The Health and Personal Social Services (General Medical Services Contracts) Regulations (Northern Ireland) 2004 No. 140

Regulation 26

SCHEDULE 5 N.I. OTHER CONTRACTUAL TERMS

PART 1 N.I. provision of services

Premises N.I.

1.  Subject to any plan which is included in the contract pursuant to regulation 18(3), the contractor shall ensure that the premises used for the provision of services under the contract are –

(a) suitable for the delivery of those services; and

(b) sufficient to meet the reasonable needs of the contractor’s patients.

Commencement Information

I1 Sch. 5 para. 1 in operation at 29.3.2004, see reg. 1

Attendance at practice premises N.I.

2.—(1) The contractor shall take steps to ensure that any patient who –

(a) has not previously made an appointment; and

(b) attends at the practice premises during the normal hours for essential services,

is provided with such services by an appropriate health care professional during that surgery period except in the circumstances specified in sub-paragraph (2).

(2) The circumstances referred to in sub-paragraph (1) are that –

(a) it is more appropriate for the patient to be referred elsewhere for services under the Order; or

(b) the patient is then offered an appointment to attend again within a time which is appropriate and reasonable having regard to all the circumstances and the patient’s health would not thereby be jeopardised.

Commencement Information

I2 Sch. 5 para. 2 in operation at 29.3.2004, see reg. 1

Attendance outside practice premises N.I.

3.—(1) In the case of a patient whose medical condition is such that in the reasonable opinion of the contractor –

(a) attendance on the patient is required; and

(b) it would be inappropriate for the patient to attend at the practice premises,

the contractor shall provide services to that patient at whichever in his judgement is the most appropriate of the places set out in sub-paragraph (2).

(2) The places referred to in sub-paragraph (1) are –

(a) the place recorded in the patient’s medical records as being his last home address;

(b) such other place as the contractor has informed the patient and the Board is the place where he has agreed to visit and treat the patient; or

(c) some other place in the contractor’s practice area.

(3) Nothing in this paragraph prevents the contractor from –

(a) arranging for the referral of a patient without first seeing the patient, in a case where the medical condition of that patient makes that course of action appropriate; or

(b) visiting the patient in circumstances where this paragraph does not place him under an obligation to do so.

Commencement Information

I3 Sch. 5 para. 3 in operation at 29.3.2004, see reg. 1

Newly registered patients N.I.

4.—(1) Where a patient has been –

(a) accepted on a contractor’s list of patients under paragraph 15; or

(b) assigned to that list by the Board,

the contractor shall, in addition and without prejudice to his other obligations in respect of that patient under the contract, invite the patient to participate in a consultation either at his practice premises or, if the medical condition of the patient so warrants, at one of the places referred to in paragraph 3(2).

(2) An invitation under sub-paragraph (1) shall be issued within six months of the date of the acceptance of the patient on, or their assignment to, the contractor’s list.

(3) Where a patient (or, where appropriate, in the case of a patient who is a child, his parent) agrees to participate in a consultation mentioned in sub-paragraph (1) the contractor shall, in the course of that consultation make such inquiries and undertake such examinations as appear to him to be appropriate in all the circumstances.

Commencement Information

I4 Sch. 5 para. 4 in operation at 29.3.2004, see reg. 1

Patients not seen within three years N.I.

5.  Where a registered patient who –

(a) has attained the age of 16 years but has not attained the age of 75 years; and

(b) has attended neither a consultation with, nor a clinic provided by, the contractor within the period of 3 years prior to the date of his request;

requests a consultation the contractor shall, in addition and without prejudice to his other obligations in respect of that patient under the contract, provide such a consultation in the course of which it shall make such inquiries and undertake such examinations as appear to him to be appropriate in all the circumstances.

Commencement Information

I5 Sch. 5 para. 5 in operation at 29.3.2004, see reg. 1

Patients aged 75 years and over N.I.

6.—(1) Where a registered patient who –

(a) has attained the age of 75 years; and

(b) has not participated in a consultation under this paragraph within the period of twelve months prior to the date of his request,

requests a consultation, the contractor shall, in addition and without prejudice to his other obligations in respect of that patient under the contract, provide such a consultation in the course of which he shall make such inquiries and undertake such examinations as appear to him to be appropriate in all the circumstances.

(2) A consultation under sub-paragraph (1) shall take place in the home of the patient where, in the reasonable opinion of the contractor, it would be inappropriate, as a result of the patient’s medical condition, for him to attend at the practice premises.

Commencement Information

I6 Sch. 5 para. 6 in operation at 29.3.2004, see reg. 1

Clinical reports N.I.

7.—(1) Where the contractor provides any clinical services, other than under a private arrangement, to a patient who is not on his list of patients, he shall, as soon as reasonably practicable, provide a clinical report relating to the consultation, and any treatment provided, to the Board.

(2) The Board shall send any report received under sub-paragraph (1) –

(a) to the person with whom the patient is registered for the provision of essential services or their equivalent; or

(b) if the person referred to in head (a) is not known to it, to the Board in whose area the patient is resident.

Commencement Information

I7 Sch. 5 para. 7 in operation at 29.3.2004, see reg. 1

Storage of vaccines N.I.

8.  The contractor shall ensure that –

(a) all vaccines are stored in accordance with the manufacturer’s instructions,

(b) all refrigerators in which vaccines are stored have a maximum/minimum thermometer and that readings are taken on all working days.

Commencement Information

I8 Sch. 5 para. 8 in operation at 29.3.2004, see reg. 1

Infection control N.I.

9.  The contractor shall ensure that he has appropriate arrangements for infection control and decontamination.

Commencement Information

I9 Sch. 5 para. 9 in operation at 29.3.2004, see reg. 1

Criteria for out of hours services N.I.

10.  A contractor whose contract includes the provision of out of hours services shall only be required to provide such services if, in the reasonable opinion of the contractor in the light of the patient’s medical condition, it would not be reasonable in all the circumstances for the patient to wait for the services required until the next time at which he could obtain such services during core hours.

Commencement Information

I10 Sch. 5 para. 10 in operation at 29.3.2004, see reg. 1

Standards for out of hours services N.I.

11.  From 1st January 2005, a contractor which provides out of hours services must in the provision of such services meet any quality standards which have been approved by the Department and specified in writing by the Board in relation to the provision of those services.

Commencement Information

I11 Sch. 5 para. 11 in operation at 29.3.2004, see reg. 1

Duty of co-operation in relation to additional, enhanced and out of hours services N.I.

12.—(1) A contractor which does not provide to his registered patients or to persons whom he has accepted as temporary residents –

(a) a particular additional service;

(b) a particular enhanced service; or

(c) out of hours services, either at all or in respect of some periods or some services,

shall comply with the requirements specified in sub-paragraph (2).

(2) The requirements referred to in sub-paragraph (1) are that the contractor shall –

(a) co-operate with any person responsible for the provision of that service;

(b) comply in core hours with any reasonable request for information from such a person or from the Board relating to the provision of that service or those services; and

(c) in the case of out of hours services, take reasonable steps to ensure that any patient who contacts the practice premises during the out of hours period is provided with information about how to obtain services during that period.

(3) Nothing in this paragraph shall require a contractor whose contract does not include the provision of out of hours services to make himself available during the out of hours period.

Commencement Information

I12 Sch. 5 para. 12 in operation at 29.3.2004, see reg. 1

13.  Where a contractor is to cease to be required to provide to his patients –

(a) a particular additional service;

(b) a particular enhanced service; or

(c) out of hours services, either at all or in respect of some periods or some services,

he shall comply with any reasonable request for information relating to the provision of that service made by the Board or by any person with whom the Board intends to enter into a contract for the provision of such services.

Commencement Information

I13 Sch. 5 para. 13 in operation at 29.3.2004, see reg. 1

PART 2 N.I. patients

List of patients N.I.

14.  The Board shall prepare and keep up to date a list of the patients –

(a) who have been accepted by the contractor for inclusion in his list of patients under paragraph 15 and who have not subsequently been removed from that list under paragraphs 19 to 27; and

(b) who have been assigned to the contractor under paragraph 32 or 33 and whose assignment has not subsequently been rescinded.

Commencement Information

I14 Sch. 5 para. 14 in operation at 29.3.2004, see reg. 1

Application for inclusion in a list of patients N.I.

15.—(1) The contractor may, if his list of patients is open, accept an application for inclusion in his list of patients made by or on behalf of any person whether or not resident in his practice area or included, at the time of that application, in the list of patients of another contractor or provider of primary medical services.

(2) The contractor may, if his list of patients is closed, only accept an application for inclusion in his list of patients from a person who is an immediate family member of a registered patient whether or not resident in his practice area or included, at the time of that application, in the list of patients of another contractor or provider of primary medical services.

(3) Subject to sub-paragraph (4), an application for inclusion in a contractor’s list of patients shall be made by delivering to the practice premises a medical card or an application signed (in either case) by the applicant or a person authorised by the applicant to sign on his behalf.

(4) An application may be made –

(a) on behalf of any child –

(i) by either parent, or in the absence of both parents, the guardian or other adult who has care of the child,

(ii) by a person duly authorised by an authority looking after a child under the provisions of the Children (Northern Ireland) Order 1995, or

(iii) by a person duly authorised by a voluntary organisation by which the child is being accommodated under the provisions of that Order; or

(b) on behalf of any adult who is incapable of making such an application, or authorising such an application to be made on their behalf, by a relative or the primary carer of that person.

(5) A contractor which accepts an application for inclusion in his list of patients shall notify the Board in writing as soon as possible.

(6) On receipt of a notice under sub-paragraph (5), the Board shall –

(a) include that person in the contractor’s list of patients from the date on which the notice is received; and

(b) notify the applicant (or, in the case of a child or incapable adult, the person making the application on their behalf) of the acceptance.

Commencement Information

I15 Sch. 5 para. 15 in operation at 29.3.2004, see reg. 1

Temporary residents N.I.

16.—(1) The contractor may, if his list of patients is open, accept a person as a temporary resident provided he is satisfied that the person is –

(a) temporarily resident away from his normal place of residence and is not being provided with essential services (or their equivalent) under any other arrangement in the place where he is temporarily residing; or

(b) moving from place to place and not for the time being resident in any place.

(2) For the purposes of sub-paragraph (1), a person shall be regarded as temporarily resident in a place if, when he arrives in that place, he intends to stay there for more than 24 hours but not more than three months.

(3) A contractor which wishes to terminate his responsibility for a person accepted as a temporary resident before the end of –

(a) three months; or

(b) such shorter period for which he agreed to accept him as a patient,

shall notify him either orally or in writing and his responsibility for that patient shall cease 7 days after the date on which the notification was given.

(4) At the end of three months, or on such earlier date as his responsibility for the temporary resident has come to an end, the contractor shall notify the Board in writing of any person whom he accepted as a temporary resident.

Commencement Information

I16 Sch. 5 para. 16 in operation at 29.3.2004, see reg. 1

Refusal of applications for inclusion in the list of patients or for acceptance as a temporary resident N.I.

17.—(1) The contractor shall only refuse an application made under paragraph 15 or 16 if he has reasonable grounds for doing so which do not relate to the applicant’s race, gender, social class, marital status, age, religion, political opinion, sexual orientation, appearance, disability, medical condition or whether or not the applicant has dependants.

(2) The reasonable grounds referred to in paragraph (1) shall, in the case of applications made under paragraph 15, include the ground that the applicant does not live in the contractor’s practice area.

(3) A contractor which refuses an application made under paragraph 15 or 16 shall, within 14 days of his decision, notify the applicant (or, in the case of a child or incapable adult, the person making the application on their behalf) in writing of the refusal and the reason for it.

(4) The contractor shall keep a written record of refusals of applications made under paragraph 15 and of the reasons for them and shall make this record available to the Board on request.

Commencement Information

I17 Sch. 5 para. 17 in operation at 29.3.2004, see reg. 1

Patient preference of practitioner N.I.

18.—(1) Where the contractor has accepted an application for inclusion in his list of patients, he shall –

(a) notify the patient (or, in the case of a child or incapable adult, the person who made the application on their behalf) of the patient’s right to express a preference to receive services from a particular performer or class of performer either generally or in relation to any particular condition; and

(b) record in writing any such preference expressed by or on behalf of the patient.

(2) The contractor shall endeavour to comply with any reasonable preference expressed under sub-paragraph (1) but need not do so if the preferred performer –

(a) has reasonable grounds for refusing to provide services to the patient; or

(b) does not routinely perform the service in question within the practice.

Commencement Information

I18 Sch. 5 para. 18 in operation at 29.3.2004, see reg. 1

Removal from the list at the request of the patient N.I.

19.—(1) The contractor shall notify the Board in writing of any request for removal from his list of patients received from a registered patient.

(2) Where the Board –

(a) receives notification from the contractor under sub-paragraph (1); or

(b) receives a request from the patient to be removed from the contractor’s list of patients,

it shall remove that person from the contractor’s list of patients.

(3) A removal in accordance with sub-paragraph (2) shall take effect –

(a) on the date on which the Board receives notification of the registration of the person with another provider of essential services (or their equivalent); or

(b) 14 days after the date on which the notification or request made under sub-paragraph (1) or (2) respectively is received by the Board,

whichever is the sooner.

(4) The Board shall, as soon as practicable, notify in writing –

(a) the patient; and

(b) the contractor,

that the patient’s name will be or has been removed from the contractor’s list of patients on the date referred to in sub-paragraph (3).

(5) In this paragraph and in paragraphs 20(1)(b) and (10), 21(6) and (7), 23 and 26, a reference to a request received from or advice, information or notification required to be given to a patient shall include a request received from or advice, information or notification required to be given to –

(a) in the case of a patient who is a child, a parent or other person referred to in paragraph 15(4)(a); or

(b) in the case of an adult patient who is incapable of making the relevant request or receiving the relevant advice, information or notification, a relative or the primary carer of the patient.

Commencement Information

I19 Sch. 5 para. 19 in operation at 29.3.2004, see reg. 1

Removal from the list at the request of the contractor N.I.

20.—(1) Subject to paragraph 21, a contractor which has reasonable grounds for wishing a patient to be removed from his list of patients which do not relate to the applicant’s race, gender, social class, marital status, age, religion, political opinion, sexual orientation, appearance, disability, medical condition, or whether or not the applicant has dependants shall –

(a) notify the Board in writing that he wishes to have the patient removed; and

(b) subject to sub-paragraph (2), notify the patient of his specific reasons for requesting removal.

(2) Where in the reasonable opinion of the contractor –

(a) the circumstances of the removal are such that it is not appropriate for a more specific reason to be given; and

(b) there has been an irrevocable breakdown in the relationship between the patient and the contractor,

the reason given under sub-paragraph (1) may consist of a statement that there has been such a breakdown.

(3) Except in the circumstances specified in sub-paragraph (4), a contractor may only request a removal under sub-paragraph (1), if, within the period of 12 months prior to the date of his request to the Board, he has warned the patient that he is at risk of removal and explained to him the reasons for this.

(4) The circumstances referred to in sub-paragraph (3) are that –

(a) the reason for removal relates to a change of address;

(b) the contractor has reasonable grounds for believing that the issue of such a warning would –

(i) be harmful to the physical or mental health of the patient, or

(ii) put at risk the safety of one or more of the persons specified in sub-paragraph (5); or

(c) it is, in the opinion of the contractor, not otherwise reasonable or practical for a warning to be given.

(5) The persons referred to in sub-paragraph (4) are –

(a) the contractor, where he is an individual medical practitioner;

(b) in the case of a contract with two or more individuals practising in partnership, a partner in that partnership;

(c) in the case of a contract with a company, a legal and beneficial owner of shares in that company;

(d) a member of the contractor’s staff;

(e) a person engaged by the contractor to perform or assist in the performance of services under the contract; or

(f) any other person present –

(i) on the practice premises, or

(ii) in the place where services are being provided to the patient under the contract.

(6) The contractor shall record in writing –

(a) the date of any warning given in accordance with sub-paragraph (3) and the reasons for giving such a warning as explained to the patient; or

(b) the reason why no such warning was given.

(7) The contractor shall keep a written record of removals under this paragraph which shall include –

(a) the reason for removal given to the patient;

(b) the circumstances of the removal; and

(c) in cases where sub-paragraph (2) applies, the grounds for a more specific reason not being appropriate,

and shall make this record available to the Board on request.

(8) A removal requested in accordance with sub-paragraph (1) shall, subject to sub-paragraph (9), take effect from –

(a) the date on which the Board receives notification of the registration of the person with another provider of essential services (or their equivalent); or

(b) the eighth day after the Board receives the notice referred to in sub-paragraph (1)(a),

whichever is the sooner.

(9) Where, on the date on which the removal would take effect under sub-paragraph (8), the contractor is treating the patient at intervals of less than seven days, the contractor shall notify the Board in writing of the fact and the removal shall take effect –

(a) on the eighth day after the Board receives notification from the contractor that the person no longer needs such treatment; or

(b) on the date on which the Board receives notification of the registration of the person with another provider of essential services (or their equivalent),

whichever is the sooner.

