The National Health Service (Quality Accounts) Regulations 2010

Citation, commencement and interpretation E+W

1.—(1) These Regulations may be cited as the National Health Service (Quality Accounts) Regulations 2010 and shall come into force on 1st April 2010.

(2) In these Regulations—

“the 2006 Act” means the National Health Service Act 2006;

“the 2009 Act” means the Health Act 2009;

“relevant document” means a document which must be published under section 8(1) or (3) of the 2009 Act.

(3) For the purposes of these Regulations—

(a) “NHS services” M1 does not include the services exempted by regulation 2;

(b) a body or person sub-contracts services where—

(i) in the case of a body listed in section 8(2) of the 2009 Act, they make arrangements for a person not listed in section 8(2) or (3) of that Act to provide those services; and

(ii) in the case of a person listed in section 8(3) of the 2009 Act, they make arrangements as mentioned in section 2(5)(a) of that Act for another person to provide those services; and

(c) references to NHS services provided by a body or person are a reference to—

(i) in the case of a body listed in section 8(2) of the 2009 Act, any NHS services provided by that body; and

(ii) in the case of a person listed in section 8(3) of the 2009 Act, any NHS services provided by that person as mentioned in section 2(4)(a) or (b) of the 2009 Act, or which that person assists in providing as mentioned in section 2(4)(b) of that Act.

Marginal Citations

M1 “NHS services” otherwise has the meaning given in section 2(7) of the Health Act 2009; see section 8(6) of that Act.

Exemption for community health services and primary care services E+W

2.—(1) Section 8(1) and (3) of the 2009 Act (duty of provider to publish information) does not apply to community health services and primary care services.

(2) For the purpose of this regulation—

“community health services” means any services which the Secretary of State may provide under section 3(1)(d) or (e) (Secretary of State's duty as to provision of certain services) of, or paragraph 2 or 7A M2 of Schedule 1 (further provision about the Secretary of State and services etc.) to, the 2006 Act and any service which he has a duty to provide under paragraph 1 or 8 of that Schedule;

“primary care services” means NHS services—

(a)

provided under a contract, agreement or arrangement made under or by virtue of the following provisions of the 2006 Act—

(i)

section 83(2)(b) (arrangements made by PCTs for provision of primary medical services),

(ii)

section 84(1) (general medical services contracts),

(iii)

section 92 (other arrangements for the provision of primary medical services),

(iv)

section 100(1) (general dental services contracts),

(v)

section 107(1) (other arrangements for the provision of primary dental services),

(vi)

section 117(1) (general ophthalmic services contracts),

(vii)

section 126(1) (pharmaceutical services),

(viii)

section 127(1) (additional pharmaceutical services), or

(ix)

Schedule 12 (local pharmaceutical services schemes); or

(b)

provided by a Primary Care Trust pursuant to section 83(2)(a) (primary medical services), 99(2) (primary dental services) or 115(4)(a) (primary ophthalmic services) of the 2006 Act.

Marginal Citations

M2 Paragraph 7A was inserted by section 143 of the Health and Social Care Act 2008 (c. 14).

Exemption for small providers from duty to publish information E+W

3.—(1) Section 8(1) and (3) of the 2009 Act does not apply to a body or person in respect of a reporting period, where paragraph (2) applies.

(2) This paragraph applies to a body or person—

(a) which on the relevant date employed no more than fifty full time equivalent employees; and

(b) whose total income in relation to the reporting period under all contracts, agreements or arrangements with Primary Care Trusts and Strategic Health Authorities for the provision of NHS services, is not more than £130,000.

(3) The number of full time equivalent employees is calculated by dividing the total number of hours worked by all employees on the relevant date by the average standard contracted hours for the employing body or person for that period.

(4) For the purposes of this regulation, “the relevant date” in relation to a reporting period is—

(a) for any body or person not providing or subcontracting NHS services on 1st April, the first day in that period the body or person provides or sub-contracts NHS services; or

(b) in all other cases 1st April in that period.

