oversight regime in particular cases);                  

(i)the first regulations under section 62(2) (exercise of power to meet child's carer's needs for support);                  

(j)the first regulations under section 72 (Part 1 appeals);                  

(k)subsequent regulations under that section which include provision that amends or repeals a provision of an Act of Parliament,                        or provides for a provision of an Act of Parliament to apply with modifications;                  

(l)an order under section 79(9) (delegation of local authority functions);                  

(m)regulations under section 92 (offence of supplying etc false or misleading information);                  

(n)an order under section 123 (consequential provision) which includes provision that amends or repeals a provision of an Act                        of Parliament, or provides for a provision of an Act of Parliament to apply with modifications;                  

(o)regulations under paragraph 18 of Schedule 7 (fees chargeable by the HRA).                  

(5)Subsection (4) does not apply to a statutory instrument which contains regulations or an order within paragraph (e), (k) or                        (n) of that subsection, if the regulations or order are within the paragraph in question only because they include provision                        that applies an Act of Parliament with modifications for the purpose of making saving, transitional or transitory provision.                  

(6)Subsection (3) does not apply to—                  

(a)an order under section 96 (transfer order to new HEE);                  

(b)an order under section 109 (transfer order to new HRA);                  

(c)an order under section 124 (transitional etc. provision);                  

(d)an order under section 127 (commencement).                  

(7)A power to make regulations or an order under this Act—                  

(a)may be exercised for all cases to which the power applies, for those cases subject to specified exceptions, or for any specified                        cases or descriptions of case,                  

(b)may be exercised so as to make, for the cases for which it is exercised—                  

(i)the full provision to which the power applies or any less provision (whether by way of exception or otherwise);                  

(ii)the same provision for all cases for which the power is exercised, or different provision for different cases or different                        descriptions of case, or different provision as respects the same case or description of case for different purposes of this                        Act;                  

(iii)any such provision either unconditionally or subject to specified conditions, and                  

(c)may, in particular, make different provision for different areas.                  

(8)A power to make regulations or an order under this Act (other than the power to make an order under section 124 or 127) includes                        —                  

(a)power to make incidental, supplementary, consequential, saving, transitional or transitory provision, and                  

(b)power to provide for a person to exercise a discretion in dealing with a matter.                  

(9)Before making regulations under section 52(12) (meaning of references to business failure), the Secretary of State must consult                        the Welsh Ministers and the Department for Health, Social Services and Public Safety in Northern Ireland.                  

### 126General interpretationU.K.

In this Act—
          -  “devolved authority” means the Scottish Ministers, the Welsh Ministers or the Department for Health, Social Services and Public Safety in Northern                           Ireland,                         
          -  “devolved legislature” means the Scottish Parliament, the National Assembly for Wales or the Northern Ireland Assembly,                         
          -  “enactment” includes—                          (a)
an enactment contained in subordinate legislation (within the meaning of the Interpretation Act 1978), and
(b)
an enactment contained in, or in an instrument made under, an Act of the Scottish Parliament, an Act or Measure of the National                                    Assembly for Wales or Northern Ireland legislation,                                 
 
          -  “financial year” means a period of 12 months ending with 31 March (but see also the definition of that expression in paragraph 3 of Schedule                           2, paragraph 19 of Schedule 5 and paragraph 19 of Schedule 7), and                         
          -  “the health service” means the comprehensive health service in England continued under section 1(1) of the National Health Service Act 2006.                         

### 127CommencementU.K.

(1)The provisions of Parts 1 to 4 come into force on such day as the Secretary of State may by order appoint.                  

(2)The provisions of this Part come into force on the day on which this Act is passed.                  

(3)Before making an order under this section bringing section 50 (provider failure: temporary duty on local authority in Wales                        in cross-border cases) or 75 (after-care under the Mental Health Act 1983) into force, the Secretary of State must obtain                        the consent of the Welsh Ministers.                  

(4)Before making an order under this section bringing section 51 (provider failure: temporary duty on Health and Social Care                        trusts in cross-border cases) into force, the Secretary of State must obtain the consent of the Department for Health, Social                        Services and Public Safety in Northern Ireland.                  

(5)Different days may be appointed under subsection (1) for different purposes (including different areas).                  

### 128Extent and applicationU.K.

(1)This Act extends to England and Wales only, subject to subsections (2) and (3).                  

(2)Any amendment, repeal or revocation made by this Act has the same extent as the enactment being amended, repealed or revoked,                        other than the amendment made by section 66(3) which extends to England and Wales only.                  

(3)The following also extend to Scotland and Northern Ireland—                  

(a)section 39(8) and Schedule 1 (cross-border placements);                  

(b)sections 49 to 52 (provider failure: temporary duty in relation to cross-border cases);                  

(c)section 73 (Human Rights Act 1998: provision of regulated care or support etc a public function);                  

(d)Chapter 2 of Part 3 (the HRA);                  

(e)section 118 (transfer orders), so far as relating to section 109 (the HRA);                  

(f)section 119 (Chapters 1 and 2 of Part 3: interpretation and supplementary provision);                  

(g)this Part;                  

(h)paragraph 17 of Schedule 5 (arrangements between HEE and devolved authorities) and section 96(2) so far as relating to that                        paragraph.                  

(4)The Secretary of State may by order provide that specified provisions of this Act, in their application to the Isles of Scilly,                        have effect with such modifications as may be specified.                  

### 129Short titleU.K.

This Act may be cited as the Care Act 2014.

# SCHEDULES

 Section 39

## SCHEDULE 1U.K.Cross-border placements

### Placements from England to Wales, Scotland or Northern IrelandU.K.

1(1)Where a local authority in England is meeting an adult's needs for care and support by arranging for the provision of accommodation                        in Wales, the adult—U.K.

(a)is to be treated for the purposes of this Part as ordinarily resident in the local authority's area, and

(b)is accordingly not to be treated for the purposes of the Social Services and Well-being (Wales) Act 2014 as ordinarily resident                        anywhere in Wales.

(2)Where a local authority in England, in reliance on section 22(4), is making arrangements which include the provision of accommodation                        in Wales, section 22(4) is to have effect as if for paragraph (a) there were substituted—

“(a)the authority has obtained consent for it to arrange for the provision of the nursing care from the Local Health Board for                           the area in which the accommodation is provided,”.                  

(3)Where a local authority in England is meeting an adult's needs for care and support by arranging for the provision of accommodation                        in Scotland—

(a)the adult is to be treated for the purposes of this Part as ordinarily resident in the local authority's area, and

(b)no duty under Part 2 of the Social Work (Scotland) Act 1968 or sections 25 to 27 of the Mental Health (Care and Treatment)                        (Scotland) Act 2003 applies in the adult's case.

(4)Where a local authority in England is meeting an adult's needs for care and support by arranging for the provision of accommodation                        in Northern Ireland—

(a)the adult is to be treated for the purposes of this Part as ordinarily resident in the local authority's area, and

(b)no duty under the Health and Personal Social Services (Northern Ireland) Order 1972 or the Health and Social Care (Reform)                        Act (Northern Ireland) 2009 to provide or secure the provision of accommodation or other facilities applies in the adult's                        case.

(5)Section 22 (prohibition on provision of health services) is to have effect—

(a)in its application to a case within sub-paragraph (1)—

(i)as if the references in subsections (1) and (6) to the National Health Service Act 2006 included a reference to the National                        Health Service (Wales) Act 2006, and

(ii)as if the reference in subsection (6) to a clinical commissioning group or the National Health Service Commissioning Board                        included a reference to a Local Health Board;

(b)in its application to a case within sub-paragraph (3)—

(i)as if the references in subsections (1) and (6) to the National Health Service Act 2006 included a reference to the National                        Health Service (Scotland) Act 1978, and

(ii)as if the reference in subsection (6) to a clinical commissioning group or the National Health Service Commissioning Board                        included a reference to a Health Board or Special Health Board;

(c)in its application to a case within sub-paragraph (4)—

(i)as if the references in subsections (1) and (6) to a service or facility provided under the National Health Service Act 2006                        included a reference to health care provided under the Health and Personal Social Services (Northern Ireland) Order 1972 or                        the Health and Social Care (Reform) Act (Northern Ireland) 2009, and

(ii)as if the reference in subsection (6) to a clinical commissioning group or the National Health Service Commissioning Board                        included a reference to a Health and Social Care trust.

(6)Regulations may make further provision in relation to arrangements of the kind referred to in this paragraph.

(7)The regulations may specify circumstances in which, in a case within sub-paragraph (3), specified duties under Part 2 of the                        Social Work (Scotland) Act 1968 are nonetheless to apply in the case of the adult concerned (and paragraph (b) of that sub-paragraph                        is to be read accordingly).

Commencement Information

I57Sch. 1 para. 1(6)(7) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(x)**

### Placements from Wales to England, Scotland or Northern IrelandU.K.

2(1)Where a local authority in Wales is discharging its duty under section 35 of the Social Services and Well-being (Wales) Act                        2014 by arranging for the provision of accommodation in England, the adult concerned—U.K.

(a)is to be treated for the purposes of that Act as ordinarily resident in the local authority's area, and

(b)is accordingly not to be treated for the purposes of this Part of this Act as ordinarily resident anywhere in England.

(2)Where a local authority in Wales is arranging for the provision of accommodation in England in the exercise of its power under                        section 36 of the Social Services and Well-being (Wales) Act 2014—

(a)the adult concerned is to be treated for the purposes of that Act—

(i)in a case where the adult was within the local authority's area immediately before being provided by the local authority with                        accommodation in England, as remaining within that area;

(ii)in a case where the adult was outside but ordinarily resident in the local authority's area immediately before being provided                        by the local authority with accommodation in England, as remaining outside but ordinarily resident in that area, and

(b)the adult concerned is not to be treated for the purposes of this Part of this Act as ordinarily resident anywhere in England                        (unless the adult was so ordinarily resident immediately before being provided by the local authority with accommodation in                        England).