(10) The Board shall notify in writing –

(a) the patient; and

(b) the contractor,

that the patient’s name has been or will be removed from the contractor’s list of patients on the date referred to in sub-paragraph (8) or (9).

Commencement Information

I20 Sch. 5 para. 20 in operation at 29.3.2004, see reg. 1

Removals from the list of patients who are violent N.I.

21.—(1) A contractor which wishes a patient to be removed from his list of patients with immediate effect on the grounds that –

(a) the patient has committed an act of violence against any of the persons specified in sub-paragraph (2) or behaved in such a way that any such person has feared for his safety; and

(b) he has reported the incident to the police,

shall notify the Board in accordance with sub-paragraph (3).

(2) The persons referred to in sub-paragraph (1) are –

(a) the contractor where he is a medical practitioner;

(b) in the case of a contract with two or more individuals practising in partnership, any partner in that partnership;

(c) in the case of a contract with a company, a legal and beneficial owner of shares in that company;

(d) a member of the contractor’s staff;

(e) a person engaged by the contractor to perform or assist in the performance of services under the contract; or

(f) any other person present –

(i) on the practice premises, or

(ii) in the place where services were provided to the patient under contract.

(3) Notification under sub-paragraph (1) may be given by any means including telephone or fax but if not given in writing shall subsequently be confirmed in writing within seven days (and for this purpose a faxed notification is not a written one).

(4) The Board shall acknowledge in writing receipt of a request from the contractor under sub-paragraph (1).

(5) A removal requested in accordance with sub-paragraph (1) shall take effect at the time that the contractor –

(a) makes the telephone call to the Board; or

(b) sends or delivers the notification to the Board.

(6) Where, pursuant to this paragraph, the contractor has notified the Board that he wishes to have a patient removed from his list of patients, it shall inform the patient concerned unless –

(a) it is not reasonably practicable for it to do so; or

(b) it has reasonable grounds for believing that to do so would –

(i) be harmful to the physical or mental health of the patient; or

(ii) put at risk the safety of one or more of the persons specified in sub-paragraph (2).

(7) Where the Board has removed a patient from the contractor’s list of patients in accordance with sub-paragraph (5), it shall give written notice of the removal to that patient.

(8) Where a patient is removed from the contractor’s list of patients in accordance with this paragraph, the contractor shall record in the patient’s medical records that the patient has been removed under this paragraph and the circumstances leading to his removal.

Commencement Information

I21 Sch. 5 para. 21 in operation at 29.3.2004, see reg. 1

Removals from the list of patients registered elsewhere N.I.

22.—(1) The Board shall remove a patient from the contractor’s list of patients if –

(a) the patient has subsequently been registered with another provider of essential services (or their equivalent) in the area of the Board; or

(b) it has received notice from another Board, a Primary Care Trust, a Local Health Board or a Health Board that the patient has subsequently been registered with a provider of essential services (or their equivalent) outside the area of the Board.

(2) A removal in accordance with sub-paragraph (1) shall take effect –

(a) on the date on which the Board receives notification of the registration of the person with the new provider; or

(b) with the consent of the Board, on such other date as has been agreed between the contractor and the new provider.

(3) The Board shall notify the contractor in writing of persons removed from his list of patients under sub-paragraph (1).

Commencement Information

I22 Sch. 5 para. 22 in operation at 29.3.2004, see reg. 1

Removals from the list of patients who have moved N.I.

23.—(1) Subject to sub-paragraph (2), where the Board is satisfied that a person on the contractor’s list of patients has moved and no longer resides in that contractor’s practice area, the Board shall –

(a) inform that patient and the contractor that the contractor is no longer obliged to visit and treat the person;

(b) advise the patient in writing either to obtain the contractor’s agreement to the continued inclusion of the person on his list of patients or to apply for registration with another provider of essential services (or their equivalent); and

(c) inform the patient that if, after the expiration of 30 days from and including the date of the advice mentioned in paragraph (b), he has not acted in accordance with the advice and informed it accordingly, the Board will remove him from the contractor’s list of patients.

(2) If, at the expiration of the period of 30 days referred to in sub-paragraph (1)(c), the Board has not been notified of the action taken, it shall remove the patient from the contractor’s list of patients and inform him and the contractor accordingly.

Commencement Information

I23 Sch. 5 para. 23 in operation at 29.3.2004, see reg. 1

24.  Where the address of a patient who is on the contractor’s list of patients is no longer known to the Board, the Board shall –

(a) give to the contractor notice in writing that it intends, at the end of the period of six months commencing with the date of the notice, to remove the patient from the contractor’s list of patients; and

(b) at the end of that period, remove the patient from the contractor’s list of patients unless, within that period, the contractor satisfies the Board that he is still responsible for providing essential services to that patient.

Commencement Information

I24 Sch. 5 para. 24 in operation at 29.3.2004, see reg. 1

Removals from the list of patients absent from the United Kingdom etc. N.I.

25.—(1) The Board shall remove a patient from the contractor’s list of patients where it receives notification that that patient –

(a) intends to be away from the United Kingdom for a period of at least three months;

(b) is in Her Majesty’s Forces;

(c) is serving a prison sentence of more than two years or sentences totalling in the aggregate more than that period;

(d) has been absent from the United Kingdom for a period of more than three months; or

(e) has died.

(2) A removal in accordance with sub-paragraph (1) shall take effect –

(a) in the cases referred to in sub-paragraph (1)(a) to (c) from the date of the departure, enlistment or imprisonment or the date on which the Board first receives notification of the departure, enlistment or imprisonment whichever is the later; or

(b) in the cases referred to in sub-paragraph (1)(d) and (e) from the date on which the Board first receives notification of the absence or death.

(3) The Board shall notify the contractor in writing of patients removed from his list of patients under sub-paragraph (1).

Commencement Information

I25 Sch. 5 para. 25 in operation at 29.3.2004, see reg. 1

Removals from the list of patients accepted elsewhere as temporary residents N.I.

26.—(1) The Board shall remove from the contractor’s list of patients a patient who has been accepted as a temporary resident by another contractor or other provider of essential services (or their equivalent) where it is satisfied, after due inquiry –

(a) that the patient’s stay in the place of temporary residence has exceeded three months; and

(b) that he has not returned to his normal place of residence or any other place within the contractor’s practice area.

(2) The Board shall notify in writing of a removal under sub-paragraph (1) –

(a) the contractor; and

(b) where practicable, the patient.

(3) A notification to the patient under sub-paragraph (2)(b) shall inform him of –

(a) his entitlement to make arrangements for the provision to him of essential services (or their equivalent), including by the contractor by which he has been treated as a temporary resident; and

(b) the name and address of the Board in whose area he is resident.

Commencement Information

I26 Sch. 5 para. 26 in operation at 29.3.2004, see reg. 1

Removals from the list of pupils etc. of a school N.I.

27.—(1) Where the contractor provides essential services under the contract to persons on the grounds that they are pupils at or staff or residents of a school, the Board shall remove from the contractor’s list of patients any such persons who do not appear on particulars of persons who are pupils at or staff or residents of that school provided by that school.

(2) Where the Board has made a request to a school to provide the particulars mentioned in sub-paragraph (1) and has not received them, it shall consult the contractor as to whether it should remove from his list of patients any persons appearing on that list as pupils at, or staff or residents of, that school.

(3) The Board shall notify the contractor in writing of patients removed from his list of patients under sub-paragraph (1).

Commencement Information

I27 Sch. 5 para. 27 in operation at 29.3.2004, see reg. 1

Termination of responsibility for patients not registered with the contractor N.I.

28.—(1) Where a contractor –

(a) has received an application for the provision of medical services other than essential services –

(i) from a person who is not included in his list of patients,

(ii) from a person whom he has not accepted as a temporary resident, or

(iii) on behalf of a person mentioned in head (a)(i) or (ii), from one of the persons specified in paragraph 15(4); and

(b) has accepted that person as a patient for the provision of the service in question,

his responsibility for that patient shall be terminated in the circumstances referred to in sub-paragraph (2).

(2) The circumstances referred to in sub-paragraph (1) are –

(a) the patient informs the contractor that he no longer wishes him to be responsible for provision of the service in question;

(b) in cases where the contractor has reasonable grounds for terminating his responsibility which do not relate to the person’s race, gender, social class, marital status, age, religion, political opinion, sexual orientation, appearance, disability, medical condition or whether or not the patient has dependants, the contractor informs the patient that he no longer wishes to be responsible for providing him with the service in question; or

(c) it comes to the notice of the contractor that the patient –

(i) no longer resides in the area for which the contractor has agreed to provide the service in question; or

(ii) is no longer included in the list of patients of an other contractor to whose registered patients the contractor has agreed to provide that service.

(3) A contractor which wishes to terminate his responsibility for a patient under sub-paragraph (2)(b) shall notify the patient of the termination and the reason for it.

(4) The contractor shall keep a written record of terminations under this paragraph and of the reasons for them and shall make this record available to the Board on request.

(5) A termination under sub-paragraph (2)(b) shall take effect –

(a) from the date on which the notice is given where the grounds for termination are those specified in paragraph 21(1); or

(b) in all other cases, 14 days from the date on which the notice is given.

Commencement Information

I28 Sch. 5 para. 28 in operation at 29.3.2004, see reg. 1

Closure of lists of patients N.I.

29.—(1) A contractor which wishes to close his list of patients shall notify the Board in writing to that effect.

(2) Within a period of 7 days beginning with and including the date of receipt of the notification referred to in sub-paragraph (1), or, if that is not reasonably practicable as soon as is practicable thereafter, the Board shall enter into discussions with the contractor concerning the support which the Board may give the contractor, or other changes which the Board or the contractor may make, which would enable the contractor to keep his list of patients open.

(3) In the discussions referred to in sub-paragraph (2), both parties shall use reasonable endeavours to achieve the aim of keeping the contractor’s list of patients open.

(4) The discussions mentioned in sub-paragraph (2) shall be completed within a period of 28 days beginning with and including the date of the Board’s receipt of the notification referred to in sub-paragraph (1), or within such longer period as the parties may agree.

(5) If, following the discussions mentioned in sub-paragraph (2), the Board and the contractor reach agreement that the contractor’s list of patients should remain open, the Board shall send full details of the agreement in writing to the contractor.

(6) The Board and the contractor shall comply with the terms of an agreement reached as mentioned in sub-paragraph (5).

(7) If, following the discussions mentioned in sub-paragraph (2) –

(a) the Board and the contractor reach agreement that the contractor’s list of patients should close; or

(b) the Board and the contractor fail to reach agreement and the contractor still wishes to close his list of patients,

the contractor shall send a closure notice to the Board.

(8) A closure notice shall be submitted in the form specified in Schedule 6, and shall include the following details which (in a case falling within sub-paragraph (7)(a)) have been agreed between the parties or (in a case falling within sub-paragraph (7)(b)) are proposed by the contractor –

(a) the period of time (which may not exceed 12 months) for which the contractor’s list of patients will be closed;

(b) the current number of the contractor’s registered patients;

(c) the number of registered patients (lower than the current number of such patients, and expressed either in absolute terms or as a percentage of the number of such patients specified pursuant to head (b)) which, if that number were reached, would trigger the re-opening of the contractor’s list of patients;

(d) the number of registered patients (expressed either in absolute terms or as a percentage of the number of such patients specified pursuant to head (b)) which, if that number were reached, would trigger the re-closure of the contractor’s list of patients; and

(e) any withdrawal from or reduction in provision of any additional or enhanced services which had previously been provided under the contract.

(9) The Board shall forthwith acknowledge receipt of the closure notice in writing to the contractor.

(10) Before the Board reaches a decision as to whether to approve or reject the closure notice under sub-paragraph (12), the Board and the contractor may enter into further discussions concerning the details of the closure notice as referred to in sub-paragraph (8), with a view to reaching agreement; and, in particular, if the parties are unable to reach agreement regarding the period of time for which the contractor’s list of patients will be closed, that period shall be 12 months.

(11) A contractor may not withdraw a closure notice for a period of three months beginning with and including the date on which the Board has received the notice, unless the Board has agreed otherwise in writing.

(12) Within a period of 14 days beginning with and including the date of receipt of the closure notice, the Board shall –

(a) approve the closure notice; or

(b) reject the closure notice,

and shall notify the contractor of its decision in writing as soon as possible.

(13) Approval of the closure notice under sub-paragraph (12)(a) includes approval of the details specified in accordance with sub-paragraph (8) or, where those details are revised following discussions under sub-paragraph (10), approval of those details as so revised.

Commencement Information

I29 Sch. 5 para. 29 in operation at 29.3.2004, see reg. 1

Approval of closure notice by the Board N.I.

30.—(1) If the Board approves the closure notice in accordance with paragraph 29(12)(a), the contractor shall close his list of patients –

(a) with effect from a date agreed between the Board and the contractor; or

(b) if no such agreement has been reached, with effect from the date on which the contractor receives notification of the Board’s decision to approve the closure notice.

(2) Subject to sub-paragraph (3), the contractor’s list of patients shall remain closed for the period specified in the closure notice in accordance with paragraph 29(8)(a) (or, where the period of 12 months specified in paragraph 29(10) applies, for that period).

(3) The contractor’s list of patients shall re-open before the expiry of the period mentioned in sub-paragraph (2) if –

(a) the number of the contractor’s registered patients falls to the number specified in the closure notice in accordance with paragraph 29(8)(c); or

(b) the Board and the contractor agree that the list of patients should re-open.

(4) If the contractor’s list of patients has re-opened pursuant to sub-paragraph (3)(a), it shall nevertheless close again if, during the period specified in the closure notice in accordance with paragraph 29(8)(a) (or, where the period of 12 months specified in paragraph 29(10) applies, during that period) the number of the contractor’s registered patients rises to the number specified in the closure notice in accordance with paragraph 29(8)(d).

(5) Except in cases where the contractor’s list of patients is already open pursuant to sub-paragraph (3), the Board shall notify the contractor in writing between 7 and 14 days before the expiry of the period of closure specified in sub-paragraph (2), confirming the date on which the contractor’s list of patients will re-open.

(6) Where the details specified in the closure notice in accordance with paragraph 29(8) have been revised following discussions under paragraph 29(10), references in this paragraph to details specified in the closure notice are references to those details as so revised.

Commencement Information

I30 Sch. 5 para. 30 in operation at 29.3.2004, see reg. 1

Rejection of closure notice by the Board N.I.

31.—(1) This regulation applies where the Board rejects the closure notice in accordance with paragraph 29(12)(b).

(2) The contractor and the Board may not refer the matter for determination in accordance with the dispute resolution procedure (or, where applicable, commence court proceedings) until the assessment panel has given its determination in accordance with the following sub-paragraphs.

(3) The Board must ensure that the assessment panel is appointed as soon as is practicable to consider and determine whether the contractor should be permitted to close his list of patients, and if so, the terms on which he should be permitted to do so.

(4) The Board shall provide the assessment panel with such information as the assessment panel may reasonably require to enable it to reach a determination and shall include in such information any written observations received from the contractor.

(5) The members of the assessment panel shall be –

(a) the Chief Executive of the Board of which the assessment panel is a committee or sub-committee;

(b) a person representative of the patients in an area other than that of the Board which is a party to the contract; and

(c) a person representative of a Local Medical Committee which does not represent practitioners in the area of the Board which is a party to the contract.

(6) At least one member of the assessment panel shall visit the contractor before reaching a determination under sub-paragraph (7).

(7) Within the period of 28 days beginning with and including the date on which the Board rejected the closure notice, the assessment panel shall –

(a) approve the list closure; or

(b) reject the list closure,

and shall notify the Board and the contractor of its determination in writing as soon as possible.

(8) Where the assessment panel determines in accordance with sub-paragraph (7)(a) that the contractor’s list of patients should close, it shall specify –

(a) a date from which the closure shall take effect, which must be within a period of 7 days beginning with and including the date of the assessment panel’s determination; and

(b) those details specified in paragraph 29(8).

(9) Where the assessment panel determines in accordance with sub-paragraph (7)(b) that the contractor’s list of patients may not close, that list shall remain open, and the Board and the contractor shall enter into discussions with a view to ensuring that the contractor receives support from the Board which will enable him to continue to provide services safely and effectively.

(10) Where the assessment panel determines in accordance with sub-paragraph (7)(b) that the contractor’s list of patients may not close, the contractor may not submit a further closure notice as described in paragraph 29 until –

(a) the expiry of a period of three months beginning with and including the date of the assessment panel’s determination; or

(b) (if applicable) the final determination of the dispute resolution procedure (or any court proceedings),

whichever is the later, unless there has been a change in the circumstances of the contractor which affects his ability to deliver services under the contract.

Commencement Information

I31 Sch. 5 para. 31 in operation at 29.3.2004, see reg. 1

Assignment of patients to lists: open lists N.I.

32.—(1) A Board may, subject to paragraph 34, assign a new patient to a contractor whose list of patients is open.