Prescribed information, content and form of document E+W

4.—(1) A relevant document must consist of 4 parts as follows—

(a) Part 1, containing a statement summarising the provider's M3 view of the quality of NHS services provided or sub-contracted by the provider during the reporting period and the statement referred to in regulation 6;

(b) Part 2, containing the information relevant to the quality of NHS services provided or sub-contracted by the provider during the reporting period which is prescribed for the purposes of section 8(1) or (3) of the 2009 Act by paragraph (2) and the information required by regulation 7;

(c) Part 3, containing other information relevant to the quality of NHS services provided or sub-contracted by the provider during the reporting period which is included in the document by the provider; and

(d) an annex containing the statements or copies of the statements referred to in regulation 5.

(2) The information prescribed for the purposes of section 8(1) or (3) of the 2009 Act is the information specified in column 1 of the table in the Schedule as presented in the form of the statements specified in column 2 of that table.

(3) The annex referred to in paragraph (1)(d) is not required in a draft relevant document supplied under regulations 8 to 10

Marginal Citations

M3 See section 9(1) of the Health Act 2009 for the meaning of “the provider”.

Written statements by other bodies E+W

5.—(1) The statements or copies of statements referred to in regulation 4(1)(d) are—

(a) a copy of any written statement provided under regulation 8(2)(b);

(b) a copy of any written statement relating to the content of the relevant document, which is no more than 500 words in length, provided prior to publication by an appropriate Local Involvement Network in response to the draft received pursuant to regulation 9;

(c) a copy of any written statement relating to the content of the relevant document, which is no more than 500 words in length, provided prior to publication in response to the draft received pursuant to regulation 10 by—

(i) the appropriate Overview and Scrutiny Committee, or

(ii) a joint overview and scrutiny committee carrying out the functions of that Overview and Scrutiny Committee under regulations under section 245 of the 2006 Act (joint overview and scrutiny committees etc.); and

(d) a statement by the provider setting out any changes made to the relevant document following receipt of such written statements.

(2) For the purpose of this regulation, “appropriate Local Involvement Network” and “appropriate Overview and Scrutiny Committee” have the same meaning as in regulations 9 and 10.

Signature by senior employee E+W

6.—(1) The relevant document must include a written statement, at the end of Part 1, signed by the responsible person for the provider that to the best of that person's knowledge the information in the document is accurate.

(2) For the purpose of this regulation “the responsible person” means, where the provider is—

(a) a body corporate or partnership, the most senior employee;

(b) an unincorporated body of persons other than a partnership, a member of the provider's governing body or the most senior employee of the provider; or

(c) an individual, that individual.

Priorities for improvement E+W

7.—(1) The relevant document must include, in Part 2, a description of the areas for improvement in the quality of NHS services that the provider intends to provide or sub-contract for the 12 months following the end of the reporting period.

(2) The description must include—

(a) at least three priorities for improvement;

(b) how progress to achieve the priorities identified in paragraph (a) will be monitored and measured by the provider; and

(c) how progress to achieve the priorities identified in paragraph (a) will be reported by the provider.

Document assurance by commissioning Primary Care Trust or Strategic Health Authority E+W

8.—(1) The provider must provide a copy of the draft relevant document to the commissioning Primary Care Trust or Strategic Health Authority within 30 days beginning with 1st April following the end of the reporting period.

(2) The commissioning Primary Care Trust or Strategic Health Authority must—

(a) take reasonable steps to check the accuracy of the information contained in the draft relevant document in relation to NHS services provided or sub-contracted by the provider under contracts, agreements or arrangements with that Primary Care Trust or Strategic Health Authority;

(b) provide a written statement, which is no longer than 500 words in length—

(i) confirming whether or not they consider the draft relevant document contains accurate information in relation to NHS services provided or sub-contracted by the provider under contracts, agreements or arrangements with that Primary Care Trust or Strategic Health Authority; and

(ii) containing any other information they consider relevant to the quality of NHS services provided or sub-contracted by the provider during the reporting period,

within 30 days beginning with the date the draft relevant document is received by the commissioning Primary Care Trust or Strategic Health Authority.