(3)Where a local authority in Wales is discharging its duty under section 35 of the Social Services and Well-being (Wales) Act                        2014 by arranging for the provision of accommodation in Scotland—

(a)the adult is to be treated for the purposes of that Act as ordinarily resident in the local authority's area, and

(b)no duty under Part 2 of the Social Work (Scotland) Act 1968 or sections 25 to 27 of the Mental Health (Care and Treatment)                        (Scotland) Act 2003 applies in the adult's case.

(4)Where a local authority in Wales is arranging for the provision of accommodation in Scotland in the exercise of its power                        under section 36 of the Social Services and Well-being (Wales) Act 2014—

(a)the adult concerned is to be treated for the purposes of that Act—

(i)in a case where the adult was within the local authority's area immediately before being provided by the local authority with                        accommodation in Scotland, as remaining within that area;

(ii)in a case where the adult was outside but ordinarily resident in the local authority's area immediately before being provided                        by the local authority with accommodation in Scotland, as remaining outside but ordinarily resident in that area, and

(b)no duty under Part 2 of the Social Work (Scotland) Act 1968 or sections 25 to 27 of the Mental Health (Care and Treatment)                        (Scotland) Act 2003 applies in the adult's case.

(5)But paragraph (b) of sub-paragraph (4) does not prevent a duty mentioned in that paragraph from applying in the case of an                        adult who was ordinarily resident in Scotland immediately before being provided by the local authority with accommodation                        in Scotland.

(6)Where a local authority in Wales is discharging its duty under section 35 of the Social Services and Well-being (Wales) Act                        2014 by arranging for the provision of accommodation in Northern Ireland—

(a)the adult is to be treated for the purposes of that Act as ordinarily resident in the local authority's area, and

(b)no duty under the Health and Personal Social Services (Northern Ireland) Order 1972 or the Health and Social Care (Reform)                        Act (Northern Ireland) 2009 to provide or secure the provision of accommodation or other facilities applies in the adult's                        case.

(7)Where a local authority in Wales is arranging for the provision of accommodation in Northern Ireland in the exercise of its                        power under section 36 of the Social Services and Well-being (Wales) Act 2014—

(a)the adult concerned is to be treated for the purposes of that Act—

(i)in a case where the adult was within the local authority's area immediately before being provided by the local authority with                        accommodation in Northern Ireland, as remaining within that area;

(ii)in a case where the adult was outside but ordinarily resident in the local authority's area immediately before being provided                        by the local authority with accommodation in Northern Ireland, as remaining outside but ordinarily resident in that area,                        and

(b)no duty under the Health and Personal Social Services (Northern Ireland) Order 1972 or the Health and Social Care (Reform)                        Act (Northern Ireland) 2009 to provide or secure the provision of accommodation or other facilities applies in the adult's                        case.

(8)But paragraph (b) of sub-paragraph (7) does not prevent a duty mentioned in that paragraph from applying in the case of an                        adult who was ordinarily resident in Northern Ireland immediately before being provided by the local authority with accommodation                        in Northern Ireland.

(9)Regulations may make further provision in relation to arrangements of the kind referred to in this paragraph.

(10)The regulations may specify circumstances in which, in a case within sub-paragraph (3) or (4), specified duties under Part                        2 of the Social Work (Scotland) Act 1968 are nonetheless to apply in the case of the adult concerned (and paragraph (b) of                        each of those sub-paragraphs is to be read accordingly).

Commencement Information

I58Sch. 1 para. 2(9)(10) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(x)**

### Placements from Scotland to England, Wales or Northern IrelandU.K.

3(1)Where a local authority in Scotland is discharging its duty under section 12 or 13A of the Social Work (Scotland) Act 1968                        or section 25 of the Mental Health (Care and Treatment) (Scotland) Act 2003 by securing the provision of accommodation in                        England, the adult in question is not to be treated for the purposes of this Part of this Act as ordinarily resident anywhere                        in England.U.K.

(2)Where a local authority in Scotland is discharging its duty under a provision referred to in sub-paragraph (1) by securing                        the provision of accommodation in Wales, the adult in question is not to be treated for the purposes of the Social Services                        and Well-being (Wales) Act 2014 as ordinarily resident anywhere in Wales.

(3)Where a local authority in Scotland is discharging its duty under a provision referred to in sub-paragraph (1) by securing                        the provision of accommodation in Northern Ireland, no duty under the Health and Personal Social Services (Northern Ireland)                        Order 1972 or the Health and Social Care (Reform) Act (Northern Ireland) 2009 to provide or secure the provision of accommodation                        or other facilities applies in the case of the adult in question.

(4)In section 5 of the Community Care and Health (Scotland) Act 2002 (local authority arrangements for residential accommodation                        outside Scotland)—

(a)in subsection (1), after “the 1968 Act” insert “ or under section 25 of the Mental Health (Care and Treatment) (Scotland) Act 2003 (care and support) ”,

(b)in subsection (2), for “such arrangements” substitute “ persons for whom such arrangements are made ”, and

(c)for subsections (5) and (6) substitute—

“(5)In subsections (1) and (3) above, “appropriate establishment” means an establishment of such description or conforming to such requirements as may be specified in regulations under subsection                           (1).”                  

(5)Regulations may make further provision in relation to arrangements of the kind referred to in this paragraph.

Commencement Information

I59Sch. 1 para. 3(4) in force at 1.10.2014 by S.I. 2014/2473, **art. 2(2)**

### Placements from Northern Ireland to England, Wales or ScotlandU.K.

4(1)Where there are arrangements under Article 15 of the Health and Personal Social Services (Northern Ireland) Order 1972 for                        the provision of accommodation in England, the adult in question—U.K.

(a)is to be treated for the purposes of that Order and the Health and Social Care (Reform) Act (Northern Ireland) 2009 as ordinarily                        resident in the area of the relevant Health and Social Care trust, and

(b)is accordingly not to be treated for the purposes of this Part of this Act as ordinarily resident anywhere in England.

(2)Where there are arrangements under Article 15 of the Health and Personal Social Services (Northern Ireland) Order 1972 for                        the provision of accommodation in Wales, the adult in question—

(a)is to be treated for the purposes of that Order and the Health and Social Care (Reform) Act (Northern Ireland) 2009 as ordinarily                        resident in the area of the relevant Health and Social Care trust, and

(b)is accordingly not to be treated for the purposes of the Social Services and Well-being (Wales) Act 2014 as ordinarily resident                        anywhere in Wales.

(3)Where there are arrangements under Article 15 of the Health and Personal Social Services (Northern Ireland) Order 1972 for                        the provision of accommodation in Scotland—

(a)the adult in question is to be treated for the purposes of that Order and the Health and Social Care (Reform) Act (Northern                        Ireland) 2009 as ordinarily resident in the area of the relevant Health and Social Care trust, and

(b)no duty under Part 2 of the Social Work (Scotland) Act 1968 or sections 25 to 27 of the Mental Health (Care and Treatment)                        (Scotland) Act 2003 applies in the adult's case.

(4)The reference to the relevant Health and Social Care trust is a reference to the Health and Social Care trust in whose area                        the adult in question was ordinarily resident immediately before the making of arrangements of the kind referred to in this                        paragraph.

(5)Regulations may make further provision in relation to arrangements of the kind referred to in this paragraph.

(6)The regulations may specify circumstances in which, in a case within sub-paragraph (3), specified duties under Part 2 of the                        Social Work (Scotland) Act 1968 are nonetheless to apply in the case of the adult concerned (and paragraph (b) of that sub-paragraph                        is to be read accordingly).

Commencement Information

I60Sch. 1 para. 4(5)(6) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(x)**

### Dispute resolutionU.K.

5(1)Any dispute about the application of any of paragraphs 1 to 4 to an adult's case is to be determined in accordance with this                        paragraph.U.K.

(2)If the dispute is between a local authority in England and a local authority in Wales, it is to be determined by the Secretary                        of State or the Welsh Ministers.

(3)If the dispute is between a local authority in England and a local authority in Scotland, it is to be determined by the Secretary                        of State or the Scottish Ministers.

(4)If the dispute is between a local authority in England and a Health and Social Care trust, it is to be determined by the Secretary                        of State or the Northern Ireland Department.

(5)If the dispute is between a local authority in Wales and a local authority in Scotland, it is to be determined by the Welsh                        Ministers or the Scottish Ministers.

(6)If the dispute is between a local authority in Wales and a Health and Social Care trust, it is to be determined by the Welsh                        Ministers or the Northern Ireland Department.

(7)If the dispute is between a local authority in Scotland and a Health and Social Care trust, it is to be determined by the                        Scottish Ministers or the Northern Ireland Department.

(8)In Article 36 of the Health and Personal Social Services (Northern Ireland) Order 1972, after paragraph (2) insert—

“(2A)Any question under this Order as to the ordinary residence of a person is to be determined by the Department.”                  

(9)Regulations must make provision for determining which of the persons concerned is to determine the dispute; and the regulations                        may, in particular, provide for the dispute to be determined by whichever of them they agree is to do so.

(10)Regulations may make provision for the determination of disputes between more than two parties.

(11)Regulations may make further provision about determination of disputes under this paragraph or under regulations under sub-paragraph                        (10); the regulations may, for example, include—

(a)provision requiring parties to a dispute to take specified steps before referring the dispute for determination under this                        paragraph;

(b)provision about the procedure for referring the dispute under this paragraph.

