PART 1 General

Citation and commencement

1.—(1) These Regulations may be cited as the National Health Service (Personal Medical Services Agreements) Regulations 2015.

(2) They come into force on 7th December 2015.

Application

2. These Regulations apply to an agreement—

(a)^M1to which the National Health Service (Personal Medical Services Agreements) Regulations 2004 applied immediately before the date on which these Regulations come into force; or

(b)which is entered into between a contractor and [^F1NHS England^F1] on or after that date.

Interpretation

3. In these Regulations—

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

“ 2004 Regulations ” means the National Health Service (Personal Medical Services Agreements) Regulations 2004 ;

^M2 “ adjudicator ” means the Secretary of State or a person or persons appointed by the Secretary of State under section 9(8) of the Act (NHS contracts) or under regulation 76(5)(b);

[^F2 “ advanced electronic signature ” means an electronic signature which meets the following requirements—

^M3 “agreement”, except in regulation 88 [^F3 or in the definitions of “contract of engagement” and “third party contract” in regulation 21AA ^F3] , means an agreement for primary medical services made under section 92 of the Act (arrangements by [^F1 NHS England ^F1] for the provision of primary medical services);

^M4 “ appliance ” means an appliance which is included in a list for the time being approved by the Secretary of State for the purposes of section 126 of the Act (arrangements for pharmaceutical services);

[^F4 “appropriate person”—

“ 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 armed forces of the Crown;

^M5 “ armed forces of the Crown ” means the forces that are “regular forces” or “reserve forces” within the meaning given in section 374 of the Armed Forces Act 2006 ;

“ assessment panel ” means the panel appointed by [^F1 NHS England ^F1] for the purposes of making determinations under paragraph 40(3) of Schedule 2;

[^F5 “authorised person”, in relation to a patient, is a person who is entitled to make an application for pharmaceutical services on behalf of the patient by virtue of regulation 116(a) to (c) of the National Health Service (Pharmaceutical and Local Pharmaceutical Services) Regulations 2013 (authorised persons to apply for services) ; ^F5]

^M6 “ bank holiday ” means any day that is specified or proclaimed as a bank holiday in England and Wales under section 1 of the Banking and Financial Dealings Act 1971 (bank holidays) ;

“ batch issue ” means a form, in the format required by [^F1 NHS England ^F1] and approved by the Secretary of State, which—

^F6...

^F7...

^F8 “ CCT ” means a certificate of completion of training awarded under section 34L(1) of the Medical Act 1983 (award and withdrawal of a Certificate of Completion of Training) ...;

“ charity trustee ” means one of the persons having the general control, management and administration of a charity;

“ chemist ” means—

^M8who is included in the list held by [^F1NHS England^F1] under section 129 of the Act (regulations as to pharmaceutical services), or a local pharmaceutical services scheme made under Schedule 12 to the Act (LPS Schemes);

“ child ” [^F9 , other than in Part 2A of Schedule 2, ^F9] means a person who has not attained the age of 16 years;

“ chiropodist or podiatrist independent prescriber ” means a person who—

“ clinical services ” means medical services under the agreement which relate to the actual observation and treatment of patients;

“ closed ”, in relation to a contractor's list of patients, means closed to applications for inclusion in the list of patients other than from immediate family members of registered patients;

“contractor”, except in regulation 5, means a person or persons other than [^F1 NHS England ^F1] who is a party, or who are parties, to the agreement;

[^F11 “contractor’s EPS phase 4 date” means the date, encoded within the Electronic Prescription Service software, which is the date that a contractor has agreed is to be the date on and after which the contractor’s prescribers are to use the Electronic Prescription Service for all eligible prescriptions; ^F11]

“ contractor's list of patients ” means the list prepared and maintained by [^F1 NHS England ^F1] under paragraph 13 of Schedule 2;

“ core hours ” means [^F12 , subject to regulation 3A(1), ^F12] the period beginning at 8.00am and ending at 6.30pm on any day from Monday to Friday except Good Friday, Christmas Day or bank holidays;

[^F13 “ digital practice area map ” means a map of the practice area produced on digital tools provided by NHS England; ^F13]

[^F14 “ directly bookable appointment ” means an appointment of a type which, in line with the guidance entitled “Directly bookable appointments – guidance for practices” issued by NHS England, is available for booking by a registered patient or an appropriate person on their behalf; ^F14]

“ dispenser ” means a chemist, medical practitioner or contractor whom a patient would like to dispense the patient's electronic prescriptions;

