Legalize / United Kingdom / Public General Act

Care Act 2014

Type Public General Act

Publication 2014-05-14

Last updated 2026-04-01

State In force

Department Statute Law Database

Source legislation.gov.uk

articles Not indexed

Reform history JSON API

(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.

Appeals

Part 1 appeals

72

(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;

(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;

(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.

Miscellaneous

Human Rights Act 1998: provision of regulated care or support etc a public function

73

(1) This section applies where—

(a) in England, a registered care provider provides care and support to an adult or support to a carer, in the course of providing—

(i) personal care in a place where the adult receiving the personal care is living when the personal care is provided, or

(ii) residential accommodation together with nursing or personal care;

(b) in Wales, a person registered under Part 2 of the Care Standards Act 2000 or Part 1 of the Regulation and Inspection of Social Care (Wales) Act 2016 provides care and support to an adult, or support to a carer, in the course of providing—

(i) personal care in a place where the adult receiving the personal care is living when the personal care is provided, or

(ii) residential accommodation together with nursing or personal care;

(c) in Scotland, a person provides advice, guidance or assistance to an adult or support to a carer, in the course of providing a care service which is registered under section 59 of the Public Services Reform (Scotland) Act 2010 and which consists of the provision of—

(i) personal care in a place where the adult receiving the personal care is living when the personal care is provided, or

(ii) residential accommodation together with nursing or personal care;

(d) in Northern Ireland, a person registered under Part 3 of the Health and Personal Social Services (Quality, Improvement and Regulation) (Northern Ireland) Order 2003 provides advice, guidance or assistance to an adult or services to a carer, in the course of providing—

(i) personal care in a place where the adult receiving the personal care is living when the personal care is provided, or

(ii) residential accommodation together with nursing or personal care.

In this section “the care or support” means the care and support, support, advice, guidance, assistance or services provided as mentioned above, and “the provider” means the person who provides the care or support.

(2) The provider is to be taken for the purposes of section 6(3)(b) of the Human Rights Act 1998 (acts of public authorities) to be exercising a function of a public nature in providing the care or support, if the requirements of subsection (3) are met.

(3) The requirements are that—

(a) the care or support is arranged by an authority listed in column 1 of the Table below, or paid for (directly or indirectly, and in whole or in part) by such an authority, and

(b) the authority arranges or pays for the care or support under a provision listed in the corresponding entry in column 2 of the Table.

Authority	Provisions imposing duty or conferring power to meet needs
Local authority in England	Sections 2, 18, 19, 20, 38 and 48 of this Act.
Local authority in Wales	Part 4 and section 189 of the Social Services and Well-being (Wales) Act 2014.
Local authority in Wales	Section 50 of this Act.
Local authority in Scotland	Sections 12, 13A, 13B and 14 of the Social Work (Scotland) Act 1968.
Local authority in Scotland	Section 3 of the Social Care (Self-directed Support) (Scotland) Act 2013.
Health and Social Care trust	Article 15 of the Health and Personal Social Services (Northern Ireland) Order 1972.
Health and Social Care trust	Section 51 of this Act.
Authority (within the meaning of section 10 of the Carers and Direct Payments Act (Northern Ireland) 2002)	Section 2 of the Carers and Direct Payments Act (Northern Ireland) 2002.

(4) In this section—

“local authority in England” means a local authority for the purposes of this Part;

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

“local authority in Scotland” means a council constituted under section 2 of the Local Government etc. (Scotland) Act 1994;

“nursing care”, for England, Wales and Northern Ireland, has the same meaning as in the Health and Social Care Act 2008 (Regulated Activities) Regulations 2010, as amended from time to time;

“personal care”—for England, Wales and Northern Ireland, has the same meaning as in the Health and Social Care Act 2008 (Regulated Activities) Regulations 2010, as amended from time to time;for Scotland, has the same meaning as in Part 5 of the Public Services Reform (Scotland) Act 2010, as amended from time to time.