Commencement Information

I61Sch. 1 para. 5(9)-(11) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(x)**

### Financial adjustmentsU.K.

6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

### Provision of NHS accommodation not to affect deemed ordinary residence etc.U.K.

8. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Prospective

### Direct paymentsU.K.

9(1)Regulations may provide for this Schedule to apply, with such modifications as may be specified, to a case where accommodation                           in England, Wales, Scotland or Northern Ireland is provided for an adult by means of direct payments made by an authority                           in another of the territories.U.K.

(2)The reference in sub-paragraph (1) to direct payments accordingly includes a reference to direct payments made—

(a)under section 50 or 52 of the Social Services and Well-being (Wales) Act 2014,

(b)as a result of a choice made by the adult pursuant to section 5 of the Social Care (Self-directed Support) (Scotland) Act                           2013, or

(c)by virtue of section 8 of the Carers and Direct Payments Act (Northern Ireland) 2002.

Prospective

### Particular types of accommodationU.K.

10(1)Regulations may provide for this Schedule to apply, with such modifications as may be specified, to a case where—U.K.

(a)an adult has needs for care and support which can be met only if the adult is living in accommodation of a type specified                           in the regulations,

(b)the adult is living in accommodation in England, Wales, Scotland or Northern Ireland that is of a type so specified, and

(c)the adult's needs for care and support are being met by an authority in another of the territories providing or arranging                           for the provision of services other than the accommodation.

(2)In section 5 of the Community Care and Health (Scotland) Act 2002 (the title to which becomes “ Local authority arrangements for residential accommodation etc. outwith Scotland ”), in subsection (1), at the end insert “ or for the provision in England and Wales or in Northern Ireland of a service or facility of such other description as may                              be specified in the regulations ”.

### RegulationsU.K.

11U.K.Regulations under this Schedule—

(a)if they include provision relating to Wales, may not be made without the consent of the Welsh Ministers;

(b)if they include provision relating to Scotland, may not be made without the consent of the Scottish Ministers;

(c)if they include provision relating to Northern Ireland, may not be made without the consent of the Northern Ireland Department.

Commencement Information

I62Sch. 1 para. 11 in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(x)**

### InterpretationU.K.

12. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

### Consequential provisionU.K.

13U.K.In section 194 of the Social Services and Well-being (Wales) Act 2014 (ordinary residence), at the end insert—

“(8)For provision about cross-border placements to and from England, Scotland or Northern Ireland, see Schedule 1 to the Care                           Act 2014.                  

(8)Am ddarpariaeth ynghylch lleoliadau trawsffiniol i Loegr, yr Alban neu Ogledd Iwerddon neu o Loegr, yr Alban neu Ogledd Iwerddon,                           gweler Atodlen 1 i Ddeddf Gofal 2014.”                  

### Transitory provisionU.K.

14. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

 Section 43

## SCHEDULE 2E+WSafeguarding Adults Boards

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

 Section 74

## SCHEDULE 3E+WDischarge of hospital patients with care and support needs

### Cases where hospital patient is likely to have care and support needs after dischargeE+W

1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W

### Assessment notice given by responsible NHS body to local authorityE+W

2(1)The NHS body responsible for a hospital patient, having given the relevant authority an assessment notice, must—E+W

(a)consult the authority before deciding what it will do for the patient in order for discharge to be safe, and

(b)give the authority notice of the day on which it proposes to discharge the patient.

(2)A notice under sub-paragraph (1)(b) is referred to in this Schedule as a “discharge notice”.

(3)A discharge notice must specify—

(a)whether the NHS body responsible for the patient will be providing or arranging for the provision of services under the National                        Health Service Act 2006 to the patient after discharge, and

(b)if it will, what those services are.

(4)A discharge notice remains in force until—

(a)the end of the relevant day, or

(b)the NHS body responsible for the patient withdraws the notice by giving a withdrawal notice to the relevant authority.

(5)The “relevant day” is the later of—

(a)the day specified in the discharge notice, and

(b)the last day of such period as regulations may specify.

(6)A period specified under sub-paragraph (5)(b) must—

(a)begin with the day after that on which the assessment notice is given, and

(b)last for a period of at least two days.

Commencement Information

I63Sch. 3 para. 2(5)(b) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(y)**

3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W

### Cases where discharge of the patient is delayedE+W

4(1)If the relevant authority, having received an assessment notice and a discharge notice, has not carried out a needs or (where                        applicable) carer's assessment and the patient has not been discharged by the end of the relevant day, the NHS body responsible                        for the patient may require the relevant authority to pay the specified amount for each day of the specified period.E+W

(2)If the relevant authority has not put in place arrangements for meeting some or all of those of the needs under sections 18                        to 20 that it proposes to meet in the case of the patient or (where applicable) a carer, and the patient has for that reason                        alone not been discharged by the end of the relevant day, the NHS body responsible for the patient may require the relevant                        authority to pay the specified amount for each day of the specified period.

(3)If, in a case within sub-paragraph (1) or (2), the assessment notice ceases to be in force, any liability arising under that                        sub-paragraph before it ceased to be in force is unaffected.

(4)A payment under sub-paragraph (1) or (2) must be made to—

(a)the NHS body responsible for the patient, or

(b)in such a case as regulations may specify, the person specified.

(5)The “relevant day” has the meaning given by paragraph 2(5).

(6)A reference to a requirement to pay the specified amount is a reference to a requirement to pay the amount specified in regulations;                        and the reference to the specified period is a reference to the period specified in or determined in accordance with regulations.

(7)In specifying the amount of a payment, the Secretary of State must have regard in particular to either or both of—

(a)costs to NHS bodies of providing accommodation and personal care to patients ready to be discharged, and

(b)costs to local authorities of meeting needs under sections 18 to 20 in the case of persons who have been discharged.

Commencement Information

I64Sch. 3 para. 4(6) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(y)**

### Delegation to management of independent hospitalE+W

5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W

### Adjustments between local authoritiesE+W

6(1)Regulations may modify, or otherwise make provision about, the application of a provision of this Schedule in a case where                        it appears to the NHS body responsible for a hospital patient that the patient is ordinarily resident in the area of another                        local authority.E+W

(2)The regulations may, in particular, authorise or require a local authority—

(a)to accept an assessment notice given to it even though it may wish to dispute that it was the correct authority to which to                        give the notice;

(b)to become the relevant authority in the patient's case;

(c)to recover expenditure incurred—

(i)in the exercise of functions under this Schedule;

(ii)in meeting needs under sections 18 to 20 in a case under this Schedule.

Commencement Information

I65Sch. 3 para. 6 in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(y)**

### Meaning of “hospital patient”, “NHS hospital, “NHS body”, etc.E+W

7. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W

### Further provision about assessment notices, discharge notices, etc.E+W

8E+WRegulations may—

(a)specify the form and content of an assessment notice, a discharge notice or a withdrawal notice;

(b)specify the manner in which an assessment notice, a discharge notice or a withdrawal notice may be given;

(c)specify when a discharge notice may be given;

(d)specify circumstances in which a withdrawal notice must be given;

(e)make provision for determining the day on which an assessment notice, a discharge notice or a withdrawal notice is to be regarded                        as given.

Commencement Information

I66Sch. 3 para. 8 in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(y)**

 Section 75

## SCHEDULE 4E+WDirect payments: after-care under the Mental Health Act 1983

### **PART 1**E+WAfter-care under the Mental Health Act 1983: direct payments

1(1)Sections 31 (adults with capacity to request direct payments), 32 (adults without capacity to request direct payments) and                        33 (direct payments: further provision) apply in relation to section 117 of the Mental Health Act 1983 but as if the following                        modifications were made to those sections.E+W

(2)For subsection (1) of section 31, substitute—

“(1)This section applies where an adult to whom section 117 of the Mental Health Act 1983 (after-care) applies requests the local                           authority to make payments to the adult or a person nominated by the adult that are equivalent to the cost of providing or                           arranging for the provision of after-care services for the adult under that section.”                  

(3)In subsection (5) of that section—

(a)in paragraph (a), for “meeting the adult's needs” substitute “ discharging its duty under section 117 of the Mental Health Act 1983 ”, and

(b)in paragraph (b), for “to meet the adult's needs” substitute “ to discharge its duty under that section ”.

(4)In subsection (7) of that section, for “to meet the needs in question” substitute “ to discharge its duty under section 117 of the Mental Health Act 1983 ”.

(5)For subsection (1) of section 32, substitute—

“(1)This section applies where—                  

(a)an adult to whom section 117 of the Mental Health Act 1983 (after-care) applies lacks capacity to request the local authority                           to make payments equivalent to the cost of providing or arranging for the provision of after-care services for the adult under                           that section, and                  

(b)an authorised person requests the local authority to make such payments to the authorised person.”                  

(6)In subsection (4)(a) of that section, for “the adult's needs for care and support” substitute “ the provision to the adult of after-care services under section 117 of the Mental Health Act 1983 ”.

(7)In subsection (6) of that section—

(a)in paragraph (a), for “meeting the adult's needs” substitute “ discharging its duty under section 117 of the Mental Health Act 1983 ”, and

(b)in paragraph (b), for “to meet the adult's needs” substitute “ to discharge its duty under that section ”.

(8)In subsection (7) of that section, for “the provision of the care and support” substitute “ the provision of after-care services under section 117 of the Mental Health Act 1983 ”.

(9)In subsection (9) of that section, for “to meet the needs in question” substitute “ to discharge its duty under section 117 of the Mental Health Act 1983 ”.