(2) In this paragraph and in paragraphs 33 and 35 to 37, a “new” patient means a person who –

(a) is resident (whether or not temporarily) within the area of the Board;

(b) has been refused inclusion in a list of patients of, or has not been accepted as a temporary resident by, a contractor whose premises are within such an area; and

(c) wishes to be included in the list of patients of a contractor whose practice premises are within that area.

Commencement Information

I32 Sch. 5 para. 32 in operation at 29.3.2004, see reg. 1

Assignment of patients to lists: closed lists N.I.

33.—(1) A Board may not assign a new patient to a contractor which has closed his list of patients except in the circumstances specified in sub-paragraph (2).

(2) A Board may, subject to paragraph 34, assign a new patient to a contractor whose practice premises are within the Board’s area and which has closed his list of patients, if –

(a) most or all of the providers of essential services (or their equivalent) whose practice premises are within the Board’s area have closed their lists of patients;

(b) the assessment panel has determined under paragraph 35(7) that patients may be assigned to the contractor in question, and that determination has not been overturned either by a determination of the Department under paragraph 36(13) or (where applicable) by a court; and

(c) the Board has entered into discussions with the contractor in question regarding the assignment of a patient if such discussions are required under paragraph 37.

Commencement Information

I33 Sch. 5 para. 33 in operation at 29.3.2004, see reg. 1

Factors relevant to assignments N.I.

34.  In making an assignment to a contractor under paragraph 32 or 33, the Board shall have regard to –

(a) the wishes and circumstances of the patient to be assigned;

(b) the distance between the patient’s place of residence and the contractor’s practice premises;

(c) whether, during the six months ending on the date on which the application for assignment is received by the Board, the patient’s name has been removed from the list of patients of any contractor in the area of the Board under paragraph 20 or its equivalent provision in relation to an Article 15B provider in the area of the Board;

(d) whether the patient’s name has been removed from the list of patients of any contractor in the area of the Board under paragraph 21 or its equivalent provision in relation to an Article 15B provider in the area of the Board and, if so, whether the contractor has appropriate facilities to deal with such a patient;

(e) such other matters as the Board considers to be relevant.

Commencement Information

I34 Sch. 5 para. 34 in operation at 29.3.2004, see reg. 1

Assignments to closed lists: determinations of the assessment panel N.I.

35.—(1) This paragraph applies where most or all of the providers of essential services (or their equivalent) whose practice premises are within the area of a Board have closed their lists of patients.

(2) If the Board wishes to assign new patients to contractors which have closed their lists of patients, it must prepare a proposal to be considered by the assessment panel which must include details of those contractors to which the Board wishes to assign patients.

(3) The Board must ensure that the assessment panel is appointed to consider and determine its proposal made under sub-paragraph (2), and the composition of the assessment panel shall be as described in paragraph 31(5).

(4) The Board shall notify in writing –

(a) contractors or Article 15B providers whose practice premises are within the Board’s area which –

(i) have closed their list of patients, and

(ii) may, in the opinion of the Board, be affected by the determination of the assessment panel; and

(b) the Local Medical Committee for the area of the Board,

that it has referred the matter to the assessment panel.

(5) In reaching its determination, the assessment panel shall have regard to relevant factors including –

(a) whether the Board has attempted to secure the provision of essential services (or their equivalent) for new patients other than by means of their assignment to contractors with closed lists of patients; and

(b) the workload of those contractors likely to be affected by any decision to assign such patients to their list of patients.

(6) The assessment panel shall reach a determination within the period of 28 days beginning with and including the date on which the panel was appointed.

(7) The assessment panel shall determine whether the Board may assign patients to contractors which have closed their lists of patients; and if it determines that the Board may make such assignments, it shall also determine those contractors to which patients may be assigned.

(8) The assessment panel may determine that the Board may assign patients to contractors other than those contractors specified by the Board in its proposal under sub-paragraph (2), as long as the contractors were notified under sub-paragraph (4)(a).

(9) The assessment panel’s determination shall include its comments on the matters specified in sub-paragraph (5), and shall be notified in writing to those contractors which were notified under sub-paragraph (4)(a).

Commencement Information

I35 Sch. 5 para. 35 in operation at 29.3.2004, see reg. 1

Assignments to closed lists: dispute resolution procedure relating to determinations of the assessment panel N.I.

36.—(1) Where an assessment panel makes a determination under paragraph 35(7) that the Board may assign new patients to contractors which have closed their lists of patients, any contractor specified in that determination may refer the matter to the Department to review the determination of the assessment panel.

(2) Where a matter is referred to the Department in accordance with sub-paragraph (1), it shall be reviewed in accordance with the procedure specified in the following sub-paragraphs.

(3) Where more than one contractor specified in the determination in accordance with paragraph 35(7) wishes to refer the matter for dispute resolution, those contractors may, if they all agree, refer the matter jointly, and in that case the Department shall review the matter in relation to those contractors together.

(4) Within the period of 7 days beginning with and including the date of the determination by the assessment panel in accordance with paragraph 35(7), the contractor shall send to the Department a written request for dispute resolution which shall include or be accompanied by –

(a) the names and addresses of the parties to the dispute;

(b) a copy of the contract (or contracts); and

(c) a brief statement describing the nature and circumstances of the dispute.

(5) Within the period of 7 days beginning with and including the date on which the matter was referred to it, the Department shall –

(a) give to the parties notice in writing that it is dealing with the matter; and

(b) include with the notice a written request to the parties to make in writing within a specified period any representations which they may wish to make about the dispute.

(6) The Department shall give, with the notice given under sub-paragraph (5), to the party, other than the one which referred the matter to dispute resolution, a copy of any document by which the dispute was referred to dispute resolution.

(7) The Department shall, upon receiving any representations from a party, give a copy of them to the other party, and shall in each case request (in writing) a party to which a copy of the representations is given to make within a specified period any written observations which it wishes to make on those representations.

(8) For the purpose of assisting it in its consideration of the matter, the Department may –

(a) invite representatives of the parties to appear before it to make oral representations either together or, with the agreement of the parties, separately, and may in advance provide the parties with a list of matters or questions to which it wishes them to give special consideration; or

(b) consult other persons whose expertise it considers will assist it in its consideration of the dispute.

(9) Where the Department consults another person under sub-paragraph (8)(b), it shall notify the parties accordingly in writing and, where it considers that the interests of any party might be substantially affected by the result of the consultation, it shall give to the parties such opportunity as it considers reasonable in the circumstances to make observations on those results.

(10) In considering the dispute, the Department shall consider –

(a) any written representations made in response to a request under sub-paragraph (5)(b), but only if they are made within the specified period;

(b) any written observations made in response to a request under sub-paragraph (7), but only if they are made within the specified period;

(c) any oral representations made in response to an invitation under sub-paragraph (8)(a);

(d) the results of any consultation under sub-paragraph (8)(b); and

(e) any observations made in accordance with an opportunity given under sub-paragraph (9).

(11) Subject to the other provisions of this paragraph and to any agreement by the parties, the Department shall have wide discretion in determining the procedure of the dispute resolution to ensure the just, expeditious, economical and final determination of the dispute.

(12) In this paragraph, “specified period” means such period as the Department shall specify in the request, being not less than one, nor more than two, weeks beginning with and including the date on which the notice referred to is given, but the Department may, if the period for determination of the dispute has been extended in accordance with sub-paragraph (16), extend any such period (even after it has expired) and, where it does so, a reference in this paragraph to the specified period is to the period as so extended.

(13) Subject to sub-paragraph (16), within the period of 21 days beginning with and including the date on which the matter was referred to it, the Department shall determine whether the Board may assign patients to contractors which have closed their lists of patients; and if it determines that the Board may make such assignments, it shall also determine those contractors to which patients may be assigned.

(14) The Department may not determine that patients may be assigned to a contractor which was not specified in the determination of the assessment panel under paragraph 35(7).

(15) In the case of a matter referred jointly by contractors in accordance with sub-paragraph (3), the Department may determine that patients may be assigned to one, some or all of the contractors which referred the matter.

(16) The period of 21 days referred to in sub-paragraph (13) may be extended (even after it has expired) by a further specified number of days if an agreement to that effect is reached by –

(a) the Department;

(b) the Board; and

(c) the contractor which referred the matter to dispute resolution.

(17) The Department shall record its determination, and the reasons for it, in writing and shall give notice of the determination (including the record of the reasons) to the parties.

Commencement Information

I36 Sch. 5 para. 36 in operation at 29.3.2004, see reg. 1

Assignments to closed lists: assignments of patients by a Board N.I.

37.—(1) Before the Board may assign a new patient to a contractor, it shall, subject to sub-paragraph (3), enter into discussions with that contractor regarding additional support that the Board can offer the contractor, and the Board shall use its best endeavours to provide appropriate support.

(2) In the discussions referred to in sub-paragraph (1), both parties shall use reasonable endeavours to reach agreement.

(3) The requirement in sub-paragraph (1) to enter into discussions applies –

(a) to the first assignment of a patient to a particular contractor; and

(b) to any subsequent assignment to that contractor to the extent that it is reasonable and appropriate having regard to the numbers of patients who have been or may be assigned to him and the period of time since the last discussions under sub-paragraph (1) took place.

Commencement Information

I37 Sch. 5 para. 37 in operation at 29.3.2004, see reg. 1

PART 3 N.I. prescribing and dispensing

Prescribing N.I.

38.  The contractor shall ensure that any prescription form for drugs, medicines or appliances issued by a prescriber complies as appropriate with the requirements in paragraphs 39, 40 and 41.

Commencement Information

I38 Sch. 5 para. 38 in operation at 29.3.2004, see reg. 1

39.—(1) Subject to paragraphs 40 and 41, a prescriber shall order any drugs, medicines or appliances which are needed for the treatment of any patient who is receiving treatment under the contract by issuing to that patient a prescription form and such a prescription form shall not be used in any other circumstances.

(2) In issuing any such prescription form the prescriber shall himself sign the prescription form in ink with his initials, or forenames, and surname in his own handwriting and not by means of a stamp and shall so sign only after particulars of the order have been inserted in the prescription form, and –

(a) the prescription form shall not refer to any previous prescription form; and

(b) a separate prescription form shall be used for each patient.

(3) Where a prescriber orders the drug buprenorphine or a drug specified in Schedule 2 to the Misuse of Drugs Regulations (Northern Ireland) 2002 (controlled drugs to which regulations 14, 15, 16, 18, 19, 20, 21, 23, 26 and 27 of those Regulations apply)(1) for supply by instalments for treating addiction to any drug specified in that Schedule, he shall –

(a) specify the number of instalments to be dispensed and the interval between each instalment; and

(b) order only such quantity of the drug as will provide treatment for a period not exceeding 14 days.

(4) In a case of urgency a prescriber may request a chemist to dispense a drug or medicine before a prescription form is issued, only if –

(a) that drug or medicine is not a Scheduled drug;

(b) that drug is not a controlled drug within the meaning of the Misuse of Drugs Act 1971(2), other than a drug which is for the time being specified in Schedules 4 or 5 to the Misuse of Drugs Regulations (Northern Ireland) 2002(3); and

(c) he undertakes to furnish the chemist, within 72 hours, with a prescription form completed in accordance with sub-paragraph (3).

(5) In a case of urgency a prescriber may request a chemist to dispense an appliance before a prescription form is issued only if –

(a) that appliance does not contain a Scheduled drug or a controlled drug within the meaning of the Misuse of Drugs Act 1971, other than a drug which is for the time being specified in Schedule 5 to the Misuse of Drugs Regulations (Northern Ireland) 2002;

(b) in the case of a restricted availability appliance, the patient is a person, or it is for a purpose, specified in the Drug Tariff; and

(c) he undertakes to furnish the chemist, within 72 hours, with a prescription form completed in accordance with sub-paragraph (3).

Commencement Information

I39 Sch. 5 para. 39 in operation at 29.3.2004, see reg. 1

Restrictions on prescribing by medical practitioners N.I.

40.—(1) In the course of treating a patient to whom he is providing treatment under the contract, a medical practitioner shall not order on a prescription form a drug, medicine or other substance specified in any directions given by the Department under Article 57D of the Order(4) as being drugs, medicines or other substances which may not be ordered for patients in the provision of medical services under the contract but may, subject to regulation 24(2)(b), prescribe such a drug, medicine or other substance for that patient in the course of that treatment under a private arrangement.

(2) In the course of treating a patient to whom he is providing treatment under the contract, a medical practitioner shall not order on a prescription form a drug, medicine or other substance specified in any directions given by the Department under Article 57D of the Order as being a drug, medicine or other substance which can only be ordered for specified patients and specified purposes unless –

(a) that patient is a person of the specified description;

(b) that drug, medicine or other substance is prescribed for that patient only for the specified purpose; and

(c) the practitioner endorses the form with the reference “SL2”,

but may, subject to regulation 24(2)(b), prescribe such a drug, medicine or other substance for that patient in the course of that treatment under a private arrangement.

(3) In the course of treating a patient to whom he is providing treatment under the contract, a medical practitioner shall not order on a prescription form a restricted availability appliance unless –

(a) the patient is a person, or it is for a purpose, specified in the Drug Tariff; and

(b) the practitioner endorses the face of the form with the reference “SL2”,

but may, subject to regulation 24(2)(b), prescribe such an appliance for that patient in the course of that treatment under a private arrangement.

Commencement Information

I40 Sch. 5 para. 40 in operation at 29.3.2004, see reg. 1

Restrictions on prescribing by supplementary prescribers N.I.

41.—(1) The contractor shall have arrangements in place to secure that a supplementary prescriber will –

(a) give a prescription for a prescription only medicine;

(b) administer a prescription only medicine for parenteral administration; or

(c) give directions for the administration of a prescription only medicine for parenteral administration,

as a supplementary prescriber only under the conditions set out in sub-paragraph (2).

(2) The conditions referred to in sub-paragraph (1) are that –

(a) the person satisfies the applicable conditions set out in Article 3B(3) of the POM Order (prescribing and administration by supplementary prescribers)(5), unless those conditions do not apply by virtue of any of the exemptions set out in the subsequent provisions of that Order;

(b) the medicine is not a controlled drug within the meaning of the Misuse of Drugs Act 1971;

(c) the drug, medicine or other substance is not specified in any directions given by the Department under Article 57D of the Order(6) as being a drug, medicine or other substance which may not be ordered for patients in the provision of medical services under the contract;

(d) the drug, medicine or other substance is not specified in any directions given by the Department under Article 57D of the Order as being a drug, medicine or other substance which can only be ordered for specified patients and specified purposes unless –

(i) the patient is a person of the specified description,

(ii) the medicine is prescribed for that patient only for the specified purposes, and

(iii) if a supplementary prescriber is giving a prescription, he endorses the face of the form with the reference “SL2”.

(3) Where the functions of a supplementary prescriber include prescribing, the contractor shall have arrangements in place to secure that that person will only give a prescription for –

(a) an appliance; or

(b) a medicine which is not a prescription only medicine,

as a supplementary prescriber under the conditions set out in sub-paragraph (4).

(4) The conditions referred to in sub-paragraph (3) are that –

(a) the supplementary prescriber acts in accordance with a clinical management plan which is in effect at the time he acts and which contains the following particulars –

(i) the name of the patient to whom the plan relates,

(ii) the illness or conditions which may be treated by the supplementary prescriber,

(iii) the date on which the plan is to take effect, and when it is to be reviewed by the medical practitioner or dentist who is a party to the plan,

(iv) reference to the class or description of medicines or types of appliances which may be prescribed or administered under the plan,

(v) any restrictions or limitations as to the strength or dose of any medicine which may be prescribed or administered under the plan, and any period of administration or use of any medicine or appliance which may be prescribed or administered under the plan,

(vi) relevant warnings about known sensitivities of the patient to, or known difficulties of the patient with, particular medicines or appliances,

(vii) the arrangements for notification of –

(aa) suspected or known adverse reactions to any medicine which may be prescribed or administered under the plan, and suspected or known adverse reactions to any other medicine taken at the same time as any medicine prescribed or administered under the plan,

(bb) incidents occurring with the appliance which might lead, might have led or has led to the death or serious deterioration of state of health of the patient, and

(viii) the circumstances in which the supplementary prescriber should refer to, or seek the advice of, the medical practitioner or dentist who is a party to the plan;

(b) he has access to the health records of the patient to whom the plan relates which are used by any medical practitioner or dentist who is a party to the plan;

(c) if it is a prescription for a medicine, the medicine is not a controlled drug within the meaning of the Misuse of Drugs Act 1971;

(d) if it is a prescription for a drug, medicine or other substance, that drug, medicine or other substance is not specified in any directions given by the Department under Article 57D of the Order as being a drug, medicine or other substance which may not be ordered for patients in the provision of medical services under the contract;

(e) if it is a prescription for a drug, medicine or other substance, that drug, medicine or other substance is not specified in any directions given by the Department under Article 57D of the Order as being a drug, medicine or other substance which can only be ordered for specified patients and specified purposes unless –

(i) the patient is a person of the specified description,

(ii) the medicine is prescribed for that patient only for the specified purposes, and

(iii) when giving the prescription, he endorses the face of the form with the reference “SL2”;

(f) if it is a prescription for a medicine –

(i) the medicine is the subject of a product licence, a marketing authorisation or a homeopathic certificate of registration granted by the licensing authority or the European Commission, or

(ii) subject to sub-paragraph (6), the use of the medicine is for the purposes of a clinical trial, and

(aa) that trial is subject of a clinical trial certificate issued in accordance with the Medicines Act 1968(7), or

(bb) a clinical trial certificate is not needed in respect of that trial by virtue of any exemption conferred by or under that Act;

(g) if it is a prescription for an appliance, the appliance is listed in Part IX of the Drug Tariff; and

(h) if it is a prescription for a restricted availability appliance –

(i) the patient is a person of a description mentioned in the entry in Part IX of the Drug Tariff in respect of that appliance,

(ii) the appliance is prescribed only for the purposes specified in respect of that person in that entry, and

(iii) when giving the prescription, he endorses the face of the form with the reference “SL2”.