Discharge of hospital patients with care and support needs

74

(1) Where a relevant trust is responsible for an adult hospital patient and considers that the patient is likely to require care and support following discharge from hospital, the relevant trust must, as soon as is feasible after it begins making any plans relating to the discharge, take any steps that it considers appropriate to involve—

(a) the patient, and

(b) any carer of the patient.

(2) In performing the duty under subsection (1), a relevant trust must have regard to any guidance issued by NHS England.

(3) For the purposes of this section, a relevant trust is responsible for a hospital patient if the relevant trust manages the hospital.

(4) In this section—

“adult” means a person aged 18 or over;

“carer” means an individual who provides or intends to provide care for an adult, otherwise than by virtue of a contract or as voluntary work;

“relevant trust” means—an NHS trust established under section 25 of the National Health Service Act 2006, oran NHS foundation trust.

After-care under the Mental Health Act 1983

75

(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—

(117A) (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.

Prisoners and persons in approved premises etc.

76

(1) In its application to an adult who is detained in prison, this Part has effect as if references to being ordinarily resident in an area were references to being detained in prison in that area.

(2) In its application to an adult who is residing in approved premises, this Part has effect as if references to being ordinarily resident in an area were references to being resident in approved premises in that area.

(3) In its application to an adult who is residing in any other premises because a requirement to do so has been imposed on the adult as a condition of the grant of bail in criminal proceedings, this Part has effect as if references to being ordinarily resident in an area were references to being resident in premises in that area for that reason.

(4) The power under section 30 (preference for particular accommodation) may not be exercised in the case of an adult who is detained in prison or residing in approved premises except for the purpose of making provision with respect to accommodation for the adult—

(a) on his or her release from prison (including temporary release), or

(b) on ceasing to reside in approved premises.

(5) Sections 31 to 33 (direct payments) do not apply in the case of an adult who, having been convicted of an offence, is—

(a) detained in prison, or

(b) residing in approved premises.

(6) Sections 37 and 38 (continuity of care), in their application to an adult who is detained in prison or residing in approved premises, also apply where it is decided that the adult is to be detained in prison, or is to reside in approved premises, in the area of another local authority; and accordingly—

(a) references to the adult's intention to move are to be read as references to that decision, and

(b) references to carers are to be ignored.

(7) Sections 42 and 47 (safeguarding: enquiry by local authority and protection of property) do not apply in the case of an adult who is—

(a) detained in prison, or

(b) residing in approved premises.

(8) An SAB's objective under section 43(2) does not include helping and protecting adults who are detained in prison or residing in approved premises; but an SAB may nonetheless provide advice or assistance to any person for the purpose of helping and protecting such adults in its area in cases of the kind described in section 42(1) (adults with needs for care and support who are at risk of abuse or neglect).

(9) Section 44 (safeguarding adults reviews) does not apply to any case involving an adult in so far as the case relates to any period during which the adult was—

(a) detained in prison, or

(b) residing in approved premises.

(10) Regulations under paragraph 1(1)(d) of Schedule 2 (membership of Safeguarding Adults Boards) may not specify the governor, director or controller of a prison or a prison officer or prisoner custody officer.

(11) “Prison” has the same meaning as in the Prison Act 1952 (see section 53(1) of that Act); and—

(a) a reference to a prison includes a reference to a young offender institution, secure training centre or secure children's home,

(b) the reference in subsection (10) to the governor, director or controller of a prison includes a reference to the governor, director or controller of a young offender institution, to the governor, director or monitor of a secure training centre and to the manager of a secure children's home, and

(c) the reference in that subsection to a prison officer or prisoner custody officer includes a reference to a prison officer or prisoner custody officer at a young offender institution, to an officer or custody officer at a secure training centre and to a member of staff at a secure children's home.

(12) “Approved premises” has the meaning given in section 13 of the Offender Management Act 2007.

(13) “Bail in criminal proceedings” has the meaning given in section 1 of the Bail Act 1976.