(10)In subsection (2)(a) of section 33, for “meet needs” substitute “ discharge its duty under section 117 of the Mental Health Act 1983 ”.

(11)For subsection (3) of that section, substitute—

“(3)A direct payment is made on condition that it be used only to pay for arrangements under which after-care services for the                           adult are provided under section 117 of the Mental Health Act 1983.”                  

Commencement Information

I67Sch. 4 para. 1(10)(11) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 2(1)(z)**

### **PART 2**E+WProvision to be inserted in Social Services and Well-Being (Wales) Act 2014

Prospective

#### 

##### “SCHEDULE A1E+WDirect payments: after-care under the Mental Health Act 1983

###### GeneralE+W

1Sections 50 (direct payments to meet an adult's needs), 51 (direct payments to meet a child's needs) and 53 (direct payments:                              further provision) apply in relation to section 117 of the Mental Health Act 1983 but as if the following modifications were                              made to those sections.

###### Modifications to section 50E+W

2For subsection (1) of section 50 substitute—

“(1)Regulations may require or allow a local authority to make payments to an adult to whom section 117 of the Mental Health Act                              1983 (after-care) applies that are equivalent to the cost of providing or arranging for the provision of after-care services                              for the adult under that section.”                     

3In subsection (3) of that section—

(a)in paragraph (a), for “who has needs for care and support (“A”)” substitute “ in respect of the provision to the adult (“A”) of after-care services under section 117 of the Mental Health Act 1983 ”, and                     

(b)in paragraph (c)(i), for “of meeting A's needs” substitute “ of discharging its duty towards A under section 117 of the Mental Health Act 1983 ”.                     

4In subsection (4) of that section—

(a)in paragraph (a), for “who has needs for care and support (“A”)” substitute “ to whom section 117 of the Mental Health Act 1983 applies (“A”) ”, and                     

(b)in paragraph (d)(i), for “meeting A's needs” substitute “ discharging its duty towards A under section 117 of the Mental Health Act 1983 ”.                     

5In subsection (5) of that section—

(a)in paragraph (a), for “A's needs for care and support” substitute “ the provision to A of after-care services under section 117 of the Mental Health Act 1983 ”, and                     

(b)in paragraph (b), for “towards the cost of meeting A's needs for care and support” substitute “ equivalent to the cost of providing or arranging the provision to A of after-care services under section 117 of the Mental                                 Health Act 1983 ”.                     

6In subsection (6)(b) of that section, for “A's needs for care and support” substitute “ the provision to A of after-care services under section 117 of the Mental Health Act 1983 ”.

###### Modifications to section 51E+W

7For subsection (1) of section 51 substitute—

“(1)Regulations may require or allow a local authority to make payments to a person in respect of a child to whom section 117                              of the Mental Health Act 1983 (after-care) applies that are equivalent to the cost of providing or arranging the provision                              of after-care services for the child under that section.”                     

8In subsection (3)(a) and (b) of that section, for “who has needs for care and support” (in each place it occurs) substitute                              “ to whom section 117 of the Mental Health Act 1983 applies ”.

9In subsection (5)(a) of that section, for “meeting the child's needs” substitute “ discharging its duty towards the child under section 117 of the Mental Health Act 1983 ”.

###### Modifications to section 53E+W

10In subsection (1) of section 53—

(a)in the opening words, for “50, 51 or 52” substitute “ 50 or 51 ”,                     

(b)omit paragraphs (a), (b) and (c),                     

(c)in paragraph (i), for “a local authority's duty or power to meet a person's needs for care and support or a carer's needs                              for support is displaced” substitute “ a local authority's duty under section 117 of the Mental Health Act 1983 (after-care) is discharged ”, and                     

(d)in paragraph (k), for “50 to 52” substitute “ 50 and 51 ”.                     

11Omit subsections (2) to (8) of that section.

12After subsection (8) of that section insert—

“(8A)Regulations under sections 50 and 51 must specify that direct payments to meet the cost of providing or arranging for the                              provision of after-care services under section 117 of the Mental Health Act 1983 (after-care) must be made at a rate that                              the local authority estimates to be equivalent to the reasonable cost of securing the provision of those services to meet                              those needs.”                     

13In subsection (9) of that section—

(a)for “, 51 or 52” substitute “ or 51 ”, and                     

(b)for “care and support (or, in the case of a carer, support)” substitute “ after-care services ”.                     

14In subsection (10) of that section, for “care and support (or, in the case of a carer, support) to meet needs” substitute                              “ after-care services ”.”

 Section 96

## SCHEDULE 5U.K.Health Education England

### **PART 1**E+WConstitution

#### MembershipE+W

1(1)HEE consists of—E+W

(a)a chair appointed by the Secretary of State,

(b)six other members appointed by the Secretary of State,

(c)a chief executive appointed by the members appointed under paragraphs (a) and (b), and

(d)no more than four other members appointed by the members appointed under paragraphs (a) and (b).

(2)The members appointed under sub-paragraph (1)(a) and (b)—

(a)are not employees of HEE, and

(b)are referred to in this Schedule as the “non-executive members”.

(3)The members appointed under sub-paragraph (1)(c) and (d)—

(a)are employees of HEE, and

(b)are referred to in this Schedule as the “executive members”.

2(1)The members of HEE must include persons who have clinical expertise of a description specified in regulations.E+W

(2)The regulations may require—

(a)a specified number of members to have that expertise;

(b)a specified number of non-executive members to have that expertise;

(c)a specified number of executive members to have that expertise.

(3)The non-executive members of HEE must include a person who will represent the interests of patients.

Commencement Information

I68Sch. 5 para. 2(1)(2) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 4(1)(f)**

#### Non-executive members: terms of officeE+W

3(1)A person holds office as a non-executive member of HEE on the terms of that person's appointment.E+W

(2)A person may not be appointed as a non-executive member for a period of more than four years.

(3)A person who ceases to be a non-executive member is eligible for re-appointment.

(4)A person may resign from office as a non-executive member by giving notice to the Secretary of State.

(5)The Secretary of State may remove a person from office as a non-executive member on any of the following grounds—

(a)incapacity;

(b)misbehaviour;

(c)failure to carry out his or her duties as a non-executive member.

(6)The Secretary of State may suspend a person from office as a non-executive member if it appears to the Secretary of State                        that there are or may be grounds to remove that person from office under sub-paragraph (5).

#### Non-executive members: suspension from officeE+W

4(1)Having decided to suspend a person under paragraph 3(6), the Secretary of State must give notice of the decision to the person;                        and the suspension takes effect when the person receives the notice.E+W

(2)The notice may be—

(a)delivered in person (in which case the person is taken to receive it when it is delivered), or

(b)sent by first class post to the person's last known address (in which case, the person is taken to receive it on the third                        day after the day on which it is posted).

(3)The initial period of suspension must not exceed six months.

(4)The Secretary of State may review the suspension.

(5)The Secretary of State—

(a)must review the suspension, if requested in writing by the person to do so, but

(b)need not review the suspension less than three months after the beginning of the initial period of suspension.

(6)Following a review during a period of suspension, the Secretary of State may—

(a)revoke the suspension, or

(b)suspend the person for a period of no more than six months from the expiry of the current period.

(7)The Secretary of State must revoke the suspension if the Secretary of State—

(a)decides that there are no grounds to remove the person from office under paragraph 3(5), or

(b)decides that there are grounds to do so but nonetheless decides not to do so.

5(1)Where a person is suspended from office as the chair under paragraph 3(6), the Secretary of State may appoint a non-executive                        member as interim chair to exercise the chair's functions.E+W

(2)Appointment as interim chair is for a term not exceeding the shorter of—

(a)the period ending with either—

(i)the appointment of a new chair, or

(ii)the revocation or expiry of the existing chair's suspension, and

(b)the remainder of the interim chair's term as a non-executive member.

(3)A person who ceases to be the interim chair is eligible for re-appointment.

#### Non-executive members: payE+W

6(1)HEE must pay its non-executive members such remuneration as the Secretary of State may decide.E+W

(2)HEE must pay, or provide for the payment of, such allowances or gratuities as the Secretary of State may decide to a person                        who is or has been a non-executive member of HEE.

#### Employees: terms of officeE+W

7(1)Each executive member of HEE is appointed as an employee of HEE on such terms as it decides.E+W

(2)A person may not be appointed as chief executive without the consent of the Secretary of State.

(3)HEE may appoint, on such terms as it decides, other persons as employees of HEE (in addition to those appointed as executive                        members).

#### Employees: payE+W

8(1)HEE must pay its employees such remuneration as it decides.E+W

(2)HEE may pay, or provide for the payment of, such pensions, allowances or gratuities as it decides to or in respect of a person                        who is or has been an employee of HEE.

(3)Before making a decision about pay under this paragraph, HEE must obtain the approval of the Secretary of State to its policy                        on the matter.

#### Committees and sub-committeesE+W

9(1)HEE may appoint committees and sub-committees.E+W

(2)A committee or sub-committee may consist of or include persons who are not members or employees of HEE.

(3)HEE may pay such remuneration and allowances as it decides to a person who is a member of a committee (including a committee                        which HEE is required to appoint under section 103(1) (LETBs)) or sub-committee, but is not an employee of HEE, regardless                        of whether the person is a non-executive member of HEE.

(4)Any committees and sub-committees of the Special Health Authority called Health Education England in existence immediately                        before its abolition are to become respectively committees and sub-committees of HEE (and are to be treated as appointed under                        this paragraph).

#### ProcedureE+W

10(1)HEE may regulate its own procedure.E+W

(2)A vacancy among the members of HEE, or a defect in the appointment of a member, does not affect the validity of any act of                        HEE.