(5) In sub-paragraph (4)(a), “clinical management plan” means a written plan (which may be amended from time to time) relating to the treatment of an individual patient agreed by –

(a) the patient to whom the plan relates;

(b) the medical practitioner or dentist who is a party to the plan; and

(c) any supplementary prescriber who is to prescribe, give directions for administration or administer under the plan.

(6) In relation to any time from the coming into operation of any regulations made by the Secretary of State under section 2(2) of the European Communities Act 1972 (general implementation of treaties)(8), to implement Directive 2001/83/EC on the Community code relating to medicinal products for human use(9), sub-paragraph (f)(ii) shall be read as if it referred to a clinical trial which has been authorised, or is treated as having been authorised by licensing authority for the purposes of those Regulations.

Commencement Information

I41 Sch. 5 para. 41 in operation at 29.3.2004, see reg. 1

Interpretation of paragraphs 38, 39, 40 and 41 N.I.

42.  For the purposes of paragraphs 38, 39, 40 and 41 in their application to a contractor whose contract includes the provision of contraceptive services, drugs includes contraceptive substances and appliances includes contraceptive appliances.

Commencement Information

I42 Sch. 5 para. 42 in operation at 29.3.2004, see reg. 1

Excessive prescribing N.I.

43.—(1) The contractor shall not prescribe drugs, medicines or appliances whose cost or quantity, in relation to any patient, is, by reason of the character of the drug, medicine or appliance in question in excess of that which was reasonably necessary for the proper treatment of that patient.

(2) In considering whether a contractor has breached his obligations under sub-paragraph (1), the Board shall seek the views of the Local Medical Committee (if any) for its area.

Commencement Information

I43 Sch. 5 para. 43 in operation at 29.3.2004, see reg. 1

Provision of dispensing services N.I.

44.—(1) Without prejudice to any separate right a medical practitioner may have under regulation 12 of the Pharmaceutical Regulations (arrangements for provision of pharmaceutical services by doctors)(10), a contractor may provide dispensing services to his registered patients under the contract only if he is required to do so by the Board in accordance with the following provisions of this paragraph.

(2) A contractor may provide dispensing services to his registered patients only if he is required to do so by the Board in accordance with the following provisions of this paragraph.

(3) Where the Board, is satisfied that a person, by reason of –

(a) distance;

(b) inadequacy of means of communication; or

(c) other exceptional circumstances,

will have serious difficulty in obtaining from a chemist any drugs, medicines or appliances, other than scheduled drugs, required for that person’s treatment, the Board shall require the contractor with whom the person is a registered patient to supply such drugs, medicines and appliances to that person until further notice.

(4) Notwithstanding anything contained in sub-paragraph (3) –

(a) a contractor shall not be required to undertake the supply of drugs, medicines and appliances under sub-paragraph (3) if the contractor satisfies the Board that the contractor does not normally provide dispensing services under the contract;

(b) a contractor shall be entitled to receive reasonable notice from the Board that the contractor is required to undertake the supply of drugs, medicines and appliances under sub-paragraph (2) or that such supply is to be discontinued.

(5) A contractor which is required under this paragraph to provide dispensing services to some or all of his registered patients may provide any necessary dispensing services to a person whom that contractor has accepted as a temporary resident.

Commencement Information

I44 Sch. 5 para. 44 in operation at 29.3.2004, see reg. 1

Terms relating to the provision of dispensing services N.I.

45.—(1) A contractor which has been required to secure the provision of dispensing services under paragraph 44 shall ensure that dispensing services are provided in accordance with the following sub-paragraphs.

(2) Subject to sub-paragraphs (3) and (4), a contractor providing dispensing services shall –

(a) record an order for the provision of any drugs, medicines or appliances which are needed for the treatment of the patient on a prescription form completed in accordance with paragraph 39(3);

(b) provide those drugs, medicines or appliances in a suitable container;

(c) provide for the patient a drug or medicine specified in any directions given by the Department under Article 57D of the Order(11) as being a drug or medicine which can only be ordered for specified patients and specified purposes only if –

(i) that patient is a person of the specified description, and

(ii) the drug or medicine is supplied for that patient only for the specified purpose; and

(d) provide for the patient a restricted availability appliance only if the patient is a person, or it is for a purpose, specified in the Drug Tariff.

(3) Sub-paragraph (2) does not apply to drugs, medicines or appliances ordered on a prescription form by an independent nurse prescriber.

(4) Where a patient presents an order on a prescription form for drugs, medicines or appliances signed by an independent nurse prescriber, or an order for a restricted availability appliance signed by and endorsed on its face with the reference “SL2” by an independent nurse prescriber, to a contractor who may provide dispensing services, the contractor may provide to the patient such of the drugs, medicines or appliances so ordered as he supplies in the normal course of his practice.

(5) Drugs, medicines or appliances provided under sub-paragraph (4) shall be provided in a suitable container.

(6) A contractor providing dispensing services shall not provide for a patient a drug or medicine specified in any directions given by the Department under Article 57D of the Order as being drugs or medicines which may not be ordered for patients in the provision of medical services under the contract, except that, where it has ordered a drug or medicine which has an appropriate non-proprietary name either by the name or by its formula, it may provide a drug or medicine which has the same specification notwithstanding that it is a drug or medicine specified in such directions (but, in the case of a drug or medicine which combines more than one drug, only if the combination has an appropriate non-proprietary name).

(7) Subject to sub-paragraph (9), nothing in this paragraph shall prevent a contractor providing a Scheduled drug or a restricted availability appliance in the course of treating a patient under a private arrangement.

(8) A contractor providing dispensing services shall comply with paragraph 14A of Schedule 2 to the Pharmaceutical Regulations, as if modified as follows –

(a) for “paragraph 13(a)”, substitute “sub-paragraph (3)(a)”;

(b) for “paragraph 11A(2)”, substitute “sub-paragraph (5)”;

(c) for “a doctor who is required by the Board under regulation 12 to provide drugs and appliances to a patient”, substitute “a contractor providing dispensing services to a patient”; and

(d) for “doctor”, substitute “medical practitioner”.

(9) The provisions of regulation 24 (fees and charges) apply in respect of the provision of any drugs, medicines or appliances by a contractor providing dispensing services as they apply in respect of prescriptions for drugs, medicines or appliances.

(10) A contractor who is entitled to provide dispensing services may, with the consent of the patient, order a drug, medicine or appliance for a patient on a prescription form, rather than providing it himself.

Commencement Information

I45 Sch. 5 para. 45 in operation at 29.3.2004, see reg. 1

Dispensing contractor list N.I.

46.—(1) Where the contractor is required by the Board under paragraph 44 to provide dispensing services to his patients and is actually doing so, the Board shall include –

(a) the contractor’s name; and

(b) the address of the practice premises from which he is required to dispense,

on a list of such contractors (to be called the dispensing contractors list) which it shall prepare, maintain and publish.

(2) The Board shall remove the name of the contractor from the list referred to in sub-paragraph (1) where the contractor ceases to provide dispensing services to his patients.

Commencement Information

I46 Sch. 5 para. 46 in operation at 29.3.2004, see reg. 1

Provision of drugs, medicines and appliances for immediate treatment or personal administration N.I.

47.—(1) Subject to sub-paragraph (2), a contractor –

(a) shall provide to a patient any drug, medicine or appliance, not being a Scheduled drug, where such provision is needed for the immediate treatment of that patient before a provision can otherwise be obtained; and

(b) may provide to a patient any drug, medicine or appliance, not being a Scheduled drug, which he personally administers or applies to that patient,

but shall, in either case, provide a restricted availability appliance only if it is for a person or a purpose specified in the Drug Tariff.

(2) Nothing in sub-paragraph (1) authorises a person to supply any drug or medicine to a patient otherwise than in accordance with Part 3 of the Medicines Act 1968(12) or any regulations or orders made thereunder.

Commencement Information

I47 Sch. 5 para. 47 in operation at 29.3.2004, see reg. 1

PART 4 N.I. persons who perform services

Qualifications of performers N.I.

48.—(1) Subject to sub-paragraph (2), no medical practitioner shall perform medical services under the contract unless he is –

(a) included in the primary medical services performers list maintained by that Board;

(b) not suspended from that list or from the Medical Register; and

(c) not subject to interim suspension under section 41A of the Medical Act 1983(13).

(2) Sub-paragraph (1)(a) shall not apply in the case of –

(a) a medical practitioner employed by a Heath and Social Services Trust, (in Scotland) a Health Board, an NHS Trust or an NHS foundation trust who is providing services other than primary medical services at the practice premises;

(b) a person who is provisionally registered under section 15, 15A or 21 of the Medical Act 1983(14) acting in the course of his employment in a resident medical capacity in an approved medical practice; or

(c) a GP Registrar during the first two months of his training period.

Commencement Information

I48 Sch. 5 para. 48 in operation at 29.3.2004, see reg. 1

49.  No health care professional other than one to whom paragraph 48 applies shall perform clinical services under the contract unless he is appropriately registered with his relevant professional body and his registration is not currently suspended.

Commencement Information

I49 Sch. 5 para. 49 in operation at 29.3.2004, see reg. 1

50.  Where the registration of a health care professional or, in the case of a medical practitioner, his inclusion in a primary medical services performers list is subject to conditions, the contractor shall ensure compliance with those conditions insofar as they are relevant to the contract.

Commencement Information

I50 Sch. 5 para. 50 in operation at 29.3.2004, see reg. 1

51.  No health care professional shall perform any clinical services unless he has such clinical experience and training as are necessary to enable him properly to perform such services.

Commencement Information

I51 Sch. 5 para. 51 in operation at 29.3.2004, see reg. 1

Conditions for employment and engagement N.I.

52.—(1) Subject to sub-paragraphs (2) and (3), a contractor shall not employ or engage a medical practitioner (other than one falling within paragraph 48(2)), unless –

(a) that practitioner has provided him with the name and address of the Board on whose primary medical services performers list he appears; and

(b) the contractor has checked that the practitioner meets the requirements in paragraph 48.

(2) Where the employment or engagement of a medical practitioner is urgently needed and is not possible for the contractor to check the matters referred to in paragraph 48 in accordance with sub-paragraph (1)(b) before employing or engaging him he may be employed or engaged on a temporary basis for a single period of up to 7 days whilst such checks are undertaken.

(3) Where the prospective employee is a GP Registrar, the requirements set out in sub-paragraph (1) shall apply with the modifications that –

(a) the name and address provided under sub-paragraph (1) may be the name and address of the Board on whose primary medical services performers list he has applied for inclusion; and

(b) confirmation that his name appears on those lists shall not be required until the end of the first two months of the Registrar’s training period.

Commencement Information

I52 Sch. 5 para. 52 in operation at 29.3.2004, see reg. 1

53.—(1) A contractor shall not employ or engage –

(a) a health care professional other than one to whom paragraph 48 applies unless the contractor has checked that he meets the requirements in paragraph 49; or

(b) a health care professional to perform clinical services unless he has taken reasonable steps to satisfy himself that he meets the requirements in paragraph 51.

(2) Where the employment or engagement of a health care professional is urgently needed and it is not possible to check the matters referred to in paragraph 49 in accordance with sub-paragraph (1)(b) before employing or engaging him, he may be employed or engaged on a temporary basis for a single period of up to 7 days whilst such checks are undertaken.

(3) When considering a health care professional’s experience and training for the purposes of sub-paragraph (1)(b), the contractor shall have regard in particular to –

(a) any post-graduate or post-registration qualification held by the health care professional; and

(b) any relevant training undertaken by him and any relevant clinical experience gained by him.

Commencement Information

I53 Sch. 5 para. 53 in operation at 29.3.2004, see reg. 1

54.—(1) The contractor shall not employ or engage a health care professional to perform medical services under the contract unless –

(a) that person has provided two clinical references, relating to two recent posts (which may include any current post) as a health care professional which lasted for three months without a significant break, or where this is not possible, a full explanation and alternative referees; and

(b) the contractor has checked and is satisfied with the references.

(2) Where the employment or engagement of a health care professional is urgently needed and it is not possible to obtain and check the references in accordance with sub-paragraph (1)(b) before employing or engaging him, he may be employed or engaged on a temporary basis for a single period of up to 14 days whilst his references are checked and considered, and for an additional single period of a further 7 days if the contractor believes the person supplying those references is ill, on holiday or otherwise temporarily unavailable.

(3) Where the contractor employs or engages the same person on more than one occasion within a period of three months, he may rely on the references provided on the first occasion, provided that those references are not more than twelve months old.

Commencement Information

I54 Sch. 5 para. 54 in operation at 29.3.2004, see reg. 1

55.—(1) Before employing or engaging any person to assist him in the provision of services under the contract, the contractor shall take reasonable care to satisfy himself that the person in question is both suitably qualified and competent to discharge the duties for which he is to be employed or engaged.

(2) The duty imposed by sub-paragraph (1) is in addition to the duties imposed by paragraphs 52 to 54.

(3) When considering the competence and suitability of any person for the purpose of sub-paragraph (1), the contractor shall have regard, in particular, to –

(a) that person’s academic and vocational qualifications;

(b) his education and training; and

(c) his previous employment or work experience.

Commencement Information

I55 Sch. 5 para. 55 in operation at 29.3.2004, see reg. 1

Training N.I.

56.  The contractor shall ensure that for any health care professional who is –

(a) performing clinical services under the contract; or

(b) employed or engaged to assist in the performance of such services

there are in place arrangements for the purpose of maintaining and updating his skills and knowledge in relation to the services which he is performing or assisting in performing.

Commencement Information

I56 Sch. 5 para. 56 in operation at 29.3.2004, see reg. 1

57.  The contractor shall afford to each employee reasonable opportunities to undertake appropriate training with a view to maintaining that employee’s competence.

Commencement Information

I57 Sch. 5 para. 57 in operation at 29.3.2004, see reg. 1

Terms and conditions N.I.

58.  The contractor shall only offer employment to a general medical practitioner on terms and conditions which are no less favourable than those contained in the “Model terms and conditions of service for a salaried general practitioner employed by a GMS practice” published by the British Medical Association and the NHS Confederation as item 1.2 of the supplementary documents to the new GMS contract 2003(15).

Commencement Information

I58 Sch. 5 para. 58 in operation at 29.3.2004, see reg. 1

Arrangements for GP Registrars N.I.

59.—(1) The contractor shall only employ a GP Registrar for the purpose of being trained by a GP Trainer with the agreement of the Department and subject to the conditions in sub-paragraph (2).

(2) The conditions referred to in sub-paragraph (1) are that the contractor shall not, by reason only of having employed or engaged a GP Registrar, reduce the total number of hours for which other medical practitioners perform primary medical services under the contract or for which other staff assist them in the performance of those services.

(3) A contractor which employs a GP Registrar shall –

(a) offer him terms of employment in accordance with the rates and subject to the conditions contained in any guidance given by the Department concerning the grants, fees, travelling and other allowances payable to GP Registrars; and

(b) take into account any guidance issued by the Department in relation to the GP Registrar Scheme.

Commencement Information

I59 Sch. 5 para. 59 in operation at 29.3.2004, see reg. 1

Independent nurse prescribers and supplementary prescribers N.I.

60.—(1) Where –

(a) a contractor employs or engages a person who is an independent nurse prescriber or a supplementary prescriber whose functions will include prescribing;

(b) a party to the contract is an independent nurse prescriber or a supplementary prescriber whose functions will include prescribing; or

(c) the functions of a person who is an independent nurse prescriber or a supplementary prescriber whom the contractor already employs or has already engaged are extended to include prescribing,

it shall notify the Board in writing within the period of 7 days beginning with and including the date on which the contractor employed or engaged the person, the party became a party to the contract (unless, immediately before becoming such a party, he fell under paragraph (1)(a)) or the person’s functions were extended, as the case may be.