(14) For the purposes of this section—

(a) a person who is temporarily absent from prison is to be treated as detained in prison for the period of absence;

(b) a person who is temporarily absent from approved premises is to be treated as residing in approved premises for the period of absence;

(c) a person who is temporarily absent from other premises in which the person is required to reside as a condition of the grant of bail in criminal proceedings is to be treated as residing in the premises for the period of absence.

Registers of sight-impaired adults, disabled adults, etc.

77

(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.

Guidance, etc.

78

(1) A local authority must act under the general guidance of the Secretary of State in the exercise of functions given to it by this Part or by regulations under this Part.

(2) Before issuing any guidance for the purposes of subsection (1), the Secretary of State must consult such persons as the Secretary of State considers appropriate.

(3) The Secretary of State must have regard to the general duty of local authorities under section 1(1) (promotion of individual well-being)—

(a) in issuing guidance for the purposes of subsection (1);

(b) in making regulations under this Part.

Delegation of local authority functions

79

(1) A local authority may authorise a person to exercise on its behalf a function it has under—

(a) this Part or regulations under this Part (but see subsection (2)), or

(b) section 117 of the Mental Health Act 1983 (after-care services).

(2) The references in subsection (1)(a) to this Part do not include a reference to—

(a) section 3 (promoting integration with health services etc.),

(b) sections 6 and 7 (co-operating),

(d) sections 42 to 47 (safeguarding adults at risk of abuse or neglect), or

(e) this section.

(3) An authorisation under this section may authorise an employee of the authorised person to exercise the function to which the authorisation relates; and for that purpose, where the authorised person is a body corporate, “employee” includes a director or officer of the body.

(4) An authorisation under this section may authorise the exercise of the function to which it relates—

(a) either wholly or to the extent specified in the authorisation;

(b) either generally or in cases, circumstances or areas so specified;

(5) An authorisation under this section—

(a) is for the period specified in the authorisation;

(b) may be revoked by the local authority;

(6) Anything done or omitted to be done by or in relation to a person authorised under this section in, or in connection with, the exercise or purported exercise of the function to which the authorisation relates is to be treated for all purposes as done or omitted to be done by or in relation to the local authority.

(7) But subsection (6) does not apply—

(a) for the purposes of the terms of any contract between the authorised person and the local authority which relate to the function, or

(b) for the purposes of any criminal proceedings brought in respect of anything done or omitted to be done by the authorised person.

(8) Schedule 15 to the Deregulation and Contracting Out Act 1994 (which permits disclosure of information between local authorities and contractors where that is necessary for the exercise of the functions concerned, even if that would otherwise be unlawful) applies to an authorisation under this section as it applies to an authorisation by virtue of an order under section 70(2) of that Act.

(9) The Secretary of State may by order—

(a) amend subsection (2) so as to add to or remove from the list a provision of this Part;

(b) amend subsection (1) so as to add to or remove from the list a provision relating to care and support for adults or support for carers;

(c) impose conditions or other restrictions on the exercise of the power under subsection (1), whether by amending this section or otherwise.

(10) The provision which may be made in an order under subsection (9) in reliance on section 125(8) (supplementary etc. provision in orders under this Act) includes, in particular, provision as to the rights and obligations of local authorities and persons authorised under this section in light of the provision made by the order.

(11) “Function” includes a power to do anything that is calculated to facilitate, or is conducive or incidental to, the exercise of a function.

General

Part 1: interpretation

80

(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.