#### Seal and evidenceE+W

11(1)The application of HEE's seal must be authenticated by the signature of a member of HEE or a person who has been authorised                        (whether generally or specifically) for the purpose.E+W

(2)A document purporting to be duly executed under HEE's seal or to be signed on its behalf must be received in evidence and,                        unless the contrary is proved, taken to be so executed or signed.

(3)But this paragraph does not apply in relation to a document which is, or is to be, signed in accordance with the law of Scotland.

#### Status of HEEE+W

12(1)HEE is not to be regarded as a servant or agent of the Crown, or as enjoying any status, privilege or immunity of the Crown.E+W

(2)HEE's property is not to be regarded as property of, or property held on behalf of, the Crown.

### **PART 2**U.K.Functions

#### Exercise of functionsE+W

13(1)HEE must exercise its functions effectively, efficiently and economically.E+W

(2)HEE may arrange for any of its committees, sub-committees or members or any other person to exercise any of its functions                        on its behalf (but see sub-paragraph (5)).

(3)HEE may arrange for any person to help it to exercise its functions (whether in a particular case or in cases of a particular                        description).

(4)Arrangements under sub-paragraph (2) or (3) may provide for the payment of remuneration and allowances to the persons with                        whom HEE makes the arrangements.

(5)HEE may not arrange for a committee which is not an LETB, or for a sub-committee, member or any other person, to exercise                        a function which is exercisable by an LETB.

(6)HEE may in any way it thinks appropriate involve health care workers, persons to whom health services are provided or carers                        for such persons, in decisions it makes about the exercise of its functions; and “carer” means an adult who provides or intends to provide care for another person.

(7)HEE may do anything which appears to it to be necessary or desirable for the purposes of or in connection with the exercise                        of its functions.

(8)In section 247C of the National Health Service Act 2006 (Secretary of State's duty to keep health service functions of certain                        bodies under review), in subsection (2), after paragraph (e) insert—

“(ea)Health Education England;”.                  

#### Help or advice for other public authoritiesE+W

14(1)HEE may provide help or advice to another public authority for the purpose of the exercise by that authority of its functions.E+W

(2)Help or advice under this paragraph may be provided on such terms as HEE decides (including terms relating to payment of remuneration                        or allowances).

(3)“Public authority”—

(a)includes any person certain of whose functions are functions of a public nature, but

(b)does not include either House of Parliament or a person exercising functions in connection with proceedings in Parliament.

(4)A reference to a public authority—

(a)includes a public authority in the Channel Islands or the Isle of Man, but

(b)subject to that, does not include a reference to a public authority outside the United Kingdom.

#### Co-operationE+W

15(1)HEE must, in the exercise of its functions, co-operate with the Secretary of State in the exercise of the Secretary of State's                        public health functions (as defined by section 1H of the National Health Service Act 2006).E+W

(2)In section 72 of that Act (co-operation between NHS bodies), after subsection (3) insert—

“(4)For the purposes of this section, Health Education England is an NHS body.”                  

(3)In section 290(3) of the Health and Social Care Act 2012 (bodies which must co-operate with Monitor and the Care Quality Commission                        in the exercise of their functions), after paragraph (c) (but before the following “and”) insert—

“(ca)Health Education England,”.                  

(4)Regulations may require HEE and a specified person to co-operate with each other in the exercise of their respective functions                        or such of their functions as are specified.

#### NHS contractsE+W

16E+WIn section 9(4) of the National Health Service Act 2006 (NHS contracts: health service bodies), after paragraph (kb) insert—

“(kc)Health Education England,”.                  

#### Arrangements with devolved authoritiesU.K.

17(1)HEE may arrange with a devolved authority for HEE—U.K.

(a)to exercise on behalf of the devolved authority any function which corresponds to a function of HEE;

(b)to provide services or facilities in so far as the devolved authority requires them in connection with the exercise of such                        a function.

(2)The terms and conditions on which arrangements under this paragraph may be made include provision for payment to HEE in respect                        of its costs in giving effect to the arrangements.

#### Failure to exercise functionsE+W

18(1)If the Secretary of State considers that HEE is failing or has failed to exercise any of its functions, and that the failure                        is significant, the Secretary of State may direct HEE to exercise such of its functions, in such manner and within such period,                        as the direction specifies.E+W

(2)If HEE fails to comply with a direction under this section, the Secretary of State may—

(a)exercise the functions specified in the direction, or

(b)make arrangements for some other person to exercise them on the Secretary of State's behalf.

(3)Where the Secretary of State exercises a power under sub-paragraph (1) or (2), the Secretary of State must publish the reasons                        for doing so.

(4)The reference in sub-paragraph (1) to exercising a function includes a reference to exercising it properly.

### **PART 3**E+WFinance and reports

#### FundingE+W

19(1)The Secretary of State must pay HEE for each financial year sums not exceeding the amount the Secretary of State has allotted                        for that year towards meeting the expenditure that is attributable to HEE's exercise of its functions in that year.E+W

(2)An amount is to be regarded as allotted when the Secretary of State notifies HEE accordingly.

(3)The Secretary of State may make a new allotment under this paragraph increasing or decreasing the allotment previously made,                        but only if—

(a)HEE agrees,

(b)a parliamentary general election takes place, or

(c)the Secretary of State considers that exceptional circumstances make a new allotment necessary.

(4)The Secretary of State may give directions to HEE about the payment by it to the Secretary of State of sums in respect of                        charges or other amounts relating to the valuation or disposal of assets.

(5)Sums payable to HEE under this paragraph are payable subject to such conditions as to records, certificates or otherwise as                        the Secretary of State may decide.

(6)In this Part of this Schedule, “financial year” includes the period—

(a)beginning with the day on which HEE is established, and

(b)ending with the following 31 March or, if the period ending with that date is 3 months or less, ending with the 31 March following                        that date.

#### Financial duties: expenditureE+W

20(1)HEE must ensure that total expenditure attributable to its exercise of its functions in each financial year (its “total spending”)                        does not exceed the aggregate of—E+W

(a)the amount allotted to it for that year under paragraph 19,

(b)the income generated in that year from carrying out activities for the purposes of or in connection with the exercise of its                        functions, and

(c)any other sums received by it in that year for the purpose of enabling it to meet such expenditure.

(2)The Secretary of State may direct that spending of a specified description is, or is not, to be treated for the purposes of                        sub-paragraph (1) as part of HEE's total spending.

(3)The Secretary of State may by directions determine—

(a)the extent to which, and circumstances in which, sums received by HEE under paragraph 19 but not yet spent are to be treated                        for the purposes of sub-paragraph (1) as part of HEE's total spending, and

(b)to which financial year those sums are to be attributed.

(4)The Secretary of State may direct HEE to use specified banking facilities for specified purposes.

#### Financial duties: use of generated incomeE+W

21E+WWhere HEE generates income from carrying out activities for the purposes of or in connection with the exercise of its functions,                        it must ensure that the income is used for exercising its functions.

#### Financial duties: controls on total resource useE+W

22(1)HEE must ensure that—E+W

(a)its use of capital resources in a financial year does not exceed the amount specified by the Secretary of State, and

(b)its use of revenue resources in a financial year does not exceed the amount specified by the Secretary of State.

(2)The Secretary of State may, in relation to a financial year, direct that for the purposes of this paragraph—

(a)resources of a specified description are, or are not, to be treated as capital resources or revenue resources;

(b)a specified use of capital resources or revenue resources is, or is not, to be taken into account.

(3)An amount specified for the purposes of sub-paragraph (1)(a) or (b) may be varied only if—

(a)HEE agrees,

(b)a parliamentary general election takes place, or

(c)the Secretary of State considers that exceptional circumstances make the variation necessary.

(4)A reference to the use of capital resources or revenue resources is a reference to their expenditure, consumption or reduction                        in value.

#### Financial duties: additional controls on resource useE+W

23(1)The Secretary of State may direct HEE to ensure that—E+W

(a)total capital resource use in a financial year which is attributable to specified matters does not exceed a specified amount,

(b)total revenue resource use in a financial year which is attributable to specified matters does not exceed a specified amount,                        and

(c)total revenue resource use in a financial year which is attributable to specified matters relating to administration does                        not exceed a specified amount.

(2)The Secretary of State may give directions, in relation to a financial year, specifying uses of capital resources or revenue                        resources which are, or are not, to be taken into account for the purposes of sub-paragraph (1)(a), (b) or (c) (as the case                        may be).

(3)The Secretary of State may not give a direction under sub-paragraph (1)(a) or (b) unless the direction is for the purpose                        of complying with a limit imposed by the Treasury.

#### Losses and liabilities etcE+W

24(1)Section 265 of the Public Health Act 1875 (which relates to the protection of members and officers of certain authorities                        from personal liability) has effect as if there were included in the authorities referred to in that section a reference to                        HEE.E+W

(2)In its application to HEE as a result of sub-paragraph (1), section 265 of that Act has effect as if any reference in that                        section to that Act were a reference to this Act.

(3)In section 71(2) of the National Health Service Act 2006 (schemes for meeting losses and liabilities etc of certain health                        service bodies: bodies eligible to participate), after paragraph (db) insert—

“(dc)Health Education England,”.                  

#### AccountsE+W

25(1)HEE must keep—E+W

(a)proper accounts, and

(b)proper records relating to the accounts.

(2)The Secretary of State may, with the approval of the Treasury, give directions to HEE about—

(a)the content and form of its accounts, and

(b)the methods and principles to be applied in the preparation of its accounts.

(3)The reference in sub-paragraph (2) to accounts includes a reference to—

(a)the accounts prepared under paragraph 26, and

(b)such accounts as are prepared under paragraph 27.

