NATIONAL HEALTH SERVICE, ENGLAND AND WALES Citation, commencement and interpretation 1 1 These Regulations may be cited as the National Health Service (Pilot Schemes: Financial Assistance for Preparatory Work) Regulations 1998 and shall come into force on 22nd June 1998. 2 In these Regulations— “ the Act ” means the National Health Service (Primary Care) Act 1997; and “the relevant date” has the meaning given to it in regulation 2(7). Provision of financial assistance 2 1 An authority may make payments of financial assistance for preparatory work within the meaning of section 18(2) of the Act. 2 Subject to the provisions of this regulation, such payments may be made only following receipt by the authority of a written application from a person (“the applicant”), who— a where the financial assistance is requested for preparatory work falling within section 18(2)(a) of the Act, is a person who wishes to provide piloted services and with whom an agreement which constitutes, or is one of the agreements which together constitute, a pilot scheme may be made ; or b where the financial assistance is requested for preparatory work falling within section 18(2)(b) of the Act, is a person who is named as a proposed provider of piloted services— i in proposals for a pilot scheme which have been approved by the Secretary of State under section 5 of the Act, or ii where such proposals have been subsequently varied with the agreement of the Secretary of State or, as the case may be, in a manner authorised by directions given by the Secretary of State under section 6 of the Act, in the proposals as so varied. and such proposals are referred to below in this regulation as “the relevant proposals”. 3 Payments of financial assistance may be made under paragraph (1) only if— a the applicant’s application specifies— i the purposes for which he intends to use the payment of financial assistance for which he has applied; and ii subject to paragraph (5), in the case of an application for financial assistance for preparatory work falling within section 18(2)(a) of the Act, the date by which he intends the authority to submit the proposals in question to the Secretary of State; b the authority has notified the applicant in writing that it is willing to make a payment of financial assistance to him for the purposes so specified, and of the maximum amount of the payment which it is willing to make; and c the applicant has satisfied the authority that— i he has incurred costs which are not less than the amount of the payment of financial assistance for which he has applied, and ii those costs were incurred before the relevant date, for the purposes specified in his application. 4 Where two or more persons have together applied for financial assistance, payment may be made to any one of them on behalf of them all; but otherwise in such a case “the applicant” means all of them together. 5 In relation to applications made by persons referred to in paragraph (2)(a), where the Secretary of State has in directions to the authority specified the date (or a number of dates) by which proposals are to be submitted to him, and the authority receives an application which for the purposes of paragraph (3)(a)(ii) specifies a different date, the authority must— a notify the applicant of all dates specified in the directions which relate to proposals for the services in question which have not yet passed; and b invite the applicant to amend the application so as to specify one of those dates for the purposes of paragraph (3)(a)(ii) (being a date which has not yet passed at the time of the amendment); and until the application is so amended it shall be treated as not having been made. 6 In relation to applications made by persons referred to in paragraph (2)(b), subject to any directions given by the Secretary of State under section 6(1) of the Act as to implementation of proposals— a if the relevant proposals do not specify the date by which those proposals are to be implemented, an authority may give notification to an applicant under paragraph (3)(b) only if it has agreed with him the date by which the proposals are to be implemented; but b where an authority and the applicant have agreed a date by which the relevant proposals are to be implemented, they may, at any time before that date, agree a different date as the date by which the proposals are to be implemented, in substitution for that date. 7 In paragraph (3)(c)(ii) and in regulation 3(1) “the relevant date” means— a in relation to applications made by persons referred to in paragraph (2)(a), whichever of the dates mentioned in heads (i) or (ii) occurs first— i subject to paragraph (5), the date specified by the applicant in his application (or as the case may be his amended application) as the date by which he intends the authority to submit the proposals in question to the Secretary of State, or ii the date on which the authority submits the proposals in question to the Secretary of State. b in relation to applications made by persons referred to in paragraph (2)(b), whichever of the dates mentioned in heads (i) to (iii) occurs first— i the date on which the relevant proposals are implemented, ii the date on which the authority receives notification from an applicant to whom it has given notification under paragraph (3)(b) in respect of the relevant proposals that he wishes to withdraw before those proposals are implemented , or iii the date specified in the relevant proposals or, as the case may be, for the time being agreed under paragraph (6) as the date by which the proposals are to be implemented. Conditions on payments of financial assistance 3 1 Notwithstanding that the applicant has satisfied the authority as mentioned in regulation 2(3)(c), the authority shall upon making a payment of financial assistance under regulation 2(1) also require all the costs in respect of which the payment is made to have been incurred before the relevant date and for the purposes specified in the application for that payment. 2 An applicant receiving such a payment shall comply with any conditions which the authority may impose in writing in connection with that requirement. 3 Where an authority, despite having been satisfied as mentioned in regulation 2(3)(c), subsequently discovers that the applicant has not complied with any conditions imposed under paragraph (2) it may demand repayment of any part of the payment that was not properly incurred and the applicant shall forthwith repay the sum demanded. Transitional provisions 4 Where before 22nd June 1998 an application has been made to an authority for financial assistance under regulation 2(1), 4(1) or 6(1) of the National Health Services (Pilot Schemes: Financial Assistance for Preparatory Work) Regulations 1997 the provisions of those Regulations shall continue to apply in relation to any such application as if regulation 5 of these Regulations had not come into force. Revocations 5 The Regulations specified in column (1) of Schedule 1 are hereby revoked to the extent specified in column (3) of that Schedule. Frank Dobson One of Her Majesty’s Principal Secretaries of State, Department of Health 27th May 1998