Expression	Provision
Abuse	Section 42(3)
Accrued costs	Section 15(5)
Adult	Section 2(8)
Adult needing care	Section 10(3)
Authority under the Mental Capacity Act 2005	Subsection (3) below
Best interests	Subsection (2) below
Cap on care costs	Section 15(4)
Capacity, having or lacking	Subsection (2) below
Care and support plan	Section 25
Care account	Section 29
Carer (other than in sections 58 to 62)	Section 10(3)
Carer's assessment	Sections 10(2) and 12(8) and (9)
Child's carer's assessment	Section 60(2)
Child's needs assessment	Section 58(2)
Daily living costs, amount attributable to	Section 15(8)
Deferred payment agreement	Section 34
Direct payment	Sections 31 and 32
Eligibility criteria	Section 13
Financial assessment	Section 17(5)
Financial limit	Section 17(10)
Financial year	Section 126
The health service	Section 126
Independent personal budget	Section 28
Local authority	Section 1(4)
Needs assessment	Sections 9(2) and 12(8) and (9)
Parent	Section 58(6)
Personal budget	Section 26
Registered care provider	Section 48
Support plan	Section 25
Well-being	Section 1(2)
Young carer	Section 63(6)
Young carer's assessment	Section 63(2)

(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.

PART 2 — Care standards

Quality of services

Duty of candour

81

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.

Warning notice

82

(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—

(29A) (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

(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 ”.

Imposition of licence conditions on NHS foundation trusts

83

(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) ”.

Trust special administration: appointment of administrator

84

(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 ”.

Trust special administration: objective, consultation and reports

85

(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

(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

(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

(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 ”.

Care Quality Commission

Restriction on applications for variation or removal of conditions

86

(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.

Rights of appeal

87

(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.

Unitary board

88

(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”,

(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) ”.

Increasing the independence of the Care Quality Commission

Chief Inspectors

89

After paragraph 3 of Schedule 1 to the Health and Social Care Act 2008 insert—

(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.

Independence of the Care Quality Commission

90

(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.

Performance ratings

Reviews and performance assessments

91

(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—

(46) (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.

False or misleading information

Offence

92

(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

(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) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(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).

Penalties

93

(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,

(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.

Offences by bodies

94

(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).

Regulated activities

Training for persons working in regulated activity

95

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.

PART 3 — Health

CHAPTER 1 — The Education and Training Functions of NHS England

Establishment

Health Education England

96

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

National functions

Planning education and training for health care workers etc.

97

(1) NHS England 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

(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 NHS England 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) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) Regulations may give NHS England further functions relating to education and training for health care workers.

(6) NHS England 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 NHS England; but, in exercising the power, NHS England 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 NHS England’s duty under section 1F(1) of the National Health Service Act 2006 is to be performed.

Ensuring sufficient skilled health care workers for the health service

98

(1) NHS England must exercise its functions under this Chapter 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.

Quality improvement in education and training, etc.

99

(1) NHS England must exercise its functions under this Chapter with a view to securing continuous improvement—

(a) in the quality of education and training provided for health care workers;

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) NHS England must exercise its functions under this Chapter with a view to securing that education and training for health care workers is provided in a way which promotes the NHS Constitution.

(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) “NHS Constitution” has the meaning given by section 1(1) of the Health Act 2009.

Objectives, priorities and outcomes

100

(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) The Secretary of State must publish a document (called the “Education Outcomes Framework”) setting outcomes for NHS England to achieve in relation to the education and training to be provided for health care workers.

(2A) In setting those outcomes, the Secretary of State must have regard to any objectives that are specified in the mandate published under section 13A of the National Health Service Act 2006 and that relate to the education and training of health care workers.

(3) The Secretary of State—

(a) may revise a document published under subsection ... (2), and

(b) if the Secretary of State does so, must publish it as revised.

(4) NHS England must publish a document which—

(a) specifies—

(i) the objectives and priorities that NHS England has set, for the period specified in the document, for the planning and delivery of education and training for health care workers, and

(ii) how it proposes to achieve those objectives,

(b) specifies—

(i) the outcomes that NHS England expects to achieve in relation to the education and training of health care workers during that period having regard to those objectives and priorities, and

(ii) how it proposes to achieve those outcomes, and

(c) specifies how NHS England proposes to achieve the outcomes set by the Secretary of State in accordance with subsection (2).

(5) In performing the duty under subsection (4), NHS England 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) NHS England 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 subsection (2) and any objectives specified for it in the mandate published under section 13A of the National Health Service Act 2006 that relate to the education and training of health care workers .