(4)The chief executive of HEE is to be its accounting officer.

Commencement Information

I69Sch. 5 para. 25 in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 4(1)(f)**

#### Annual accountsE+W

26(1)HEE must prepare consolidated annual accounts for each financial year.E+W

(2)The consolidated annual accounts must include—

(a)the annual accounts of each LETB,

(b)the annual accounts of each other committee of HEE, and

(c)the annual accounts relating to the rest of HEE's activities.

(3)HEE must send copies of the consolidated annual accounts to—

(a)the Secretary of State, and

(b)the Comptroller and Auditor General,

within such period after the end of the financial year to which the accounts relate as the Secretary of State directs.

(4)The Comptroller and Auditor General must—

(a)examine, certify and report on the consolidated annual accounts, and

(b)lay copies of them and the report on them before Parliament.

Commencement Information

I70Sch. 5 para. 26 in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 4(1)(f)**

#### Interim accountsE+W

27(1)The Secretary of State may, with the approval of the Treasury, direct HEE to prepare accounts in respect of such period or                        periods as are specified in the direction (“interim accounts”).E+W

(2)The interim accounts in respect of any period must include—

(a)the accounts of each LETB in respect of that period, and

(b)the accounts of each other committee of HEE in respect of that period.

(3)HEE must send copies of any interim accounts to—

(a)the Secretary of State, and

(b)if the Secretary of State directs, the Comptroller and Auditor General,

within such period as the Secretary of State may direct.

(4)The Comptroller and Auditor General must—

(a)examine, certify and report on any interim accounts sent under sub-paragraph (3)(b),

(b)if the Secretary of State directs, send a copy of the report on the accounts to the Secretary of State, and

(c)if the Secretary of State directs, lay copies of the accounts and the report on them before Parliament.

#### Annual reportE+W

28(1)As soon as is feasible after the end of each financial year, HEE must prepare an annual report on how it has exercised its                        functions during the year.E+W

(2)The report must include, in particular, HEE's assessment of—

(a)the extent to which is has during the year—

(i)achieved the objectives and reflected the priorities set by the Secretary of State for the purposes of section 100(1); and

(ii)achieved the outcomes set by the Secretary of State for the purposes of section 100(2); and

(b)how effectively it discharged its duties under this Act or under regulations under this Act.

(3)HEE must—

(a)lay a copy of the report before Parliament, and

(b)send a copy of it to the Secretary of State.

(4)HEE must provide the Secretary of State with such other reports and information relating to the exercise of its functions                        as the Secretary of State may request.

### **PART 4**E+WConsequential amendments

#### Public Records Act 1958E+W

29E+WIn Part 2 of the Table in Schedule 1 to the Public Records Act 1958, at the appropriate place insert— “ Health Education England. ”

#### Public Bodies (Admission to Meetings) Act 1960E+W

30E+WIn the Schedule to the Public Bodies (Admission to Meetings) Act 1960, after paragraph (bl) insert—

“(bm)Health Education England;”.                  

#### Parliamentary Commissioner Act 1967E+W

31E+WIn Schedule 2 to the Parliamentary Commissioner Act 1967, at the appropriate place insert— “ Health Education England ”.

#### House of Commons Disqualification Act 1975E+W

32E+WIn Part 2 of Schedule 1 to the House of Commons Disqualification Act 1975, at the appropriate place insert— “ Health Education England. ”

#### Copyright, Designs and Patents Act 1988E+W

33E+WIn section 48(6) of the Copyright, Designs and Patents Act 1988 (definition of “the Crown”), after “the Care Quality Commission”                        insert “ , Health Education England ”.

#### Freedom of Information Act 2000E+W

34E+WIn Part 3 of Schedule 1 to the Freedom of Information Act 2000 (health service), at the appropriate place insert— “ Health Education England. ”

#### Equality Act 2010E+W

35E+WIn Part 1 of Schedule 19 to the Equality Act 2010 (authorities subject to the public sector equality duty), in the group of                        entries under the heading “Health, social care and social security”, before the entry for the Health Service Commissioner                        for England, insert— “ Health Education England. ”

 Section 104

## SCHEDULE 6E+WLocal Education and Training Boards

### The area for which an LETB is appointedE+W

1(1)HEE must ensure that the areas of LETBs—E+W

(a)do not coincide or overlap, and

(b)together cover the whole of England.

(2)HEE may vary the area of an LETB.

(3)HEE must—

(a)keep an up-to-date record of the area of each LETB, and

(b)publish the record.

### Assessment of whether the appointment criteria are being met in relation to LETBsE+W

2(1)HEE must, whenever it considers appropriate, assess—E+W

(a)whether the appointment criteria are being met in relation to an LETB, and

(b)if they are not, whether enough of the appointment criteria are being met for the LETB in question to be able to exercise                        its functions.

(2)Having carried out an assessment under sub-paragraph (1), HEE must notify the LETB of, and then publish—

(a)the result of the assessment, and

(b)if HEE is not satisfied that the criteria are being met in relation to the LETB, HEE's reasons for not being so satisfied.

(3)Where, on an assessment under sub-paragraph (1), HEE is not satisfied that all the appointment criteria are being met in relation                        to an LETB but is satisfied that enough of them are being met for the LETB to be able to exercise its functions, HEE may impose                        conditions on the LETB relating to its operation.

(4)Where, on an assessment under sub-paragraph (1), HEE is not satisfied that enough of the appointment criteria are being met                        in relation to the LETB for the LETB to be able to exercise its functions, HEE may do one or more of the following—

(a)appoint new members of the LETB (whether as well as or instead of existing members);

(b)exercise functions on behalf of the LETB;

(c)make arrangements for the persons who provide health services in the area for which the LETB was appointed to be represented                        by another LETB instead.

(5)Before imposing conditions under sub-paragraph (3) or taking action under sub-paragraph (4), HEE must notify the LETB concerned                        of—

(a)the conditions it proposes to impose or action it proposes to take, and

(b)its reasons for proposing to impose those conditions or take that action.

(6)Having imposed conditions under sub-paragraph (3) or taken action under sub-paragraph (4), HEE must publish—

(a)details of the conditions it imposed or action it took, and

(b)its reasons for imposing those conditions or taking that action.

(7)Before making arrangements under sub-paragraph (4)(c), HEE must obtain the approval of the other LETB.

(8)Regulations must require specified commissioners of health services to include in the arrangements under the National Health                        Service Act 2006 for the provision of such services terms to ensure that a provider of such services—

(a)co-operates with any LETB which represents that provider by virtue of arrangements made by HEE under sub-paragraph (4)(c),                        in such manner and to such extent as that LETB may request, in planning the provision of, and in providing, education and                        training for health care workers;

(b)provides that LETB with such information as it may request.

(9)Regulations may specify other circumstances in which HEE may intervene in the operation of an LETB (whether by imposing conditions                        or in such other way as is specified).

(10)A reference to exercising a function includes a reference to exercising it properly.

Commencement Information

I71Sch. 6 para. 2(8) in force at 1.10.2014 for specified purposes by S.I. 2014/2473, **art. 4(1)(g)**

### Publication and review of the appointment criteriaE+W

3(1)HEE must publish the appointment criteria; but before doing so it must obtain the approval of the Secretary of State.E+W

(2)HEE must keep the appointment criteria under review and may revise them; and the duty to obtain approval under sub-paragraph                        (1) applies to revised criteria only in so far as HEE considers the revisions significant.

### Exercise of functionsE+W

4(1)Regulations may—E+W

(a)give LETBs additional functions relating to the provision of education and training for health care workers or to the planning                        of its provision;

(b)impose requirements on LETBs relating to how they exercise functions.

(2)An LETB may do anything which appears to it to be necessary or desirable for the purposes of or in connection with the exercise                        of its functions.

(3)If HEE considers that an LETB is failing or has failed to exercise a function, or that there is a significant risk that it                        will fail to do so, HEE must direct the LETB to exercise such function within such period, and in such manner, as the direction                        specifies.

(4)If an LETB fails to comply with a direction under sub-paragraph (3), HEE may take action under one or more of paragraphs (a)                        to (c) of paragraph 2(4) (with paragraph 2(5) to (7) applying accordingly).

(5)The reference in sub-paragraph (3) to exercising a function includes a reference to exercising it properly.

 Section 109

## SCHEDULE 7U.K.The Health Research Authority

### **PART 1**U.K.Constitution

#### MembershipU.K.

1(1)The HRA consists of—U.K.

(a)a chair appointed by the Secretary of State,

(b)at least three but no more than four other members appointed by the Secretary of State,

(c)a chief executive appointed by the members appointed under paragraphs (a) and (b), and

(d)at least two but no more than three other members appointed by the members appointed under paragraphs (a) and (b).

(2)The members appointed under sub-paragraph (1)(a) and (b)—

(a)are not employees of the HRA, and

(b)are referred to in this Schedule as the “non-executive members”.

(3)The members appointed under sub-paragraph (1)(c) and (d)—

(a)are employees of the HRA, and

(b)are referred to in this Schedule as the “executive members”.

(4)The number of non-executive members must exceed the number of executive members.

#### Non-executive members: terms of officeU.K.

2(1)A person holds office as a non-executive member of the HRA on the terms of that person's appointment.U.K.

(2)A person may not be appointed as a non-executive member for a period of more than four years.

(3)A person who ceases to be a non-executive member is eligible for re-appointment.

(4)A person may resign from office as a non-executive member by giving notice to the Secretary of State.

(5)The Secretary of State may remove a person from office as a non-executive member on any of the following grounds—

(a)incapacity;

(b)misbehaviour;

(c)failure to carry out his or her duties as a non-executive member.