^M10 “ dispensing services ” means the provision of drugs, medicines or appliances that may be provided as pharmaceutical services by a medical practitioner in accordance with arrangements under section 126 (arrangements for pharmaceutical services) and section 132 (persons authorised to provide pharmaceutical services) of the Act ;

^M11 “ Drug Tariff ” means the publication known as the Drug Tariff which is published by the Secretary of State and which is referred to in section 127(4) of the Act (arrangements for additional pharmaceutical services);

^M12 “ electronic communication ” has the meaning given in section 15 of the Electronic Communications Act 2000 (general interpretation) ;

“ electronic prescription ” means an electronic prescription form or an electronic repeatable prescription;

“ electronic prescription form ” means a prescription form which falls within paragraph (b) of the definition of “prescription form”;

“ Electronic Prescription Service ” means the service of that name which is managed by [^F15 NHS England ^F15] ;

“ electronic repeatable prescription ” means a prescription which falls within paragraph (b) of the definition “repeatable prescription”;

[^F16 “ electronic signature ” means data in electronic form which is attached to or logically associated with other data in electronic form and which is used by the signatory to sign;

“ electronic signature creation data ” means unique data which is used by the signatory to create an electronic signature; ^F16]

[^F17 “ English health service medicine ” means a medicinal product used to any extent for the purposes of the health service continued under section 1(1) of the Act; ^F17]

[^F18 “EPS token” means a form (which may be an electronic form), approved by the Secretary of State, which—

“ essential services ” means the services required to be provided in accordance with regulation 17 of the General Medical Services Contracts Regulations;

“ financial year ” has the meaning given in section 275(1) of the Act (interpretation);

^M13 “ general medical practitioner ” means a medical practitioner whose name is included in the General Practitioner Register kept by the General Medical Council under section 2 of the Medical Act 1983 (registration of medical practitioners) ;

^M14 “ General Medical Services Contracts Regulations ” means the National Health Service (General Medical Services Contracts) Regulations 2015 ;

[^F19 “ GPIT Operating Model ” means the document entitled “Securing Excellence in Primary Care (GP) Digital Services: The Primary Care (GP) Digital Services Operating Model 2021-23 V5” issued by NHS England; ^F19]

^M15 “ GP Specialty Registrar ” means a general medical practitioner who is being trained in general practice by a general medical practitioner who is approved under section 34I(1)(c) of the Medical Act 1983 (postgraduate education and training: approvals) for the purpose of providing training in accordance with that section, whether as part of training leading to a CCT or otherwise;

^M16 “ Health and Social Services Board ” means a Health and Social Services Board established under article 16 the Health and Social Services (Northern Ireland) Order 1972 (establishment of Health and Social Services Boards);

^M17 “ Health and Social Services Trust ” means a Health and Social Services Trust established under article 10 of the Health and Personal Services (Northern Ireland) Order 1991 (ancillary services) ;

^M18 “ Health Board ” means a Health Board established under section 2 of the National Health Service (Scotland) Act 1978 (Health Boards) ;

^M19 “ health care professional ” has the meaning given in section 108 of the Act (participants in section 107 arrangements) and “ health care profession ” is to be construed accordingly;

^M20 “ health service body ” has the meaning given in section 9(4) of the Act (NHS contracts);

“ home oxygen order form ” means a form provided by [^F1 NHS England ^F1] and issued by a health care professional to authorise a person to supply home oxygen services to a patient requiring oxygen therapy at home;

“ home oxygen services ” means any of the following forms of oxygen therapy or supply—

“ immediate family member ” means—

“ independent nurse prescriber ” means a person—

[^F20 “ integrated care board ” means an integrated care board established under Chapter A3 of Part 2 of the Act; ^F20]

“ licensing body ” means a body that licenses or regulates a profession;

^F21...

^F21...

[^F22 “ listed prescription items ” means the prescription items mentioned in regulation 13(1) of the National Health Service (Charges for Drugs and Appliances) Regulations 2015 (exemption from charges: risks to public health); ^F22]

[^F22 “ listed prescription items voucher ” means a form which—

^M22 “ Local Health Board ” means a body established under section 11 of the National Health Service (Wales) Act 2006 (Local Health Boards) ;

^M23 “ Local Medical Committee ” means a committee recognised by [^F1 NHS England ^F1] under section 97 of the Act (local medical committees);

^F23...