(2) Where –

(a) the contractor ceases to employ or engage a person who is an independent nurse prescriber or a supplementary prescriber whose functions included prescribing in his practice;

(b) the party to the contract who is an independent nurse prescriber or a supplementary prescriber whose functions include prescribing, ceases to be a party to the contract;

(c) the functions of a person who is an independent nurse prescriber or a supplementary prescriber whom the contractor employs or engages in his practice are changed so that they no longer include prescribing in his practice; or

(d) the contractor becomes aware that a person who is an independent nurse prescriber or a supplementary prescriber whom the contactor employs or engages has been removed or suspended from the relevant register,

he shall notify the Board in writing by the end of the second working day after the day when the event occurred.

(3) The contractor shall provide the following information when he notifies the Board in accordance with sub-paragraph (1) –

(a) the person’s full name;

(b) his professional qualifications;

(c) his identifying number which appears in the relevant register;

(d) the date on which his entry in the relevant register was annotated to the effect that he was qualified to order drugs, medicines and appliances for patients;

(e) the date on which –

(i) he was employed or engaged, if applicable,

(ii) he became a party to the agreement, if applicable, or

(iii) one of his functions became to prescribe in his practice.

(4) The contractor shall provide the following information when he notifies the Board in accordance with sub-paragraph (2) –

(a) the person’s full name;

(b) his professional qualifications;

(c) his identifying number which appears in the relevant register;

(d) the date –

(i) he ceased to be employed or engaged in his practice,

(ii) he ceased to be a party to the agreement,

(iii) his functions changed so as no longer to include prescribing, or

(iv) on which he was removed or suspended from the relevant register.

Commencement Information

I60 Sch. 5 para. 60 in operation at 29.3.2004, see reg. 1

Signing of documents N.I.

61.—(1) In addition to any other requirements relating to such documents whether in these regulations or otherwise, the contractor shall ensure that the documents specified in paragraph (2) include –

(a) the clinical profession of the health care professional who signed the document; and

(b) the name of the contractor on whose behalf it is signed.

(2) The documents referred to in sub-paragraph (1) are –

(a) certificates issued in accordance with regulation 21, unless regulations relating to particular certificates provide otherwise;

(b) prescription forms;

(c) any other clinical documents.

Commencement Information

I61 Sch. 5 para. 61 in operation at 29.3.2004, see reg. 1

Level of skill N.I.

62.  The contractor shall carry out his obligations under the contract with reasonable care and skill.

Commencement Information

I62 Sch. 5 para. 62 in operation at 29.3.2004, see reg. 1

Appraisal and assessment N.I.

63.—(1) The contractor shall ensure that any medical practitioner performing services under the contract –

(a) participates in the appraisal system provided by the Board, unless he participates in an appropriate appraisal system provided by another heath services body or is an armed forces GP; and

(b) co-operates with any assessment by or on behalf of the Board of services performed by that practitioner under the contract.

(2) In sub-paragraph (1), “armed forces GP” means a medical practitioner who is employed on a contract of service by the Ministry of Defence, whether or not as a member of the United Kingdom Armed Forces of Her Majesty.

Commencement Information

I63 Sch. 5 para. 63 in operation at 29.3.2004, see reg. 1

Sub-contracting of clinical matters N.I.

64.—(1) Subject to sub-paragraph (2), the contractor shall not sub-contract any of his rights or duties under the contract in relation to clinical matters unless –

(a) in all cases, including those which fall within paragraph 65,he has taken reasonable steps to satisfy himself that –

(i) it is reasonable in all the circumstances; and

(ii) that person is qualified and competent to provide the service; and

(b) except in cases which fall within paragraph 65, he has notified the Board in writing of his intention to sub-contract as soon as reasonably practicable before the date on which the proposed sub-contract is intended to come into operation.

(2) Sub-paragraph (1)(b) shall not apply to a contract for services with a health care professional for the provision by that professional personally of clinical services.

(3) The notification referred to in sub-paragraph (1)(b) shall include –

(a) the name and address of the proposed sub-contractor;

(b) the duration of the proposed sub-contract;

(c) the services to be covered; and

(d) the address of any premises to be used for the provision of services.

(4) Following receipt of a notice in accordance with sub-paragraph (1)(b), the Board may request such further information relating to the proposed sub-contract as appears to it to be reasonable and the contractor shall supply such information promptly.

(5) The contractor shall not proceed with the sub-contract or, if it has already taken effect, shall take appropriate steps to terminate it, where, within 28 days of receipt of the notice referred to in sub-paragraph (1)(b), the Board has served notice of objection to the sub-contract on the grounds that –

(a) the sub-contract would –

(i) put at serious risk the safety of the contractor’s patients, or

(ii) put the Board at risk of material financial loss; or

(b) the sub-contractor would be unable to meet the contractor’s obligations under the contract.

(6) Where the Board objects to a proposed sub-contract in accordance with sub-paragraph (5), it shall include with the notice of objection a statement in writing of the reasons for its objection.

(7) Sub-paragraphs (1) and (3) to (6) shall also apply in relation to any renewal or material variation of a sub-contract in relation to clinical matters.

(8) Where a Board does not object to a proposed sub-contract under paragraph (5), the parties to the contract shall be deemed to have agreed a variation of the contract which has the effect of adding to the list of practice premises any premises whose address was notified to it under sub-paragraph (3)(d) and paragraph 96(1) shall not apply.

(9) A contract with a sub-contractor must prohibit the sub-contractor from sub-contracting the clinical services he has agreed with the contractor to provide.

[F1 (10) The contractor shall not sub-contract any of his rights or duties under the contract in relation to the provision of essential services to a company or firm –

(a) owned wholly or partly by the contractor, or by any former or current employee of, or partner or shareholder in, the contractor;

(b) formed by or on behalf of the contractor, or from which he derives or may derive a pecuniary benefit; or

(c) formed by or on behalf of a former or current employee of, or partner or shareholder in, the contractor, or from which such a person derives or may derive a pecuniary benefit,

where that company or firm is or was formed wholly or partly for the purpose of avoiding restrictions on the sale of goodwill of a medical practice in Article 60 of and Schedule 10 to the 1972 Order or any Regulations made wholly or partly under those provisions.]

Textual Amendments

F1 Sch. 5 Pt. 4 para. 64(10) added (16.12.2004) by The Primary Medical Services (Sale of Goodwill and Restrictions on Sub-contracting) Regulations (Northern Ireland) 2004 (S.R. 2004/477), regs. 1, 4(1)

Commencement Information

I64 Sch. 5 para. 64 in operation at 29.3.2004, see reg. 1

Sub-contracting of out of hours services N.I.

65.—(1) A contractor shall not, otherwise than in accordance with the written approval of the Board, sub-contract all or part of his duty to provide out of hours services to any person other than those listed in sub-paragraph (2) other than on a short-term occasional basis.

(2) The persons referred to in sub-paragraph (1) are –

(a) a person who holds a contract with a Board which includes out of hours services;

(b) an Article 15B provider who is required to provide the equivalent of essential services to his patients during all or part of the out of hours period;

(c) a health care professional, not falling within paragraph (a) or (b), who is to provide the out of hours services personally under a contract for services; or

(d) a group of medical practitioners, whether in partnership or not, who provide out of hours services for each other under informal rota arrangements.

(3) An application for approval under sub-paragraph (1) shall be made by the contractor in writing to the Board and shall state –

(a) the name and address of the proposed sub-contractor;

(b) the address of any premises to be used for the provision of services;

(c) the duration of the proposed sub-contract;

(d) the services to be covered by the arrangement; and

(e) how it is proposed that the sub-contractor will meet the contractor’s obligations under the contract in respect of the services covered by the arrangement.

(4) Within 7 days of receipt of an application under sub-paragraph (3), a Board may request such further information relating to the proposed arrangements as seem to it to be reasonable.

(5) Within 28 days of receipt of an application which meets the requirements specified in sub-paragraph (3) or the further information requested under sub-paragraph (4) (whichever is the later), the Board shall –

(a) approve the application;

(b) approve the application with conditions; or

(c) refuse the application.

(6) The Board shall not refuse the application if it is satisfied that the proposed arrangement will, in respect of the services to be covered, enable the contractor to meet satisfactorily his obligations under the contract and will not –

(a) put at serious risk the safety of the contractor’s patients; or

(b) put the Board at risk of material financial loss.

(7) The Board shall inform the contractor by notice in writing of its decision on the application and, where it refuses an application, it shall include in the notice a statement of the reasons for its refusal.

(8) Where a Board approves an application under this paragraph the parties to the contract shall be deemed to have agreed a variation of the contract which has the effect of adding to the list of practice premises, for the purposes of the provision of services in accordance with that application, any premises whose address was notified to it under sub-paragraph (3)(b) and paragraph 96(1) shall not apply.

(9) Sub-paragraphs (1) to (8) shall also apply in relation to any renewal or material variation of a sub-contract in relation to out of hours services.

(10) A contract with a sub-contractor must prohibit the sub-contractor from sub-contracting the out of hours services it has agreed with the contractor to provide.

Modifications etc. (not altering text)

C1 Sch. 5 para. 65(2) modified (29.3.2004) by The General Medical Services Transitional and Consequential Provisions (No. 1) (Northern Ireland) Order 2004 (S.R. 2004/141), arts. 1(1), 22(a)

C2 Sch. 5 para. 65(2)(a) modified (29.3.2004) by The General Medical Services Transitional and Consequential Provisions (No. 1) (Northern Ireland) Order 2004 (S.R. 2004/141), arts. 1(1), 21(a)

Commencement Information

I65 Sch. 5 para. 65 in operation at 29.3.2004, see reg. 1

Withdrawal and variation of approval under paragraph 65 N.I.

66.—(1) Without prejudice to any other remedies which it may have under the contract, where a Board has approved an application made under paragraph 65(3) it shall, subject to paragraph 67, be entitled to serve notice on the contractor withdrawing or varying that approval, from a date specified in the notice, if it is no longer satisfied that the proposed arrangement will enable the contractor to meet satisfactorily his obligations under the contract.

(2) The date specified in the notice shall be such as appears reasonable in all the circumstances to the Board.

(3) The notice referred to in sub-paragraph (1) shall take effect on whichever is the later of –

(a) the date specified in the notice; or

(b) (if applicable) the date of the final determination of the dispute resolution procedure (or any court proceedings) relating to the notice in favour of the Board.

Commencement Information

I66 Sch. 5 para. 66 in operation at 29.3.2004, see reg. 1

67.—(1) Without prejudice to any other remedies which it may have under the contract, where a Board has approved an application made under paragraph 65(3) it shall be entitled to serve notice on the contractor withdrawing or varying that approval with immediate effect if –

(a) it is no longer satisfied that the proposed arrangement will enable the contractor to meet satisfactorily his obligations under the contract; and

(b) it is satisfied that immediate withdrawal or variation is necessary to protect the safety of the contractor’s patients.

(2) An immediate withdrawal of approval under sub-paragraph (1) shall take effect on the date on which the notice referred to in that sub-paragraph is received by the contractor.

Commencement Information

I67 Sch. 5 para. 67 in operation at 29.3.2004, see reg. 1

PART 5 N.I. records, information, notifications and rights of entry

Patient records N.I.

68.—(1) In this paragraph, “computerised records” means records created by way of entries on a computer.

(2) The contractor shall keep adequate records of his attendance on and treatment of his patients and shall do so –

(a) on forms supplied to him for the purpose by the Board; or

(b) with the written consent of the Board, by way of computerised records,

or in a combination of those two ways.

(3) The contractor shall include in the records referred to in sub-paragraph (2) clinical reports sent in accordance with paragraph 7 or from any other health care professional who has provided clinical services to a person on his list of patients.

(4) The consent of the Board required by sub-paragraph (2)(b) shall not be withheld or withdrawn provided the Board is satisfied, and continues to be satisfied, that –

(a) the computer system upon which the contractor proposes to keep the records has been accredited by the Department or another person on its behalf in accordance with “General Medical Practice Computer Systems – Requirements for Accreditation – RFA99” version 1.0, 1.1 or 1.2 (DTS/Nurse Prescribing)(16);

(b) the security measures, audit and system management functions incorporated into the computer system as accredited in accordance with head (a) have been enabled; and

(c) the contractor is aware of, and has signed an undertaking that he will have regard to–

(i) any guidelines issued by the Department and notified in writing to the contractor by the Board; and

(ii) any document amending any guidelines referred to in (i), which has been notified to the contractor by the Board,

concerning good practice in the keeping of electronic patient records.

(5) Where a patient’s records are computerised records, the contractor shall, as soon as possible following a request from the Board, allow the Board to access the information recorded on the computer system on which those records are held by means of the audit function referred to in sub-paragraph (4)(b) to the extent necessary for the Board to confirm that the audit function is enabled and functioning correctly.

(6) The contractor shall send the complete records relating to a patient to the Board –

(a) where a person on his list dies, before the end of the period of 14 days beginning with and including the date on which he was informed by the Board of the death, or (in any other case) before the end of the period of one month beginning with and including the date on which it learned of the death; or

(b) in any other case where the person is no longer registered with the contractor, as soon as possible at the request of the Board.

(7) To the extent that a patient’s records are computerised records, the contractor complies with sub-paragraph (6) if he sends to the Board a copy of those records –

(a) in written form; or

(b) with the written consent of the Board in any other form.

(8) The consent of the Board to the transmission of information other than in written form for the purposes of sub-paragraph (7)(b) shall not be withheld or withdrawn provided it is satisfied, and continues to be satisfied, with the following matters –

(a) the contractor’s proposals as to how the record will be transmitted;

(b) the contractor’s proposals as to the format of the transmitted record;

(c) how the contractor will ensure that the record received by the Board is identical to that transmitted; and

(d) how a written copy of the record can be produced by the Board.

(9) A contractor whose patient records are computerised records shall not disable, or attempt to disable, either the security measures, or the audit and system management functions referred to in sub-paragraph (4)(b).

Commencement Information

I68 Sch. 5 para. 68 in operation at 29.3.2004, see reg. 1

Access to records for the purpose of the Quality Information Preparation Scheme N.I.

69.—(1) The contractor must provide access to his patient records on request to any appropriately qualified person with whom the Board has made arrangements for the provision of the Quality Information Preparation Scheme referred to in section 7 of the Statement of Financial Entitlements.

(2) The contractor shall not be obliged to grant access to a person referred to in sub-paragraph (1) unless he produces, on request, written evidence that he is authorised by the Board to act on its behalf.

Commencement Information

I69 Sch. 5 para. 69 in operation at 29.3.2004, see reg. 1

Confidentiality of personal data N.I.

70.  The contractor shall nominate a person with responsibility for practices and procedures relating to the confidentiality of personal data held by him.

Commencement Information

I70 Sch. 5 para. 70 in operation at 29.3.2004, see reg. 1

Practice leaflet N.I.

71.  The contractor shall –

(a) compile a document (in this paragraph called a practice leaflet) which shall include the information specified in Schedule 7;

(b) review his practice leaflet at least once in every period of 12 months and make any amendments necessary to maintain its accuracy; and

(c) make available a copy of the leaflet, and any subsequent updates, to his patients and prospective patients.

Commencement Information

I71 Sch. 5 para. 71 in operation at 29.3.2004, see reg. 1

Provision of information N.I.

72.—(1) Subject to sub-paragraph (2), the contractor shall, at the request of the Board produce to the Board or to a person authorised in writing by the Board or allow it, or a person authorised in writing by it, to access –

(a) any information which is reasonably required by the Board for the purposes of or in connection with the contract; and

(b) any other information which is reasonably required in connection with the Board’s functions.

(2) The contractor shall not be required to comply with any request made in accordance with sub-paragraph (1) unless it has been made by the Board in accordance with directions relating to the provision of information by contractors given to it by the Department under Article 17 of the Order.

Commencement Information

I72 Sch. 5 para. 72 in operation at 29.3.2004, see reg. 1

Inquiries about prescriptions and referrals N.I.

73.—(1) The contractor shall, subject to sub-paragraphs (2) and (3), sufficiently answer any inquiries whether oral or in writing from the Board concerning –

(a) any prescription form issued by a prescriber;

(b) the considerations by reference to which prescribers issue such forms;

(c) the referral by or on behalf of the contractor of any patient to any other services provided under the Order; or

(d) the considerations by which the contractor makes such referrals or provides for them to be made on his behalf.

(2) An inquiry referred to in sub-paragraph (1) may only be made for the purpose either of obtaining information to assist the Board to discharge its functions or of assisting the contractor in the discharge of his obligations under the contract.

(3) The contractor shall not be obliged to answer any inquiry referred to in sub-paragraph (1) unless it is made –

(a) in the case of sub-paragraph (1)(a) or (b), by an appropriately qualified health care professional; or

(b) in the case of sub-paragraph (1)(c) or (d), by an appropriately qualified medical practitioner,

appointed in either case by the Board to assist it in the exercise of its functions under this paragraph and that person produces, on request, written evidence that he is authorised by the Board to make such an inquiry on its behalf.

Commencement Information

I73 Sch. 5 para. 73 in operation at 29.3.2004, see reg. 1

Reports to a medical officer N.I.