(6)The Secretary of State may suspend a person from office as a non-executive member if it appears to the Secretary of State                        that there are or may be grounds to remove that person from office under sub-paragraph (5).

#### Non-executive members: suspension from officeU.K.

3(1)Having decided to suspend a person under paragraph 2(6), the Secretary of State must give notice of the decision to the person;                        and the suspension takes effect when the person receives the notice.U.K.

(2)The notice may be—

(a)delivered in person (in which case the person is taken to receive it when it is delivered), or

(b)sent by first class post to the person's last known address (in which case, the person is taken to receive it on the third                        day after the day on which it is posted).

(3)The initial period of suspension must not exceed six months.

(4)The Secretary of State may review the suspension.

(5)The Secretary of State—

(a)must review the suspension, if requested in writing by the person to do so, but

(b)need not review the suspension less than three months after the beginning of the initial period of suspension.

(6)Following a review during a period of suspension, the Secretary of State may—

(a)revoke the suspension, or

(b)suspend the person for a period of no more than six months from the expiry of the current period.

(7)The Secretary of State must revoke the suspension if the Secretary of State—

(a)decides that there are no grounds to remove the person from office under paragraph 2(5), or

(b)decides that there are grounds to do so but nonetheless decides not to do so.

4(1)Where a person is suspended from office as the chair under paragraph 2(6), the Secretary of State may appoint a non-executive                        member as interim chair to exercise the chair's functions.U.K.

(2)Appointment as interim chair is for a term not exceeding the shorter of—

(a)the period ending with either—

(i)the appointment of a new chair, or

(ii)the revocation or expiry of the existing chair's suspension, and

(b)the remainder of the interim chair's term as a non-executive member.

(3)A person who ceases to be the interim chair is eligible for re-appointment.

#### Non-executive members: payU.K.

5(1)The HRA must pay its non-executive members such remuneration as the Secretary of State may decide.U.K.

(2)The HRA must pay, or provide for the payment of, such allowances or gratuities as the Secretary of State may decide to a person                        who is or has been a non-executive member of the HRA.

#### Employees: terms of officeU.K.

6(1)Each executive member of the HRA is appointed as an employee of the HRA on such terms as it decides.U.K.

(2)A person may not be appointed as chief executive without the consent of the Secretary of State.

(3)The HRA may appoint, on such terms as it decides, other persons as employees of the HRA (in addition to those appointed as                        executive members).

#### Employees: payU.K.

7(1)The HRA must pay its employees such remuneration as it decides.U.K.

(2)The HRA may pay, or provide for the payment of, such pensions, allowances or gratuities as it decides to or in respect of                        a person who is or has been an employee of the HRA.

(3)Before making a decision about pay under this paragraph, the HRA must obtain the approval of the Secretary of State to its                        policy on the matter.

#### Committees and sub-committeesU.K.

8(1)The HRA must appoint a committee for the purpose of giving advice—U.K.

(a)to the HRA in connection with the exercise of the HRA's function under regulation 5(1)(a) of the Health Service (Control of                        Patient Information) Regulations 2002 (S.I. 2002/1438) (approval for processing confidential patient information);

(b)to the Secretary of State in connection with the exercise of the Secretary of State's functions under regulations 2, 3(4)                        and 5 of those Regulations (processing of confidential patient information);

(c)to the Health and Social Care Information Centre in connection with—

(i)the exercise by the Centre of functions conferred in regulations under section 251 of the National Health Service Act 2006                        (processing of patient information for medical purposes);

(ii)any publication or other dissemination by the Centre of information which is in a form which identifies an individual to whom                        the information relates or enables the identity of such an individual to be ascertained.

(2)The HRA may appoint other committees and sub-committees.

(3)The committee appointed under sub-paragraph (1) must consist of persons who are not members or employees of the HRA.

(4)Any other committee or sub-committee may consist of or include such persons.

(5)The HRA may pay such remuneration and allowances as it decides to a person who is a member of a committee or sub-committee,                        but is not an employee of the HRA, regardless of whether the person is a non-executive member of the HRA.

9U.K.Regulations may provide for the committee appointed under paragraph 8(1) to be required, in giving advice, to have regard                        to specified factors or matters.

Commencement Information

I72Sch. 7 para. 9 in force at 15.7.2014 for specified purposes by S.I. 2014/1714, **art. 3(3)(b)**

#### ProcedureU.K.

10(1)The HRA may regulate its own procedure.U.K.

(2)A vacancy among the members of the HRA, or a defect in the appointment of a member, does not affect the validity of any act                        of the HRA.

#### Seal and evidenceU.K.

11(1)The application of the HRA's seal must be authenticated by the signature of a member of the HRA or a person who has been authorised                        (whether generally or specifically) for the purpose.U.K.

(2)A document purporting to be duly executed under the HRA's seal or to be signed on its behalf must be received in evidence                        and, unless the contrary is proved, taken to be so executed or signed.

(3)But this paragraph does not apply in relation to a document which is, or is to be, signed in accordance with the law of Scotland.

#### Status of the HRAU.K.

12(1)The HRA is not to be regarded as a servant or agent of the Crown, or as enjoying any status, privilege or immunity of the                        Crown.U.K.

(2)The HRA's property is not to be regarded as property of, or property held on behalf of, the Crown.

### **PART 2**U.K.Functions

#### Exercise of functionsU.K.

13(1)The HRA must exercise its functions effectively, efficiently and economically.U.K.

(2)The HRA may arrange for any of its committees, sub-committees or members or any other person (other than a devolved authority)                        to exercise any of its functions on its behalf.

(3)The HRA may arrange for any person to help it in the exercise of its functions (whether in a particular case or in cases of                        a particular description).

(4)Arrangements under sub-paragraph (2) or (3) may provide for the payment of remuneration and allowances to the persons with                        whom the HRA makes the arrangements.

(5)The HRA may do anything which appears to it to be necessary or desirable for the purposes of or in connection with the exercise                        of its functions.

#### Help or advice for other public authoritiesU.K.

14(1)The HRA may provide help or advice to another public authority for the purpose of the exercise by that authority of its functions.U.K.

(2)Help or advice under this paragraph may be provided on such terms as the HRA decides (including terms relating to payment                        of remuneration and allowances).

(3)“Public authority”—

(a)includes any person certain of whose functions are functions of a public nature, but

(b)does not include either House of Parliament or a person exercising functions in connection with proceedings in Parliament.

(4)A reference to a public authority—

(a)includes a public authority in the Channel Islands or the Isle of Man, but

(b)subject to that, does not include a reference to a public authority outside the United Kingdom.

#### Arrangements with devolved authoritiesU.K.

15(1)The HRA may arrange with a devolved authority for the HRA—U.K.

(a)to exercise on behalf of the devolved authority any function which corresponds to a function of the HRA;

(b)to provide services or facilities in so far as the devolved authority requires them in connection with the exercise of such                        a function.

(2)The terms and conditions on which arrangements under this paragraph may be made include provision for payment to the HRA in                        respect of its costs in giving effect to the arrangements.

#### Failure to exercise functionsU.K.

16(1)If the Secretary of State considers that the HRA is failing or has failed to exercise any of its functions, and that the failure                        is significant, the Secretary of State may direct the HRA to exercise such of its functions, in such manner and within such                        period, as the direction specifies.U.K.

(2)If the HRA fails to comply with a direction under this paragraph, the Secretary of State may—

(a)exercise the functions specified in the direction, or

(b)make arrangements for some other person to exercise them on the Secretary of State's behalf.

(3)Where the Secretary of State exercises a power under sub-paragraph (1) or (2), the Secretary of State must publish the reasons                        for doing so.

(4)The reference in sub-paragraph (1) to exercising a function includes a reference to exercising it properly.

### **PART 3**U.K.Finance and reports

#### FundingU.K.

17U.K.The Secretary of State may, with the consent of the Treasury, make payments to the HRA at such times and on such conditions                        (if any) as the Secretary of State considers appropriate.

#### Fees and indemnitiesU.K.

18(1)Regulations may require payment of a fee in relation to the exercise of a specified function of the HRA; and the amount of                        the fee is to be the amount specified in, or determined in accordance with, the regulations.U.K.

(2)Where the amount of a fee is to be specified in regulations under this paragraph—

(a)the Secretary of State must, before specifying the amount of the fee, have regard to the cost incurred in the exercise of                        the function to which the fee relates, and

(b)the HRA must provide the Secretary of State with such information, in such form, as the Secretary of State may request.

(3)Regulations under this paragraph may require the HRA to determine the amount of a fee; and, where they do so, the regulations—

(a)must require the HRA, before determining the amount of the fee, to have regard to the cost incurred in the exercise of the                        function to which the fee relates, and

(b)must require the HRA to obtain the approval of the Secretary of State to the proposed amount of the fee.

(4)Regulations under this paragraph which provide for the amount of a fee to be determined may specify factors in accordance                        with which it is to be determined.

(5)Regulations under this paragraph may include provision—

(a)for determining the time by which a fee is payable;

(b)for any unpaid balance to be recoverable as a debt due to the HRA (but for this not to affect any other method of recovery).

(6)Before making regulations under this paragraph, the Secretary of State must consult such persons as the Secretary of State                        considers appropriate.

(7)Section 265 of the Public Health Act 1875 (which relates to the protection of members and officers of certain authorities                        from personal liability) has effect as if there were included in the authorities referred to in that section a reference to                        the HRA.

(8)In its application to the HRA as a result of sub-paragraph (7), section 265 of that Act has effect as if any reference in                        that section to that Act were a reference to this Act.