^M24 “ medical performers list ” means the list of medical practitioners maintained and published by [^F1 NHS England ^F1] in accordance with section 91 of the Act (persons performing medical services);

^M25 “ Medical Register ” means the registers kept under section 2 of the Medical Act 1983 (registration of medical practitioners) ;

“ national disqualification ” means—

^M28 “ NHS contract ” has the meaning given in section 9 of the Act (NHS contracts);

“ NHS dispute resolution procedure ” means the procedure for the resolution of disputes specified—

[^F24 “ NHS England ” means the body corporate established under section 1H of the Act; ^F24]

^M29 “ NHS foundation trust ” has the meaning given in section 30 of the Act (NHS foundation trusts);

^M30 “ NHS trust ” means a body established under section 25 of the Act (NHS trusts);

“ nominated dispenser ” means a chemist, medical practitioner or contractor who has been nominated in respect of a patient where the details of that nomination are held in respect of that patient in the Patient Demographics Service which is operated by [^F15 NHS England ^F15] ;

“ non-electronic prescription form ” means a prescription form which falls within paragraph (a) of the definition of “prescription form”;

“ non-electronic repeatable prescription ” means a prescription form for the purpose of ordering a drug, medicine or appliance which—

“ normal hours ” means those days and hours on which and the times at which services under the agreement are normally made available and may be different for different services;

^M31 “ Nursing and Midwifery Register ” means the register maintained by the Nursing and Midwifery Council under article 5 of the Nursing and Midwifery Order 2001 (establishment and maintenance of register) ;

[^F25 “online consultation tool” has the meaning given in regulation 64ZD; ^F25]

[^F26 “online practice profile” has the meaning given in regulation 66(7); ^F26]

“ open ”, in relation to a contractor's list of patients, means open to applications from patients in accordance with paragraph 17 of Schedule 2;

“ optometrist independent prescriber ” means a person—

“ out of hours period ” means [^F27 subject to regulation 3A(2) ^F27] —

and “part” of an out of hours period means any part of any one or more of the periods described in paragraphs (a) to (c);

“ out of hours services ” means the services required to be provided in all or part of the out of hours period which would be essential services if provided by a contractor to its registered patients in core hours;

[^F28 “paramedic independent prescriber” means a person—

“ parent ” includes, in relation to any child, an adult who, in the opinion of the contractor, is for the time being discharging in respect of that child the obligations normally attaching to a parent in respect of their child;

“ patient ” means—

“ performer ” means a performer of medical services under the agreement to whom the provisions of Part 8 of these Regulations applies;

“ pharmacist independent prescriber ” means a person who—

“ physiotherapist independent prescriber ” means a person who is—

^M36 “ post-registration programme ” means a programme that is for the time being recognised by the General Medical Council under regulation 10A of the Medical Act 1983 (programmes for provisionally registered doctors) as providing registered doctors with an acceptable foundation for future practise as a fully registered medical practitioner;

“ practice ” means the business operated by the contractor for the purpose of delivering services under the agreement;

“ practice area ” means the area specified in the agreement as the area in which essential services are to be provided;

“ practice leaflet ” means a leaflet drawn up in accordance with regulation 71;

“ practice premises ” means an address specified in the agreement as one at which services are to be provided under the agreement;

[^F31 “practice website” means [^F32 a ^F32] website through which the contractor advertises the primary medical services it provides; ^F31]

[^F33 “ prescriber ” means—

“ prescription form ” means—

^M38 “ prescription only medicine ” means a medicine referred to in regulation 5(3) of the Human Medicines Regulations 2012 (classification of medicinal products) ;

“ primary care list ” means—

^M40 “ Primary Care Trust ” means the Primary Care Trust which was a party to the agreement immediately before the coming into force of section 34 of the Health and Social Care Act 2012 (abolition of Primary Care Trusts) ;

“ primary carer ” means, in relation to an adult, the adult or organisation primarily caring for that adult;

[^F35 “ Primary Medical Services (Directed Enhanced Services) Directions ” means directions relating to provision of enhanced services given to NHS England under section 98A(3) of the Act; ^F35]

“ primary medical services ” means medical services provided under or by virtue of a contract or agreement to which Part 4 of the Act applies;

[^F36 “private services” means the provision of any treatment which would amount to primary medical services if it was provided under or by virtue of a contract or agreement to which the provisions of Part 4 of the Act apply; ^F36]

“ registered patient ” means a person—

“ relevant register ” means—

[^F19 “ remote service ” means—

“ repeat dispensing services ” means pharmaceutical services or local pharmaceutical services which involve the provision of drugs, medicines or appliances by a chemist in accordance with a repeatable prescription;

“ repeatable prescriber ” means a prescriber who is—

“ repeatable prescribing services ” means services which involve the prescribing of drugs, medicines or appliances on a repeatable prescription;

“ repeatable prescription ” means—

“ restricted availability appliance ” means an appliance which is approved for particular categories of persons or particular purposes only;

“ Scheduled drug ” means—

[^F40 “ signatory ” means a natural person who creates an electronic signature; ^F40]

“ supplementary prescriber ” means a person—

[^F43 “ temporary resident ” means a person—

[^F44 “therapeutic radiographer independent prescriber” means a radiographer—

“ working day ” means any day except Saturday, Sunday, Christmas Day, Good Friday or a bank holiday; and

“writing”, except in paragraph 52(1) of Schedule 2, includes electronic mail and “ written ” is to be construed accordingly.