74.—(1) The contractor shall, if he is satisfied that the patient consents –

(a) supply in writing to a medical officer within such reasonable period as that officer, or an officer of the Department for Social Development on his behalf and at his direction, may specify, such clinical information as the medical officer considers relevant about a patient to whom the contractor or a person acting on the contractor’s behalf has issued or has refused to issue a medical certificate; and

(b) answer any inquiries by a medical officer, or by an officer of the Department for Social Development on his behalf and at his direction, about a prescription form or medical certificate issued by the contractor or on his behalf or about any statement which the contractor or a person acting on the contractor’s behalf has made in a report.

(2) For the purpose of satisfying himself that the patient has consented as required by paragraph (1), the contractor may (unless it has reason to believe the patient does not consent) rely on an assurance in writing from the medical officer, or any officer of the Department for Social Development, that he holds the patient’s written consent.

Commencement Information

I74 Sch. 5 para. 74 in operation at 29.3.2004, see reg. 1

Annual return and review N.I.

75.—(1) The contractor shall submit an annual return relating to the contract to the Board which shall require the same categories of information from all persons who hold contracts with that Board.

(2) Following receipt of the return referred to in sub-paragraph (1), the Board shall arrange with the contractor an annual review of his performance in relation to the contract.

(3) Either the contractor or the Board may, if they wishe to do so invite the Local Medical Committee participate in the annual review.

(4) The Board shall prepare a draft record of the review referred to in sub-paragraph (2) for comment by the contractor and, having regard to such comments, shall produce a final written record of the review.

(5) A copy of the final record referred to in sub-paragraph (4) shall be sent to the contractor.

Commencement Information

I75 Sch. 5 para. 75 in operation at 29.3.2004, see reg. 1

Notifications to the Board N.I.

76.  In addition to any requirements of notification elsewhere in the regulations, the contractor shall notify the Board in writing, as soon as reasonably practicable, of –

(a) any serious incident that, in the reasonable opinion of the contractor, affects or is likely to affect the contractor’s performance of his obligations under the contract;

(b) any circumstances which give rise to the Board’s right to terminate the contract under paragraph 103, 104 or 105(1);

(c) any appointments system which he proposes to operate and the proposed discontinuance of any such system;

(d) any change of which he is aware in the address of a registered patient;

(e) the death of any patient of which he is aware.

Commencement Information

I76 Sch. 5 para. 76 in operation at 29.3.2004, see reg. 1

77.  The contractor shall, unless it is impracticable for him to do so, notify the Board in writing within 28 days of any occurrence requiring a change in the information about him published by the Board in accordance with regulations made under Article 56(3) of the Order(17).

Commencement Information

I77 Sch. 5 para. 77 in operation at 29.3.2004, see reg. 1

78.  The contractor shall notify the Board in writing of any person other than a registered patient or a person whom he has accepted as a temporary resident to whom he has provided the essential services described in regulation 15(6) or (8) within the period of 28 days beginning on the day that the services were provided.

Commencement Information

I78 Sch. 5 para. 78 in operation at 29.3.2004, see reg. 1

Notice provisions specific to a contract with a company limited by shares N.I.

79.—(1) A contractor which is a company limited by shares shall give notice in writing to the Board forthwith when –

(a) any share in the contractor is transmitted or transferred (whether legally or beneficially) to another person on a date after the contract has been entered into;

(b) it passes a resolution or the High Court makes an order that the contractor be wound up;

(c) circumstances arise which might entitle a creditor or the High Court to appoint a receiver, administrator or administrative receiver for the contractor;

(d) circumstances arise which would enable the High Court to make a winding up order in respect of the contractor; or

(e) the contractor is unable to pay his debts within the meaning of Article 103 of the Insolvency (Northern Ireland) Order 1989(18).

(2) A notice under sub-paragraph (1)(a) shall confirm that the new shareholder, or, as the case may be, the personal representative of a deceased shareholder –

(a) is a medical practitioner, or that he satisfies the conditions specified in Article 57B(2)(b)(i) to (iv) of the Order(19); and

(b) meets the further conditions imposed on shareholders by virtue of regulations 4 and 5.

Commencement Information

I79 Sch. 5 para. 79 in operation at 29.3.2004, see reg. 1

Notice provisions specific to a contract with two or more individuals practising in partnership N.I.

80.—(1) A contractor which is a partnership shall give notice in writing to the Board forthwith when –

(a) a partner leaves or informs his partners that he intends to leave the partnership, and the date upon which he left or will leave the partnership;

(b) a new partner joins the partnership.

(2) A notice under sub-paragraph (1)(b) shall –

(a) state the date that the new partner joined the partnership;

(b) confirm that the new partner is a medical practitioner, or that he satisfies the conditions specified in Article 57B(2)(b)(i) to (iv) of the Order;

(c) confirm that the new partner meets the conditions imposed by regulations 4 and 5; and

(d) state whether the new partner is a general or a limited partner.

Commencement Information

I80 Sch. 5 para. 80 in operation at 29.3.2004, see reg. 1

Notification of deaths N.I.

81.—(1) The contractor shall report in writing to the Board the death on his practice premises of any patient no later than the end of the first working day after the date on which the death occurred.

(2) The report shall include –

(a) the patient’s full name;

(b) the patient’s Central Health Index number or Health and Care number where known;

(c) the date and place of death;

(d) a brief description of the circumstances, as known, surrounding the death;

(e) the name of any medical practitioner or other person treating the patient whilst on the practice premises; and

(f) the name, where known, of any other person who was present at the time of the death.

(3) The contractor shall send a copy of the report referred to in sub-paragraph (1) to any other Board in whose area the deceased was resident at the time of his death.

Commencement Information

I81 Sch. 5 para. 81 in operation at 29.3.2004, see reg. 1

Notifications to patients following variation of the contract N.I.

82.  Where the contract is varied in accordance with Part 8 and, as a result of that variation –

(a) there is to be a change in the range of services provided to the contractor’s registered patients; or

(b) patients who are on the contractor’s list of patients are to be removed from that list,

the Board shall notify those patients in writing of the variation and its effect and inform them of the steps they can take to obtain elsewhere the services in question or, as the case may be, register elsewhere for the provision of essential services(or their equivalent).

Commencement Information

I82 Sch. 5 para. 82 in operation at 29.3.2004, see reg. 1

Entry and inspection by the Board N.I.

83.—(1) Subject to the conditions in sub-paragraph (2), the contractor shall allow persons authorised in writing by the Board to enter and inspect the practice premises at any reasonable time.

(2) The conditions referred to in sub-paragraph (1) are that –

(a) reasonable notice of the intended entry has been given;

(b) written evidence of the authority of the person seeking entry is produced to the contractor on request; and

(c) entry is not made to any premises or part of the premises used as residential accommodation without the consent of the resident.

(3) Either the contractor or the Board may, if it wishes to do so, invite the Local Medical Committee for the area of the Board to be present at an inspection of the practice premises which takes place under this paragraph.

Commencement Information

I83 Sch. 5 para. 83 in operation at 29.3.2004, see reg. 1

PART 6 N.I. complaints

Complaints procedure N.I.

84.—(1) The contractor shall establish and operate a complaints procedure to deal with any complaints in relation to any matter reasonably connected with the provision of services under the contract, which shall comply with the requirements of paragraphs 85 to 88 and 90.

(2) The contractor shall take reasonable steps to ensure that patients are aware of –

(a) the complaints procedure,

(b) the role of the Board and other bodies in relation to complaints about services under under the contract.

(3) The contractor shall take reasonable steps to ensure that the complaints procedure is accessible to all patients.

Commencement Information

I84 Sch. 5 para. 84 in operation at 29.3.2004, see reg. 1

Making of complaints N.I.

85.  A complaint may be made by or, with his consent, on behalf of a patient, or former patient, who is receiving or has received services under the contract, or –

(a) where the patient is a child –

(i) by either parent, or in the absence of both parents, the guardian or other adult who has care of the child,

(ii) by a person duly authorised by an authority looking after the child under the provisions of the Children (Northern Ireland) Order 1995(20); or

(iii) by a person duly authorised by a voluntary organisation by which the child is being accommodated under the provisions of that Order;

(b) where the patient is incapable of making a complaint, by a relative or other adult who has an interest in his welfare.

Commencement Information

I85 Sch. 5 para. 85 in operation at 29.3.2004, see reg. 1

86.  Where a patient has died a complaint may be made by a relative or other adult who had an interest in his welfare or, where the patient falls within paragraph 85(a)(ii) or (iii), by the Trust or voluntary organisation.

Commencement Information

I86 Sch. 5 para. 86 in operation at 29.3.2004, see reg. 1

Period for making complaints N.I.

87.—(1) Subject to sub-paragraph (2), the period for making a complaint is –

(a) six months from the date on which the matter which is the subject of the complaint occurred; or

(b) six months from the date on which the matter which is the subject of the complaint comes to the complainant’s notice provided that the complaint is made no later than 12 months after the date on which the matter which is the subject of the complaint occurred.

(2) Where a complaint is not made during the period specified in sub-paragraph (1), it shall be referred to the person nominated under paragraph 88(2)(a) and if he is of the opinion that –

(a) having regard to all the circumstances of the case, it would have been unreasonable for the complainant to make the complaint within that period; and

(b) notwithstanding the time that has elapsed since the date on which the matter which is the subject matter of the complaint occurred, it is still possible to investigate the complaint properly,

the complaint shall be treated as if it had been received during the period specified in sub-paragraph (1).

Commencement Information

I87 Sch. 5 para. 87 in operation at 29.3.2004, see reg. 1

Further requirements for complaints procedures N.I.

88.—(1) A complaints procedure shall also comply with the requirements set out in sub-paragraphs (2) to (6).

(2) The contractor must nominate –

(a) a person (who need not be connected with the contractor and who, in the case of an individual, may be specified by his job title) to be responsible for the operation of the complaints procedure and the investigation of complaints; and

(b) a partner, or other senior person associated with the contractor, to be responsible for the effective management of the complaints procedure and for ensuring that action is taken in the light of the outcome of any investigation.

(3) All complaints must be –

(a) either made or recorded in writing;

(b) acknowledged in writing within the period of three working days beginning with and including the day on which the complaint was made or, where that is not possible, as soon as reasonably practicable; and

(c) properly investigated.

(4) Within the period of 10 working days beginning with and including the day on which the complaint was received by the person specified under sub-paragraph 2(a) or, where that is not possible, as soon as reasonably practicable, the complainant must be given a written summary of the investigation and its conclusions.

(5) Where the investigation of the complaint requires consideration of the patient’s medical records, the person specified under sub-paragraph 2(a) must inform the patient or person acting on his behalf if the investigation will involve disclosure of information contained in those records to a person other than the contractor or an employee of the contractor.

(6) The contractor must keep a record of all complaints and copies of all correspondence relating to complaints, but such records must be kept separate from patients' medical records.

Commencement Information

I88 Sch. 5 para. 88 in operation at 29.3.2004, see reg. 1

Co-operation with investigations N.I.

89.—(1) The contractor shall co-operate with –

(a) any investigation of a complaint in relation to any matter reasonably connected with the provision of services under the contract undertaken by –

(i) the Board, and

(ii) the Northern Ireland Commissioner for Complaints; and

(b) any investigation of a complaint by a health services body, an NHS body or local authority which relates to a patient or former patient of the contractor.

(2) In sub-paragraph (1) –

“NHS body” means a Primary Care Trust, (in England and Wales and Scotland) an NHS Trust, an NHS foundation trust, a Strategic Health Authority, a Local Health Board, and a Health Board;

“local authority” means –

(a)

any of the bodies listed in section 1 of the Local Authority Social Services Act 1970(21);

(b)

the Council of the Isles of Scilly, or

(c)

a council constituted under section 2 of the Local Government etc, (Scotland) Act 1994(22).

(3) The co-operation required by sub-paragraph (1) includes –

(a) answering questions reasonably put to the contractor by the Board;

(b) providing any information relating to the complaint reasonably required by the Board ; and

(c) attending any meeting to consider the complaint (if held at a reasonably accessible place and at a reasonable hour, and due notice has been given) if the contractor’s presence at the meeting is reasonably required by the Board.

Commencement Information

I89 Sch. 5 para. 89 in operation at 29.3.2004, see reg. 1

Provision of information about complaints N.I.

90.  The contractor shall inform the Board, at such intervals as required, of the number of complaints it has received under the procedure established in accordance with this Part.

Commencement Information

I90 Sch. 5 para. 90 in operation at 29.3.2004, see reg. 1

PART 7 N.I. dispute resolution

Local resolution of contract disputes N.I.

91.—(1) Subject to sub-paragraph (3), in the case of any dispute arising out of or in connection with the contract, the contractor and the Board must make every reasonable effort to communicate and co-operate with each other with a view to resolving the dispute, before referring the dispute for determination in accordance with the dispute resolution procedure (or, where applicable, before commencing court proceedings).

(2) Either the contractor or the Board may, if it wishes to do so, invite the Local Medical Committee for the area of the Board to participate in discussions which take place pursuant to sub-paragraph (1).

(3) In the case of a dispute which falls to be dealt with under the procedure specified in paragraph 36, sub-paragraph (1) does not apply where it is not practicable for the parties to attempt local resolution before the expiry of the period specified in paragraph 36(4).

Commencement Information

I91 Sch. 5 para. 91 in operation at 29.3.2004, see reg. 1

Dispute resolution: non-HSS contracts N.I.

92.—(1) In the case of a contract which is not an HSS contract, any dispute arising out of or in connection with the contract, except matters dealt with under the complaints procedure pursuant to Part 6, may be referred for consideration and determination to the Department, if –

(a) the Board so wishes and the contractor has agreed in writing; or

(b) the contractor so wishes (even if the Board does not agree).

(2) In the case of a dispute referred to the Department under sub-paragraph (1) –

(a) the procedure to be followed is the dispute resolution procedure; and

(b) the parties agree to be bound by any determination made by the adjudicator.

Commencement Information

I92 Sch. 5 para. 92 in operation at 29.3.2004, see reg. 1

Dispute resolution procedure N.I.

93.—(1) Subject to sub-paragraph (2), the procedure specified in the following sub-paragraphs and paragraph 94 applies in the case of any dispute arising out of or in connection with the contract which is referred to the Department –

(a) in accordance with Article 8(4) of the 1991 Order (where the contract is a HSS contract); or

(b) in accordance with paragraph 92(1) (where the contract is not a HSS contract).

(2) The procedure specified in this paragraph and paragraph 94 does not apply where a contractor refers a matter for determination in accordance with paragraph 36(1), and in such a case the procedure specified in that paragraph shall apply instead.

(3) Any party wishing to refer a dispute as mentioned in sub-paragraph (1) shall send to the Department a written request for dispute resolution which shall include or be accompanied by –

(a) the names and addresses of the parties to the dispute;

(b) a copy of the contract; and

(c) a brief statement describing the nature and circumstances of the dispute.

(4) Any party wishing to refer a dispute as mentioned in sub-paragraph (1) must send the request under sub-paragraph (3) within a period of three years beginning with and including the date on which the matter giving rise to the dispute happened or should reasonably have come to the attention of the party wishing to refer the dispute.

(5) Where the dispute relates to a contract which is not a HSS contract, the Department may determine the matter itself or, if it considers it appropriate, appoint a person to consider and determine it(23).

(6) Before reaching a decision as to who should determine the dispute, either under sub-paragraph (5) or under Article 8(5) of the 1991 Order, the Department shall, within the period of 7 days beginning with and including the date on which a matter was referred to it, send a written request to the parties to make in writing, within a specified period, any representations which they may wish to make about the matter.

(7) The Department shall give, with the notice given under sub-paragraph (6), to the party other than the one which referred the matter to dispute resolution a copy of any document by which the matter was referred to dispute resolution.

(8) The Department shall give a copy of any representations received from a party to the other party and shall in each case request (in writing) a party to whom a copy of the representations is given to make within a specified period any written observations which it wishes to make on those representations.

(9) Following receipt of any representations from the parties or, if earlier, at the end of the period for making such representations specified in the request sent under sub-paragraph (6) or (8), the Department shall, if it decides to appoint a person to hear the dispute –

(a) inform the parties in writing of the name of the person or persons whom he has appointed; and

(b) pass to the person or persons so appointed any documents received from the parties under or pursuant to paragraphs (3), (6) or (8).

(10) For the purpose of assisting him in his consideration of the matter, the adjudicator may –

(a) invite representatives of the parties to appear before him to make oral representations either together or, with the agreement of the parties, separately, and may in advance provide the parties with a list of matters or questions to which he wishes them to give special consideration; or

(b) consult other persons whose expertise he considers will assist him in his consideration of the matter.

(11) Where the adjudicator consults another person under sub-paragraph (10)(b), he shall notify the parties accordingly in writing and, where he considers that the interests of any party might be substantially affected by the result of the consultation, he shall give to the parties such opportunity as he considers reasonable in the circumstances to make observations on those results.

(12) In considering the matter, the adjudicator shall consider –

(a) any written representations made in response to a request under sub-paragraph (6), but only if they are made within the specified period;

(b) any written observations made in response to a request under sub-paragraph (8), but only if they are made within the specified period;

(c) any oral representations made in response to an invitation under sub-paragraph (10)(a);

(d) the results of any consultation under sub-paragraph (10)(b); and

(e) any observations made in accordance with an opportunity given under sub-paragraph (11).