(3) For the purpose of this Regulation “commissioning Primary Care Trust or Strategic Health Authority” means—

(a) where the provider is a Primary Care Trust, the Strategic Health Authority for the area in which the Trust is established;

(b) where all the NHS services that the provider provides or sub-contracts are provided under contracts, agreements or arrangements with one Strategic Health Authority, but no Primary Care Trusts that Strategic Health Authority;

(c) where the provider provides or sub-contracts NHS services under contracts, agreements or arrangements with more than one Strategic Health Authority but no Primary Care Trusts, the Strategic Health Authority which is responsible for the largest number of patients to which the provider has provided NHS services during the reporting period;

(d) where all the NHS services that the provider provides or sub-contracts are provided under contracts, agreements or arrangements with one Primary Care Trust, that Primary Care Trust;

(e) where the provider provides or sub-contracts NHS services under contracts, agreements or arrangements with more than one Primary Care Trust and one or more of those Primary Care Trusts co-ordinates the commissioning of services by some or all of those Trusts (“a co-ordinating commissioning PCT”)—

(i) the co-ordinating commissioning Primary Care Trust, or

(ii) where there is more than one co-ordinating commissioning PCT—

(aa) the co-ordinating commissioning PCT in the Strategic Health Authority area in which the provider is located which is responsible for the largest number of patients to which the provider has provided or sub-contracted NHS services during the reporting period, or

(bb) if there is no co-ordinating commissioning PCT in the Strategic Health Authority area in which the provider is located the co-ordinating commissioning PCT which is responsible for the largest number of patients to which the provider has provided or sub-contracted NHS services during the reporting period; or

(f) where the provider provides or sub-contracts NHS services under contracts, agreements or arrangements to more than one Primary Care Trust and there is no co-ordinating commissioning PCT, the Primary Care Trust which is responsible for the largest number of patients to which the provider has provided NHS services during the reporting period.

(4) A Primary Care Trust is responsible for a patient if the Trust must secure the provision of services for the benefit of that patient by virtue of—

(a) directions given by the Secretary of State under section 7 of the 2006 Act; or

(b) arrangements by Primary Care Trusts for the exercise of functions under regulation 10 of the 2002 Regulations.

(5) A Strategic Health Authority is responsible for a patient if the authority must secure the provision of services for the benefit of that patient, by virtue of—

(a) directions given by the Secretary of State under section 7 of the 2006 Act; or

(b) arrangements by Strategic Health Authorities for the exercise of functions under regulation 9 of the 2002 Regulations.

(6) For the purpose of this Regulation “the 2002 Regulations” means the National Health Service (Functions of Strategic Health Authorities and Primary Care Trusts and Administration Arrangements) (England) Regulations 2002 M4 .

Marginal Citations

M4 S.I. 2002/2375. Regulation 9 was amended by S.I. 2003/1497 and S.I.2004/865. Regulation 10 was amended by S.I. 2003/1497, S.I. 2004/865, S.I.2008/3166 and S.I. 2009/462.

Document assurance by appropriate Local Involvement Network E+W

9.—(1) The provider must provide a copy of the draft relevant document to each appropriate Local Involvement Network within 30 days beginning with 1st April following the end of the reporting period.

(2) For the purpose of this Regulation—

“Local Involvement Network” means a person who in pursuance of arrangements under section 221 of the Local Government and Public Involvement in Health Act 2007 M5 (health services and social services: local involvement networks) carries on activities specified in section 221(2) of that Act for a local authority area;

“appropriate Local Involvement Network” means a Local Involvement Network in the local authority area in which the provider has its registered or principal office located.

Marginal Citations

M5 2007 c. 28.

Document assurance by appropriate Overview and Scrutiny Committee E+W

10.—(1) The provider must provide a copy of the draft relevant document to the appropriate Overview and Scrutiny Committee within 30 days beginning with 1st April following the end of the reporting period.

(2) For the purpose of this Regulation—

“Overview and Scrutiny Committee” means an overview and scrutiny committee of any local authority to which section 244 of the 2006 Act applies (functions of overview and scrutiny committees);

“the appropriate Overview and Scrutiny Committee” means the Overview and Scrutiny Committee of the local authority in whose area the provider has its registered or principal office located.

Publication and provision of copies E+W

11.  By 30th June following the end of the reporting period—

(a) the relevant document must be published by making the document electronically available on the NHS Choices website M6 , or another website if that website is not available at the time of publication; and

(b) a copy of the relevant document must be sent to the Secretary of State.

Marginal Citations

M6 See http://www.nhs.uk/Pages/HomePage.aspx.

Signed by authority of the Secretary of State for Health

Mike O'Brien

Minister of State

Department of Health

8th February 2010