[^F46Variation of core hours while a disease is or in anticipation of a disease being imminently pandemic etc.

3A. —(1) In these Regulations, “core hours” means the period beginning at 8.00am and ending at 6.30pm on any day from Monday to Friday in circumstances where, in order to assist in the management of a serious or potentially serious risk to human health arising as a consequence of a disease being, or in anticipation of a disease being imminently—

(a)pandemic; and

(b)a serious risk or potentially a serious risk to human health,

[[^F47,F1 NHS England^F1] with the agreement of the Secretary of State has made an announcement^F47] to the effect that the core hours of contractors in the area specified in the announcement are to include Good Friday and bank holidays in the circumstances specified, and for the duration of the period specified, in the announcement.

(2) In these Regulations, in the circumstances described in paragraph (1), “out of hours period means—

(a)the period beginning at 6.30pm on any day from Monday to Friday and ending at 8.00am on the following day; and

(b)the period beginning at 6.30pm on Friday and ending at 8.00am on the following Monday.

Amendment and withdrawal of announcements and advice in respect of pandemics etc.

3B. In these Regulations, where reference is made to an announcement or advice of [^F1 NHS England^F1] that relates to a disease being, or in anticipation of a disease being imminently—

(a)pandemic; and

(b)a serious risk or potentially serious risk to human health,

it is to that announcement or advice, which may be withdrawn at any time, as amended from time to time.^F46]

PART 2 Agreements

Conditions: general

4.—(1)[^F1 NHS England^F1] may only enter into an agreement if the conditions specified in regulation 5 are met.

^M49(2) Paragraph (1) is subject to the provisions of any scheme made by the Secretary of State under section 300 (transfer schemes)[^F48 (before its repeal), section 302 (transfer schemes in respect of previously transferred property)^F48] and section 303 (power to make consequential provision) of the Health and Social Care Act 2012 .

General condition relating to all agreements

5.—(1)[^F1 NHS England^F1] must not enter into an agreement with—

(a)a person falling within section 93(1)(b) to (d) of the Act (persons with whom agreements may be made under section 92), to whom paragraph (2) applies;

(b)a qualifying body if paragraph (2) applies to—

(i)the qualifying body,

(ii)any person both legally and beneficially owning a share in the qualifying body, and

(iii)any director or secretary of the qualifying body.

(2) This paragraph applies if—

(a)the contractor is the subject of a national disqualification;

(b)subject to paragraph (3), the contractor is disqualified or suspended (other than by interim suspension order or direction pending an investigation) from practising by a licensing body anywhere in the world;

(c)the contractor has, within the period of five years before the signing of the agreement or commencement of the agreement (whichever is the earlier) been dismissed (otherwise than by reason of redundancy) from any employment with a health service body, unless—

(i)if the contractor was employed as a member of a health care profession at the time of the dismissal, the contractor has not subsequently been employed by that health service body or by another health service body, and

(ii)the dismissal was the subject of a finding of unfair dismissal by any competent tribunal or a court;

(d)^M50the contractor has, within the period of five years before the signing of the agreement or commencement of the agreement (whichever is the earlier), been removed from, or refused admission to, a primary care list by reason of inefficiency, fraud or unsuitability (within the meaning of section 151(2), (3) and (4) of the Act (disqualification of practitioners)), or a performers list held by [^F1NHS England^F1] by virtue of regulations made under section 91(3) (persons performing primary medical services) of the Act, unless the contractor's name has subsequently been included in such a list;

(e)the contractor has been convicted in the United Kingdom of murder;

(f)the contractor has been convicted in the United Kingdom of a criminal offence other than murder committed on or after 1st April 2002 and has been sentenced to a term of imprisonment of longer than six months;

(g)subject to paragraph (3), the contractor has been convicted outside of the United Kingdom of an offence which would, if committed in England and Wales, constitute murder and—

(i)the offence was committed on or after 3rd November 2003; and

(ii)the contractor was sentenced to a term of imprisonment of longer than six months;