(13) In this paragraph, “specified period” means such period as the Department shall specify in the request, being not less than 2, nor more than 4, weeks beginning with and including the date on which the notice referred to is given, but the Department may, if it considers that there is good reason for doing so, extend any such period (even after it has expired) and, where it does so, a reference in this paragraph to the specified period is to the period as so extended.

(14) Subject to the other provisions of this paragraph and paragraph 94 and to any agreement by the parties, the adjudicator shall have wide discretion in determining the procedure of the dispute resolution to ensure the just, expeditious, economical and final determination of the dispute.

Commencement Information

I93 Sch. 5 para. 93 in operation at 29.3.2004, see reg. 1

Determination of dispute N.I.

94.—(1) The adjudicator shall record his determination and the reasons for it, in writing and shall give notice of the determination (including the record of the reasons) to the parties.

(2) In the case of a contract referred for determination in accordance with paragraph 92(1), sub-paragraph (9) of Article 8 of the 1991 Order shall apply as that sub-paragraph applies in the case of a contract referred for determination in accordance with sub-paragraph (4) of Article 8 of that Order.

(3) In the case of a contract referred for determination in accordance with paragraph 92(1), sub-paragraph (5) of Article 57F of the Order shall apply as that subparagraph applies in the case of a contract referred for determination in accordance with sub-paragraph (4) of Article 8 of the 1991 Order.

Commencement Information

I94 Sch. 5 para. 94 in operation at 29.3.2004, see reg. 1

Interpretation of Part 7 N.I.

95.—(1) In this Part, “any dispute arising out of or in connection with the contract” includes any dispute arising out of or in connection with the termination of the contract.

(2) Any term of the contract that makes provision in respect of the requirements in this Part shall survive even where the contract has terminated.

Commencement Information

I95 Sch. 5 para. 95 in operation at 29.3.2004, see reg. 1

PART 8 N.I. variation and termination of contracts

Variation of a contract: general N.I.

96.—(1) Subject to Schedule 2 and paragraphs 64(8), 65(8), 97, 98 and 109, no amendment or variation shall have effect unless it is in writing and signed by or on behalf of the Board and the contractor.

(2) In addition to the specific provision made in paragraphs 97(6), 98(6) and 109, the Board may vary the contract without the contractor’s consent where it –

(a) is reasonably satisfied that it is necessary to vary the contract so as to comply with the Order, any regulations made pursuant to that Order, or any direction given by the Department pursuant to that Order; and

(b) notifies the contractor in writing of the wording of the proposed variation and the date upon which that variation is to take effect,

and, where it is reasonably practicable to do so, the date that the proposed variation is to take effect shall be not less than 14 days after the date on which the notice under head (b) is served on the contractor.

Commencement Information

I96 Sch. 5 para. 96 in operation at 29.3.2004, see reg. 1

Variation provisions specific to a contract with an individual medical practitioner N.I.

97.—(1) If a contractor which is an individual medical practitioner proposes to practise in partnership with a person during the existence of the contract, the contractor shall notify the Board in writing of –

(a) the name of the person with whom he proposes to practise in partnership; and

(b) the date on which the contractor wishes to change his status as a contractor from that of an individual medical practitioner to that of a partnership, which shall be not less than 28 days after the date upon which he has served the notice on the Board pursuant to this sub-paragraph.

(2) A notice under sub-paragraph (1) shall in respect of the person with whom the contractor is proposing to practise in partnership, and also in respect of himself as regards the matters specified in head (c) –

(a) confirm that he is either –

(i) a medical practitioner, or

(ii) a person who satisfies the conditions specified in Article 57B(2)(b)(i) to (iv) of the Order(24);

(b) confirm that he is a person who satisfies the conditions imposed by regulations 4 and 5; and

(c) state whether or not it is to be a limited partnership, and if so, who is to be a limited and who a general partner,

and the notice shall be signed by the individual medical practitioner and by the person with whom he is proposing to practise in partnership.

(3) The contractor shall ensure that any person who will practise in partnership with him is bound by the contract, whether by virtue of a partnership deed or otherwise.

(4) If the Board is satisfied as to the accuracy of the matters specified in sub-paragraph (2) that are included in the notice, the Board shall give notice in writing to the contractor confirming that the contract shall continue with the partnership entered into by the contractor and his partners, from a date that the Board specifies in that notice.

(5) Where it is reasonably practicable, the date specified by the Board pursuant to sub-paragraph (4) shall be the date requested in the notice served by the contractor pursuant to sub-paragraph (1), or, where that date is not reasonably practicable, the date specified shall be a date after the requested date that is as close to the requested date as is reasonably practicable.

(6) Where a contractor has given notice to the Board pursuant to sub-paragraph (1), the Board –

(a) may vary the contract but only to the extent that it is satisfied is necessary to reflect the change in status of the contractor from an individual medical practitioner to a partnership; and

(b) if it does propose to so vary the contract, it shall include in the notice served on the contractor pursuant to sub-paragraph (4) the wording of the proposed variation and the date upon which that variation is to take effect.

Commencement Information

I97 Sch. 5 para. 97 in operation at 29.3.2004, see reg. 1

Variation provisions specific to a contract with two or more individuals practising in partnership N.I.

98.—(1) Subject to sub-paragraph (4), where a contractor consists of two or more individuals practising in partnership in the event that the partnership is terminated or dissolved, the contract shall only continue with one of the former partners if that partner is –

(a) nominated in accordance with sub-paragraph (3); and

(b) a medical practitioner who meets the condition in regulation 4(2)(a),

and provided that the requirements in sub-paragraphs (2) and (3) are met.

(2) A contractor shall notify the Board in writing at least 28 days in advance of the date on which the contractor proposes to change his status from that of a partnership to that of an individual medical practitioner pursuant to sub-paragraph (1).

(3) A notice under sub-paragraph (2) shall –

(a) specify the date on which the contractor proposes to change his status from that of a partnership to that of an individual medical practitioner;

(b) specify the name of the medical practitioner with whom the contract will continue, which must be one of the partners; and

(c) be signed by all of the persons who are practising in partnership.

(4) If a partnership is terminated or dissolved because, in a partnership consisting of two individuals practising in partnership, one of the partners has died, sub-paragraphs (1), (2) and (3) shall not apply and –

(a) the contract shall continue with the individual who has not died only if that individual is a medical practitioner who meets the condition in regulation 4(2)(a); and

(b) that individual shall in any event notify the Board in writing as soon as is reasonably practicable of the death of his partner.

(5) When the Board receives a notice pursuant to sub-paragraph (2) or (4)(b), it shall acknowledge in writing receipt of the notice, and in relation to a notice served pursuant to sub-paragraph (2), the Board shall do so before the date specified pursuant to sub-paragraph (3)(a).

(6) Where a contractor gives notice to the Board pursuant to sub-paragraph (2) or (4)(b), the Board may vary the contract but only to the extent that it is satisfied is necessary to reflect the change in status of the contractor from a partnership to an individual medical practitioner.

(7) If the Board varies the contract pursuant to sub-paragraph (6), it shall notify the contractor in writing of the wording of the proposed variation and the date upon which that variation is to take effect.

Commencement Information

I98 Sch. 5 para. 98 in operation at 29.3.2004, see reg. 1

Termination by agreement N.I.

99.  The Board and the contractor may agree in writing to terminate the contract, and if the parties so agree, they shall agree the date upon which that termination should take effect and any further terms upon which the contract should be terminated.

Commencement Information

I99 Sch. 5 para. 99 in operation at 29.3.2004, see reg. 1

Termination by the contractor N.I.

100.—(1) A contractor may terminate the contract by serving notice in writing on the Board at any time.

(2) Where a contractor serves notice pursuant to sub-paragraph (1), the contract shall, subject to sub-paragraph (3), terminate six months after the date on which the notice is served (“the termination date”), save that if the termination date is not the last calendar day of a month, the contract shall instead terminate on the last calendar day of the month in which the termination date falls.

(3) Where the contractor is an individual medical practitioner, sub-paragraph (2) shall apply to the contractor, save that the reference to “ six months” shall instead be to “three months”.

(4) This paragraph and paragraph 101 are without prejudice to any other rights to terminate the contract that the contractor may have.

Commencement Information

I100 Sch. 5 para. 100 in operation at 29.3.2004, see reg. 1

Late payment notices N.I.

101.—(1) The contractor may give notice in writing (a “late payment notice”) to the Board if the Board has failed to make any payments due to the contractor in accordance with a term of the contract that has the effect specified in regulation 22, and the contractor shall specify in the late payment notice the payments that the Board has failed to make in accordance with that regulation.

(2) Subject to sub-paragraph (3), the contractor may, at least 28 days after having served a late payment notice, terminate the contract by a further written notice if the Board has still failed to make the payments due to the contractor, and that were specified in the late payment notice served on the Board pursuant to sub-paragraph (1).

(3) If, following receipt of a late payment notice, the Board refers the matter to the dispute resolution procedure within 28 days of the date upon which it is served with the late payment notice, and it notifies the contractor in writing that it has done so within that period of time, the contractor may not terminate the contract pursuant to sub-paragraph (2) until –

(a) there has been a determination of the dispute pursuant to paragraph 94 and that determination permits the contractor to terminate the contract; or

(b) the Board ceases to pursue the dispute resolution procedure,

whichever is the sooner.

Commencement Information

I101 Sch. 5 para. 101 in operation at 29.3.2004, see reg. 1

Termination by the Board: general N.I.

102.  The Board may only terminate the contract in accordance with the provisions in this Part.

Commencement Information

I102 Sch. 5 para. 102 in operation at 29.3.2004, see reg. 1

Termination by the Board for breach of conditions in regulation 4 N.I.

103.—(1) The Board shall serve notice in writing on the contractor terminating the contract forthwith if the contractor is an individual medical practitioner and the medical practitioner no longer satisfies the condition specified in regulation 4(1).

(2) Where the contractor is –

(a) two or more persons practising in partnership, and the condition specified in regulation 4(2)(a) is no longer satisfied; or

(b) a company limited by shares, and the condition specified in regulation 4(3)(a) is no longer satisfied,

sub-paragraph (3) shall apply.

(3) Where sub-paragraph (2)(a) or (b) applies, the Board shall –

(a) serve notice in writing on the contractor terminating the contract forthwith; or

(b) serve notice in writing on the contractor confirming that the Board will allow the contract to continue, for a period specified by the Board of up to six months (the “interim period”), during which time the Board shall, with the consent of the contractor, employ or supply a general medical practitioner to the contractor for the interim period to assist the contractor in the provision of clinical services under the contract.

(4) Before deciding which of the options in sub-paragraph (3) to pursue, the Board shall, whenever it is reasonably practicable to do so, consult the Local Medical Committee (if any) for its area.

(5) If the contractor does not, pursuant to sub-paragraph (3)(b), consent to the Board employing or supplying a general medical practitioner during the interim period, the Board shall serve notice in writing on the contractor terminating the contract forthwith.

(6) If, at the end of the interim period, the contractor still falls within sub-paragraph (2)(a) or (b), the Board shall serve notice in writing on the contractor terminating the contract forthwith.

Commencement Information

I103 Sch. 5 para. 103 in operation at 29.3.2004, see reg. 1

Termination by the Board for the provision of untrue etc. information N.I.

104.  The Board may serve notice in writing on the contractor terminating the contract forthwith, or from such date as may be specified in the notice if, after the contract has been entered into, it comes to the attention of the Board that written information provided to the Board by the contractor before the contract was entered into in relation to the conditions set out in regulation 4 and 5 (and compliance with those conditions) was, when given, untrue or inaccurate in a material respect.

Commencement Information

I104 Sch. 5 para. 104 in operation at 29.3.2004, see reg. 1

Other grounds for termination by the Board N.I.

105.—(1) The Board may serve notice in writing on the contractor terminating the contract forthwith, or from such date as may be specified in the notice if –

(a) in the case of a contract with a medical practitioner, that medical practitioner;

(b) in the case of a contract with two or more individuals practising in partnership, any individual or the partnership; and

(c) in the case of a contract with a company limited by shares –

(i) the company,

(ii) any person legally and beneficially owning a share in the company, or

(iii) any director or secretary of the company,

falls within sub-paragraph (2) during the existence of the contract.

(2) A person falls within this sub-paragraph if –

(a) it does not satisfy the conditions prescribed in Article 57B(2)(b) or (3)(b) of the Order;

(b) he is the subject of a general or national disqualification;

(c) subject to sub-paragraph (3), he is disqualified or suspended (other than by an interim suspension order or direction pending an investigation or a suspension on the grounds of ill-health) from practising by any licensing body anywhere in the world;

(d) subject to sub-paragraph (4), he has been dismissed (otherwise than by reason of redundancy) from any employment by a health services body unless before the Board has served a notice terminating the contract pursuant to this paragraph, he is employed by the health services body that dismissed him or by another health and social services body;

(e) he is disqualified from a primary medical services performers list unless his name has subsequently been included in such a list;

(f) he has been convicted in the United Kingdom of murder;

(g) he has been convicted in the United Kingdom of a criminal offence other than murder and has been sentenced to a term of imprisonment of over six months;

(h) subject to sub-paragraph (5), he has been convicted elsewhere of an offence which would if committed in Northern Ireland –

(i) constitute murder; or

(ii) constitute a criminal offence other than murder, and been sentenced to a term of imprisonment of over six months;

(i) he has been convicted of an offence referred to in Schedule 1 to the Children and Young Persons (Northern Ireland) Act 1968(25), Schedule 1 to the Children and Young Persons Act 1933(26) or Schedule 1 to the Criminal Procedure (Scotland) Act 1995(27);

(j) he has –

(i) been adjudged bankrupt or had sequestration of his estate awarded unless (in either case) he has been discharged or the bankruptcy order has been annulled,

(ii) been made the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 4A to the Insolvency Act 1986(28), unless that order has ceased to have effect or has been annulled,

(iii) made a composition or arrangement with, or granted a trust deed for, his creditors unless he has been discharged in respect of it,

(iv) been wound up under Part V of the Insolvency (Northern Ireland) Order 1989(29);

(k) there is –

(i) an administrator, administrative receiver or receiver appointed in respect of him, or

(ii) an administration order made in respect of him under Part III of the Insolvency (Northern Ireland) Order 1989;

(l) that person is a partnership and –

(i) a dissolution of the partnership is ordered by any competent court, tribunal or arbitrator, or

(ii) an event happens that makes it unlawful for the business of the partnership to continue, or for members of the partnership to carry on in partnership;

(m) he has been –

(i) removed from the office of charity trustee or trustee for a charity by an order made by the Charity Commissioners or the High Court on the grounds of any misconduct or mismanagement in the administration of the charity for which he was responsible or to which he was privy, or which he by his conduct contributed to or facilitated, or

(ii) removed under section 7 of the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990(30) (powers of the Court of Session to deal with management of charities), from being concerned in the management or control of any body;

(n) he is subject to a disqualification order under the Company Directors Disqualification (Northern Ireland) Order 2002(31), the Company Directors Disqualification Act 1986(32) or to an order made under section 429(2)(b) of the Insolvency Act 1986(33) (failure to pay under county court administration order);

(o) he has refused to comply with a request by the Board for him to be medically examined on the grounds that it is concerned that he is incapable of adequately providing services under the contract and, in a case where the contract is with two or more individuals practising in partnership or with a company, the Board is not satisfied that the contractor is taking adequate steps to deal with the matter.

(3) A Board shall not terminate the contract pursuant to sub-paragraph (2)(c) where the Board is satisfied that the disqualification or suspension imposed by a licensing body outside the United Kingdom does not make the person unsuitable to be –

(a) a contractor;

(b) a partner, in the case of a contract with two or more individuals practising in partnership; or

(c) in the case of a contract with a company limited by shares –

(i) a person legally and beneficially holding a share in the company, or

(ii) a director or secretary of the company,

as the case may be.

(4) A Board shall not terminate the contract pursuant to sub-paragraph (2)(d) –

(a) until a period of at least three months has elapsed since the date of the dismissal of the person concerned; or

(b) if, during the period of time specified in head (a), the person concerned brings proceedings in any competent tribunal or court in respect of his dismissal, until proceedings before that tribunal or court are concluded,

and the Board may only terminate the contract at the end of the period specified in head (b) if there is no finding of unfair dismissal at the end of those proceedings.

(5) A Board shall not terminate the contract pursuant to sub-paragraph (2)(h) where the Board is satisfied that the conviction does not make the person unsuitable to be –

(a) a contractor;

(b) a partner, in the case of a contract with two or more individuals practising in partnership; or

(c) in the case of a contract with a company limited by shares –

(i) a person legally and beneficially holding a share in the company, or

(ii) a director or secretary of the company,

as the case may be.