(9)In section 71(2) of the National Health Service Act 2006 (schemes for meeting losses and liabilities etc. of certain health                        service bodies), after paragraph (f) insert—

“(fa)the Health Research Authority;”.                  

#### AccountsU.K.

19(1)The HRA must keep accounts in such form as the Secretary of State may determine.U.K.

(2)The HRA must prepare annual accounts in respect of each financial year in such form as the Secretary of State may determine.

(3)The HRA must send copies of the annual accounts to—

(a)the Secretary of State, and

(b)the Comptroller and Auditor General,

within such period after the end of the financial year to which the accounts relate as the Secretary of State may determine.

(4)The Comptroller and Auditor General must—

(a)examine, certify and report on the annual accounts, and

(b)lay copies of them and the report on them before Parliament.

(5)In this paragraph and paragraph 20, “financial year” includes the period—

(a)beginning with the day on which the HRA is established, and

(b)ending with the following 31 March or, if the period ending with that date is 3 months or less, ending with the 31 March following                        that date.

#### Annual reportU.K.

20(1)As soon as is feasible after the end of each financial year, the HRA must prepare an annual report on—U.K.

(a)the activities it has undertaken during the year, and

(b)the activities it proposes to undertake during the current financial year.

(2)The report must set out the steps the HRA has taken during the year to fulfil its main objective (see section 110(2)).

(3)The HRA must—

(a)lay a copy of the report before Parliament, and

(b)send a copy of it to the Secretary of State.

(4)The HRA must provide the Secretary of State with such other reports and information relating to the exercise of its functions                        as the Secretary of State may request.

### **PART 4**U.K.Consequential amendments

#### Public Records Act 1958U.K.

21U.K.In Part 2 of the Table in Schedule 1 to the Public Records Act 1958, at the appropriate place insert— “ Health Research Authority. ”

#### Public Bodies (Admission to Meetings) Act 1960U.K.

22U.K.In the Schedule to the Public Bodies (Admission to Meetings) Act 1960, after paragraph (bm) (inserted by paragraph 30 of Schedule                        5 to this Act) insert—

“(bn)the Health Research Authority;”.                  

#### Parliamentary Commissioner Act 1967U.K.

23U.K.In Schedule 2 to the Parliamentary Commissioner Act 1967, at the appropriate place insert— “ Health Research Authority. ”

#### House of Commons Disqualification Act 1975U.K.

24U.K.In Part 2 of Schedule 1 to the House of Commons Disqualification Act 1975, at the appropriate place insert— “ The Health Research Authority. ”

#### Copyright, Designs and Patents Act 1988U.K.

25U.K.In section 48(6) of the Copyright, Designs and Patents Act 1988 (definition of “the Crown”), after “Health Education England”                        (inserted by paragraph 33 of Schedule 5 to this Act) insert “ , the Health Research Authority ”.

#### Freedom of Information Act 2000U.K.

26U.K.In Part 6 of Schedule 1 to the Freedom of Information Act 2000 (other public bodies), at the appropriate place insert— “ The Health Research Authority. ”

#### Equality Act 2010U.K.

27U.K.In Part 1 of Schedule 19 to the Equality Act 2010 (authorities subject to the public sector equality duty), in the group of                        entries under the heading “Health, social care and social security”, after the entry for Health Education England (inserted                        by paragraph 35 of Schedule 5 to this Act) insert— “ The Health Research Authority. ”

 Section 113

## SCHEDULE 8U.K.Research ethics committees: amendments

### Ionising Radiation (Medical Exposure) Regulations 2000 (S.I. 2000/1059)U.K.

1U.K.In regulation 2(1) of the Ionising Radiation (Medical Exposure) Regulations 2000 (S.I. 2000/1059), in the definition of “ethics                        committee”—

(a)omit paragraph (a), and

(b)for paragraph (c) substitute—

“(c)a research ethics committee recognised or established by or on behalf of the Health Research Authority under the Care Act                           2014, or                  

(d)any other group of persons which assesses the ethics of research involving individuals and which is recognised for that purpose                           by or on behalf of the Welsh Ministers or the Scottish Ministers;”.                  

### Ionising Radiation (Medical Exposure) Regulations (Northern Ireland) 2000 (S.R. 2000/194)U.K.

2U.K.In regulation 2(1) of the Ionising Radiation (Medical Exposure) Regulations (Northern Ireland) 2000 (S.R. 2000/194), for the                        definition of “ethics committee” substitute—

““ethics committee” means a group of persons which assesses the ethics of research involving individuals and which is recognised for that purpose                        by or on behalf of the Department;”.                  

### Health Service (Control of Patient Information) Regulations 2002 (S.I. 2002/1438)U.K.

3U.K.In regulation 1(2) of the Health Service (Control of Patient Information) Regulations 2002 (S.I. 2002/1438), for the definition                        of “research ethics committee” substitute—

““research ethics committee” means—                  

(a)a research ethics committee recognised or established by or on behalf of the Health Research Authority under the Care Act                           2014, or                  

(b)any other group of persons which assesses the ethics of research involving individuals and which is recognised for that purpose                           by or on behalf of the Welsh Ministers.”                  

### Nursing Homes Regulations (Northern Ireland) 2005 (S.R. 2005/160)U.K.

4U.K.In regulation 2(1) of the Nursing Homes Regulations (Northern Ireland) 2005 (S.R. 2005/160), for the definition of “ethics                        committee” substitute—

““ethics committee” means a group of persons which assesses the ethics of research involving individuals and which is recognised for that purpose                        by or on behalf of the Department of Health, Social Services and Public Safety;”.                  

### Residential Care Homes Regulations (Northern Ireland) 2005 (S.R. 2005/161)U.K.

5U.K.In regulation 2(1) of the Residential Care Homes Regulations (Northern Ireland) 2005 (S.R. 2005/161), for the definition of                        “ethics committee” substitute—

““ethics committee” means a group of persons which assesses the ethics of research involving individuals and which is recognised for that purpose                        by or on behalf of the Department of Health, Social Services and Public Safety;”.                  

### Independent Health Care Regulations (Northern Ireland) 2005 (S.R. 2005/174)U.K.

6U.K.In regulation 2(1) of the Independent Health Care Regulations (Northern Ireland) 2005 (S.R. 2005/174), for the definition                        of “ethics committee” substitute—

““ethics committee” means a group of persons which assesses the ethics of research involving individuals and which is recognised for that purpose                        by or on behalf of the Department of Health, Social Services and Public Safety;”.                  

### Approval of Research on Organs No Longer Required for Procurator Fiscal Purposes (Specified Purposes) (Scotland) Order 2006                        (S.S.I. 2006/310)U.K.

7U.K.In article 1(2) of the Approval of Research on Organs No Longer Required for Procurator Fiscal Purposes (Specified Purposes)                        (Scotland) Order 2006 (S.S.I. 2006/310), for the definition of “appropriate Research Ethics Committee” substitute—

““appropriate Research Ethics Committee” means a group of persons which assesses the ethics of research involving individuals and which is recognised for that purpose                        by or on behalf of the Scottish Ministers;”.                  

### Human Tissue Act 2004 (Ethical Approval, Exceptions from Licensing and Supply of Information about Transplants) Regulations                        2006 (S.I. 2006/1260)U.K.

8U.K.In regulation 1(2) of the Human Tissue Act 2004 (Ethical Approval, Exceptions from Licensing and Supply of Information about                        Transplants) Regulations 2006 (S.I. 2006/1260), for the definition of “research ethics authority” substitute—

““research ethics authority” means—                  

(a)a research ethics committee recognised or established by or on behalf of the Health Research Authority under the Care Act                           2014, or                  

(b)any other group of persons which assesses the ethics of research involving individuals and which is recognised for that purpose                           by or on behalf of the Welsh Ministers or the Department of Health, Social Services and Public Safety in Northern Ireland.”                  

### Mental Capacity Act 2005 (Appropriate Body) (England) Regulations 2006 (S.I. 2006/2810)U.K.

9U.K.In regulation 2 of the Mental Capacity Act 2005 (Appropriate Body) (England) Regulations 2006 (S.I. 2006/2810) (definition                        of “appropriate body”), for the words from “is a committee” to the end substitute “ is a research ethics committee recognised or established by or on behalf of the Health Research Authority under the Care                           Act 2014. ”

### Mental Capacity Act 2005 (Appropriate Body) (Wales) Regulations 2007 (S.I. 2007/833)U.K.

10U.K.In regulation 2 of the Mental Capacity 2005 (Appropriate Body) (Wales) Regulations 2007 (S.I. 2007/833) (definition of “appropriate                        body”), for the words from “is a committee” to the end substitute “ is a group of persons which assesses the ethics of research involving individuals and which is recognised for that purpose                           by or on behalf of the Welsh Ministers. ”

### Human Fertilisation and Embryology (Disclosure of Information for Research Purposes) Regulations 2010 (S.I. 2010/995)U.K.

11U.K.In regulation 2(1) of the Human Fertilisation and Embryology (Disclosure of Information for Research Purposes) Regulations                        2010 (S.I. 2010/995), for the definition of “research ethics committee” substitute—

““research ethics committee” means a research ethics committee recognised or established by or on behalf of the Health Research Authority under the Care                        Act 2014;”.                  

### Independent Health Care (Wales) Regulations 2011 (S.I. 2011/734)U.K.

12U.K.In regulation 25 of the Independent Health Care (Wales) Regulations 2011 (S.I. 2011/734) (research), in paragraph (2) for                        the words from “a research ethics committee” to the end substitute “ a group of persons which assesses the ethics of research involving individuals and which is recognised for that purpose                           by or on behalf of the Welsh Ministers. ”