(7) A document under subsection (4) may specify different periods in relation to different categories of health care worker.

(8) NHS England 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 NHS England revises it, publish it as revised.

(9) NHS England may perform the duty under subsection (4) by publishing two or more documents which, taken together, comply with that subsection.

(10) NHS England 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 ... (2) or (3);

(b) published by NHS England under subsection (4) or (8).

Sections 98 and 100: matters to which HEE must have regard

101

(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), NHS England 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) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e) the objectives of the Secretary of State in exercising public health functions (as defined by section 1H of that Act),

(f) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(g) documents published by the Secretary of State under section 100(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;

“health services” means health services provided as part of the health service.

Advice

102

(1) NHS England must make arrangements for obtaining advice on the exercise of its functions under this Chapter from persons who are involved in, or who NHS England thinks otherwise have an interest in, the provision of education and training for health care workers.

(2) NHS England 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;

(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) NHS England 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) NHS England must advise the Secretary of State on such matters relating to its functions under this Chapter 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 Education and Training Boards

103

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

LETBs: appointment etc.

104

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

LETBs: co-operation by providers of health services

105

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Education and training plans

106

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Commissioning education and training

107

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Tariffs

108

(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 ... NHS England 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 2 — Health Research Authority

Establishment

The Health Research Authority

109

(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.

General functions

The HRA’s functions

110

(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;

(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

Regulatory practice

Co-ordinating and promoting regulatory practice etc.

111

(1) The HRA and each of the following must co-operate with each other in the exercise of their respective functions relating to health or social care research, with a view to co-ordinating and standardising practice relating to the regulation of such research—

(a) the Secretary of State;

(b) the licensing authority for the purposes of the Medicines Act 1968;

(c) NHS England, but only insofar as its functions relating to health or social care research are relevant data functions (as defined by section 253(3) of the Health and Social Care Act 2012);

(d) the Chief Medical Officer of the Department of Health and Social Care;

(e) the Human Fertilisation and Embryology Authority;

(f) the Human Tissue Authority;

(g) the Care Quality Commission;

(h) the Administration of Radioactive Substances Advisory Committee;

(i) such person, or a person of such description, as regulations may specify.

(2) In performing the duty under subsection (1), a person must have regard to the need—

(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 such research.

(3) The HRA must promote the co-ordination and standardisation of practice in the United Kingdom relating to the regulation of health and social care research; and it must, in doing so, seek to ensure that such regulation is proportionate.

(4) The HRA and each devolved authority must co-operate with each other in the exercise of their respective functions relating to the regulation of assessments of the ethics of health and social care research, with a view to co-ordinating and standardising practice in the United Kingdom relating to such regulation.

(5) The HRA must—

(a) keep under review matters relating to the ethics of health or social care research and matters relating to the regulation of such research, and

(b) provide the Secretary of State with such advice about the matters referred to in paragraph (a) as the Secretary of State requests.

(6) The HRA must publish guidance on—

(a) principles of good practice in the management and conduct of health and social care research;

(b) requirements, whether imposed by enactments or otherwise, to which persons conducting health or social care research are subject.

(7) A local authority (within the meaning of Part 1), an NHS trust established under section 25 of the National Health Service Act 2006 and an NHS foundation trust must each have regard to guidance under subsection (6).

(8) The ways in which persons may co-operate with each other under subsection (1) or (4) include, for example, by sharing information.

(9) Section 290 of the Health and Social Care Act 2012 (duties for health and social care authorities to co-operate), so far as applying to a person who is for the time being within subsection (1), does not apply to functions of that person relating to health or social care research.

(10) Section 110(5) (exclusion of research into matters within devolved competence) does not apply to the reference in subsection (1) or (4) to health and social care research.

Research ethics committees

The HRA’s policy on research ethics committees

112

(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;

(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;

(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.

Approval of research

113

(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.

Recognition by the HRA

114

(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

(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).

Establishment by the HRA

115

(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.

Membership of the United Kingdom Ethics Committee Authority

116

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

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