Commencement Information

I105 Sch. 5 para. 105 in operation at 29.3.2004, see reg. 1

106.  The Board may serve notice in writing on the contractor terminating the contract forthwith or with effect from such date as may be specified in the notice if –

(a) the contractor has breached the contract and as a result of that breach, the safety of the contractor’s patients is at serious risk if the contract is not terminated; or

(b) the contractor’s financial situation is such that the Board considers that the Board is at risk of material financial loss.

Commencement Information

I106 Sch. 5 para. 106 in operation at 29.3.2004, see reg. 1

[F2 Termination by the Board for unlawful sub-contracting N.I.

106A.   If the contractor breaches the condition specified in paragraph 64 (10) and it comes to the Board’s attention that the contractor has done so, the Board shall serve a notice in writing on the contractor –

(a) terminating the contract forthwith; or

(b) instructing him to terminate the sub-contracting arrangements that give rise to the breach forthwith, and if he fails to comply with the instruction, the Board shall serve a notice in writing on the contractor terminating the contract forthwith.]

Textual Amendments

F2 Sch. 5 Pt. 8 para. 106A inserted (16.12.2004) by The Primary Medical Services (Sale of Goodwill and Restrictions on Sub-contracting) Regulations (Northern Ireland) 2004 (S.R. 2004/477), reg. 4(2)

Termination by the Board: remedial notices and breach notices N.I.

107.—(1) Where a contractor has breached the contract other than as specified in paragraphs 103 to 106 and the breach is capable of remedy, the Board shall, before taking any action it is otherwise entitled to take by virtue of the contract, serve a notice on the contractor requiring it to remedy the breach (“remedial notice”).

(2) A remedial notice shall specify –

(a) details of the breach;

(b) the steps the contractor must take to the satisfaction of the Board in order to remedy the breach; and

(c) the period during which the steps must be taken (“the notice period”).

(3) The notice period shall, unless the Board is satisfied that a shorter period is necessary to –

(a) protect the safety of the contractor’s patients; or

(b) protect itself from material financial loss,

be no less than 28 days from the date that notice is given.

(4) Where a Board is satisfied that the contractor has not taken the required steps to remedy the breach by the end of the notice period, the Board may terminate the contract with effect from such date as the Board may specify in a further notice to the contractor.

(5) Where a contractor has breached the contract other than as specified in paragraphs 103 to 106 and the breach is not capable of remedy, the Board may serve notice on the contractor requiring the contractor not to repeat the breach (“breach notice”).

(6) If, following a breach notice or a remedial notice, the contractor –

(a) repeats the breach that was the subject of the breach notice or the remedial notice; or

(b) otherwise breaches the contract resulting in either a remedial notice or a further breach notice,

the Board may serve notice on the contractor terminating the contract with effect from such date as may be specified in that notice.

(7) The Board shall not exercise its right to terminate the contract under sub-paragraph (6) unless it is satisfied that the cumulative effect of the breaches is such that the Board considers that to allow the contract to continue would be prejudicial to the efficiency of the services to be provided under the contract.

(8) If the contractor is in breach of any obligation and a breach notice or a remedial notice in respect of that default has been given to the contractor, the Board may withhold or deduct monies which would otherwise be payable under the contract in respect of that obligation which is the subject of the default.

Commencement Information

I107 Sch. 5 para. 107 in operation at 29.3.2004, see reg. 1

Termination by the Board: additional provisions specific to contracts with two or more individuals practising in partnership and companies limited by shares N.I.

108.—(1) Where the contractor is a company limited by shares, if the Board becomes aware that the contractor is carrying on any business which the Board considers to be detrimental to the contractor’s performance of his obligations under the contract –

(a) the Board shall be entitled to give notice to the contractor requiring that he ceases carrying on that business before the end of a period of not less than 28 days beginning on and including the day on which the notice is given (“the notice period”); and

(b) if the contractor has not satisfied the Board that he has ceased carrying on that business by the end of the notice period, the Board may, by a further written notice, terminate the contract forthwith or from such date as may be specified in the notice.

(2) Where the contractor is two or more persons practising in partnership, the Board shall be entitled to terminate the contract by notice in writing on such date as may be specified in that notice where one or more partners have left the practice during the existence of the contract if in its reasonable opinion, the Board considers that the change in membership of the partnership is likely to have a serious adverse impact on the ability of the contractor or the Board to perform its obligations under the contract.

(3) A notice given to the contractor pursuant to sub-paragraph (2) shall specify –

(a) the date upon which the contract is to be terminated; and

(b) the Board’s reasons for considering that the change in the membership of the partnership is likely to have a serious adverse impact on the ability of the contractor or the Board to perform his obligations under the contract.

Commencement Information

I108 Sch. 5 para. 108 in operation at 29.3.2004, see reg. 1

Contract sanctions N.I.

109.—(1) In this paragraph and paragraph 110, “contract sanction” means –

(a) termination of specified reciprocal obligations under the contract;

(b) suspension of specified reciprocal obligations under the contract for a period of up to six months; or

(c) withholding or deducting monies otherwise payable under the contract.

(2) Where the Board is entitled to terminate the contract pursuant to paragraph 104, 105, 106 or 107(4) or (6) or paragraph 108, it may instead impose any of the contract sanctions if the Board is reasonably satisfied that the contract sanction to be imposed is appropriate and proportionate to the circumstances giving rise to the Board’s entitlement to terminate the contract.

(3) The Board shall not, under sub-paragraph (2), be entitled to impose any contract sanction that has the effect of terminating or suspending any obligation to provide, or any obligation that relates to, essential services.

(4) If the Board decides to impose a contract sanction, it must notify the contractor of the contract sanction that it proposes to impose, the date upon which that sanction will be imposed and provide in that notice an explanation of the effect of the imposition of that sanction.

(5) Subject to paragraph 110, the Board shall not impose the contract sanction until at least 28 days after it has served notice on the contractor pursuant to sub-paragraph (4) unless the Board is satisfied that it is necessary to do so in order to –

(a) protect the safety of the contractor’s patients; or

(b) protect itself from material financial loss.

(6) Where the Board imposes a contract sanction, the Board shall be entitled to charge the contractor the reasonable costs of additional administration that the Board has incurred in order to impose, or as a result of imposing, the contract sanction.

Commencement Information

I109 Sch. 5 para. 109 in operation at 29.3.2004, see reg. 1

Contract sanctions and the dispute resolution procedure N.I.

110.—(1) If there is a dispute between the Board and the contractor in relation to a contract sanction that the Board is proposing to impose, the Board shall not, subject to sub-paragraph (4), impose the proposed contract sanction except in the circumstances specified in sub-paragraph (2)(a) or (b).

(2) If the contractor refers the dispute relating to the contract sanction to the dispute resolution procedure within 28 days beginning on and including the date on which the Board served notice on the contractor in accordance with paragraph 109(4) (or such longer period as may be agreed in writing with the Board), and notifies the Board in writing that he has done so, the Board shall not impose the contract sanction unless –

(a) there has been a determination of the dispute pursuant to paragraph 94 and that determination permits the Board to impose the contract sanction; or

(b) the contractor ceases to pursue the dispute resolution procedure,

whichever is the sooner.

(3) If the contractor does not invoke the dispute resolution procedure within the time specified in sub-paragraph (2), the Board shall be entitled to impose the contract sanction forthwith.

(4) If the Board is satisfied that it is necessary to impose the contract sanction before the dispute resolution procedure is concluded in order to –

(a) protect the safety of the contractor’s patients; or

(b) protect itself from material financial loss,

the Board shall be entitled to impose the contract sanction forthwith, pending the outcome of that procedure.

Commencement Information

I110 Sch. 5 para. 110 in operation at 29.3.2004, see reg. 1

Termination and the dispute resolution procedure N.I.

111.—(1) Where the Board is entitled to serve written notice on the contractor terminating the contract pursuant to paragraph 104, 105, 106, 107(4) or (6) or 108, the Board shall, in the notice served on the contractor pursuant to those provisions, specify a date on which the contract terminates that is not less than 28 days after the date on which the Board has served that notice on the contractor unless sub-paragraph (2) applies.

(2) This sub-paragraph applies if the Board is satisfied that a period less than 28 days is necessary in order to –

(a) protect the safety of the contractor’s patients; or

(b) protect itself from material financial loss.

(3) In a case falling with sub-paragraph (1), where the exceptions in sub-paragraph (2) do not apply, where the contractor invokes the dispute resolution procedure before the end of the period of notice referred to in sub-paragraph (1), and he notifies the Board in writing that he has done so, the contract shall not terminate at the end of the notice period but instead shall only terminate in the circumstances specified in sub-paragraph (4).

(4) The contract shall only terminate if and when –

(a) there has been a determination of the dispute pursuant to paragraph 94 and that determination permits the Board to terminate the contract; or

(b) the contractor ceases to pursue the dispute resolution procedure,

whichever is the sooner.

(5) If the Board is satisfied that it is necessary to terminate the contract before the dispute resolution procedure is concluded in order to –

(a) protect the safety of the contractor’s patients; or

(b) protect itself from material financial loss,

sub-paragraphs (3) and (4) shall not apply and the Board shall be entitled to confirm, by written notice to be served on the contractor, that the contract will nevertheless terminate at the end of the period of the notice it served pursuant to paragraph 104, 105(1), 106, 107(4) or (6) or 108.

Commencement Information

I111 Sch. 5 para. 111 in operation at 29.3.2004, see reg. 1

Consultation with the Local Medical Committee N.I.

112.—(1) Whenever the Board is considering –

(a) terminating the contract pursuant to paragraph 104, 105, 106, 107(4) or (6) or 108; or

(b) imposing a contract sanction,

it shall, whenever it is reasonably practicable to do so, consult the Local Medical Committee (if any) for its area before it terminates the contract or imposes a contract sanction.

(2) Whether or not the Local Medical Committee has been consulted pursuant to sub-paragraph (1), whenever the Board imposes a contract sanction on a contractor or terminates a contract pursuant to this Part, it shall, as soon as reasonably practicable, notify the Local Medical Committee in writing of the contract sanction imposed or of the termination of the contract (as the case may be).

Commencement Information

I112 Sch. 5 para. 112 in operation at 29.3.2004, see reg. 1

PART 9 N.I. miscellaneous

Clinical governance N.I.

113.—(1) The contractor shall have an effective system of clinical governance.

(2) The contractor shall nominate a person who will have responsibility for ensuring the effective operation of the system of clinical governance.

(3) The person nominated under sub-paragraph (2) shall be a person who performs or manages services under the contract.

(4) In this paragraph “system of clinical governance” means a framework through which the contractor endeavours continuously to improve the quality of his services and safeguard high standards of care by creating an environment in which clinical excellence can flourish.

Commencement Information

I113 Sch. 5 para. 113 in operation at 29.3.2004, see reg. 1

Insurance N.I.

114.—(1) The contractor shall at all times hold adequate insurance against liability arising from negligent performance of clinical services under the contract.

(2) The contractor shall not sub-contract his obligations to provide clinical services under the contract unless he has satisfied himself that the sub-contractor holds adequate insurance against liability arising from negligent performance of such services.

(3) In this paragraph –

(a) “insurance” means a contract of insurance or other arrangement made for the purpose of indemnifying the contractor; and

(b) a contractor shall be regarded as holding insurance if it is held by an employee of his in connection with clinical services which that employee provides under the contract or, as the case may be, sub-contract.

Commencement Information

I114 Sch. 5 para. 114 in operation at 29.3.2004, see reg. 1

115.  The contractor shall at all times hold adequate public liability insurance in relation to liabilities to third parties arising under or in connection with the contract which are not covered by the insurance referred to in paragraph 114(1).

Commencement Information

I115 Sch. 5 para. 115 in operation at 29.3.2004, see reg. 1

Gifts N.I.

116.—(1) The contractor shall keep a register of gifts which –

(a) are given to any of the persons specified in sub-paragraph (2) by or on behalf of –

(i) a patient,

(ii) a relative of a patient, or

(iii) any person who provides or wishes to provide services to the contractor or his patients in connection with the contract; and

(b) have, in his reasonable opinion, an individual value of more than £100·00.

(2) The persons referred to in sub-paragraph (1) are –

(a) the contractor;

(b) where the contract is with two or more individuals practising in partnership, any partner;

(c) where the contract is with a company –

(i) any person legally and beneficially holding a share in the company, or

(ii) a director or secretary of the company;

(d) any person employed by the contractor for the purposes of the contract;

(e) any general medical practitioner engaged by the contractor for the purposes of the contract;

(f) any spouse of a contractor (where the contractor is an individual medical practitioner) or of a person specified in paragraphs (b) to (e); or

any person (whether or not of the opposite sex) whose relationship with a contractor (where the contractor is an individual medical practitioner) or with a person specified in paragraphs (b) to (e) has the characteristics of the relationship between husband and wife.

(3) Sub-paragraph (1) does not apply where –

(a) there are reasonable grounds for believing that the gift is unconnected with services provided or to be provided by the contractor;

(b) the contractor is not aware of the gift; or

(c) the contractor is not aware that the donor wishes to provide services to the contractor.

(4) The contractor shall take reasonable steps to ensure that he is informed of gifts which fall within sub-paragraph (1) and which are given to the persons specified in sub-paragraph (2)(b) to (g).

(5) The register referred to in sub-paragraph (1) shall include the following information –

(a) the name of the donor;

(b) in a case where the donor is a patient, the patient’s Central Health Index number or Health and Care number or, if the number is not known, his address;

(c) in any other case, the address of the donor;

(d) the nature of the gift;

(e) the estimated value of the gift; and

(f) the name of the person or persons who received the gift.

(6) The contractor shall make the register available to the Board on request.

Commencement Information

I116 Sch. 5 para. 116 in operation at 29.3.2004, see reg. 1

Compliance with legislation and guidance N.I.

117.  The contractor shall –

(a) comply with all relevant legislation; and

(b) have regard to all relevant guidance issued by the Board or the Department.

Commencement Information

I117 Sch. 5 para. 117 in operation at 29.3.2004, see reg. 1

Third party rights N.I.

118.  The contract shall not create any right enforceable by any person not a party to it.

Commencement Information

I118 Sch. 5 para. 118 in operation at 29.3.2004, see reg. 1

(1)

S.R. 2002/1

(2)

1971 c. 38

(3)

Schedule 4 was amended by S.R. 2003/314

(4)

Article 57D was inserted into the Order by Article 4 of the 2004 Order Back [4]

(5)

Article 3B was inserted into the POM Order by S.I. 2003/696

(6)

Article 57D was inserted into the Order by Article 4 of the 2004 Order

(7)

1968 c. 67

(8)

1972 c. 68

(9)

O.J. No. L311, 28.11.2001, p. 67

(10)

Regulation 12 was amended by S.R. 2001/222

(11)

Article 57D was inserted into the Order by Article 4 of the 2004 Order

(12)

1968 c. 67

(13)

1983 c. 54; section 41A was inserted by S.I. 2000/1803

(14)

1983 c. 54; section 15A was inserted by regulations 2 and 3 of S.I. 2000/3041

(15)

This document is published jointly by the General Practitioners Committee of the British Medical Association and the NHS Confederation. It is available on the Confederation’s website at www.nhsconfed.org or a copy may be obtained by writing to the NHS Confederation, 1 Warwick Row, London, SW1E 5ER

(16)

RFA99 is published by the NHS Information Authority. Version 1.0 was published in October 1999 and version 1.2 (DTS/Nursing Prescribing) in August 2003. Copies are available on the NHS Information Authority’s website at www.nhsia.uk/sat/specification/pages. Copies may be obtained by writing to the NHS Information Authority, Systems Accreditation and Testing team, Aqueous 2, Aston Cross, Rocky Lane, Birmingham B6 5RQ

(17)

Article 56 was inserted into the Order by Article 3 of the 2004 Order

(18)

S.I. 1986 c. 45

(19)

Article 57B was inserted into the Order by Article 4 of the 2004 Order

(20)

S.I. 1995/755 (N.I. 2)

(21)

1970 c. 42; section 1 was amended by the Local Government Act 1972 (c. 70), section 195 and by the Local Government (Wales) Act 1994 (c. 19), Schedule 10, paragraph 7

(22)

1994 c. 39

(23)

Where the dispute relates to a contract which is a HSS contract, Article 8(4) of the 1991 Order applies

(24)

Article 57 was inserted into the Order by Article 4 of the 2004 Order

(25)

c. 34 (N.I)

(26)

1933 c 12 as amended by the Criminal Justice Act 1988 (1988 c. 33), section 170, Schedule 15, paragraph 8 and Schedule 16, paragraph 16; Sexual Offences Act 1956 (1956 c. 69), sections 48 and 51 and Schedule 3 and as modified by the Criminal Justice Act 1988, section 170(1), Schedule 15, paragraph 9

(27)

1995 c. 46

(28)

1986 c. 45. Schedule 4A was inserted by section 257 of and Schedule 2 to the Enterprise Act 2002 (c. 40)

(29)

S.I. 1989/2405 (N.I. 19)

(30)

1990 c. 40

(31)

S.I. 2002/3150 (N.I. 4)

(32)

1986 c. 46 as amended by the Insolvency Act 2000 (2000 c. 39)

(33)

1986 c. 45