(h)^M51,M52the contractor has been convicted of an offence referred to in Schedule 1 to the Children and Young Persons Act 1933 (offences against children and young persons, with respect to which special provisions of this Act apply), or in Schedule 1 to the Criminal Procedure (Scotland) Act 1995 (offences against children under the age of 17 years to which special provisions apply) committed on or after 1st April 2004;

(i)the contractor has at any time been included in—

(i)^M53any barred list within the meaning of section 2 of the Safeguarding Vulnerable Groups Act 2006 (barred lists), or

(ii)^M54any barred list within the meaning of article 6 of the Safeguarding Vulnerable Groups (Northern Ireland) Order 2007 (barred lists),

unless the contractor was removed from the list either on the grounds that it was not appropriate for the contractor to have been included in it or as the result of a successful appeal;

(j)the contractor has, within the period of five years before the signing of the agreement or commencement of the agreement (whichever is the earlier), been removed from the office of charity trustee or trustee for a charity by an order made by the Charity Commission, the Charity Commission for Northern Ireland or the High Court, and that order was made on the grounds of misconduct or mismanagement in the administration of a charity for which the contractor was responsible or to which the contractor was privy, or which was contributed to, or facilitated by, the contractor's conduct;

(k)^M55the contractor has, within the period of five years before the signing of the agreement or commencement of the agreement (whichever is the earlier), been removed from being concerned with the management or control of any body in any case where removal was by virtue of section 34(5)(e) of the Charities and Trustees Investment (Scotland) Act 2005 (powers of Court of Session);

(l)the contractor—

(i)has been [^F49made^F49] bankrupt and has not been discharged from the bankruptcy or the bankruptcy order has not been annulled, or

(ii)has had sequestration of the contractor's estate awarded and has not been discharged from the sequestration;

(m)^M56,M57,M58the contractor is the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 4A to the Insolvency Act 1986 (bankruptcy restrictions order and undertaking), or Schedule 2A to the Insolvency (Northern Ireland) Order 1989 (bankruptcy restrictions order and undertaking), or sections 56A to 56K of the Bankruptcy (Scotland) Act 1985 (bankruptcy restrictions order, interim bankruptcy restrictions order and bankruptcy restrictions undertaking), unless the contractor has been discharged from that order or that order has been annulled;

(n)the contractor—

(i)^M59is subject to a moratorium period under a debt relief order under Part VIIA of the Insolvency Act 1986 (debt relief orders), or

(ii)^M60is the subject of a debt relief restrictions order or an interim debt relief restrictions order under Schedule 4ZB to that Act (debt relief restrictions orders and undertakings);

(o)the contractor has made a composition agreement or arrangement with, or granted a trust deed for, the contractor's creditors and the contractor has not been discharged in respect of it;

(p)the contractor is subject to—

(i)^M61,M62a disqualification order under section 1 of the Company Directors Disqualification Act 1986 (disqualification orders: general) or a disqualification undertaking under section 1A of that Act (disqualification undertakings: general),

(ii)^M63a disqualification order or disqualification undertaking under article 3 (disqualification orders: general) or article 4 (disqualification undertakings: general) of the Company Directors Disqualification (Northern Ireland) Order 2002 , or

(iii)^M64a disqualification order under section 429(2) of the Insolvency Act 1986 (disabilities on revocation of an administration order against an individual);

(q)the contractor has had an administrator, administrative receiver or receiver appointed in respect of the contractor; or

(r)^M65the contractor has had an administration order made in respect of the contractor under Schedule B1 to the Insolvency Act 1986 (administration).

(3) Paragraph (2)(b) or, as the case may be, paragraph (2)(g), does not apply to a person where—

(a)that person—

(i)has been disqualified or suspended from practising by a licensing body outside of the United Kingdom, or

(ii)has been convicted outside of the United Kingdom of a criminal offence; and

(b)[^F1 NHS England^F1] is satisfied that the disqualification, suspension or, as the case may be, the conviction does not make the person unsuitable to be—

(i)a party to the agreement; or

(ii)in the case of an agreement with a qualifying body—

(aa)a person who both legally and beneficially owns a share in the qualifying body, or

(bb)a director or secretary of the qualifying body.

(4) For the purposes of paragraph (2)(c)—

(a)where a person has been employed as a member of a health care profession, any subsequent employment must also be as a member of that profession; and

(b)^M66a health service body includes a Strategic Health Authority or a Primary Care Trust which was established before the coming into force of section 33 (abolition of Strategic Health Authorities) or section 34 (abolition of Primary Care Trusts) of the Health and Social Care Act 2012 .

(5) In this regulation, “ contractor ” includes a person with whom [^F1 NHS England ^F1] is proposing to enter into an agreement.

Notice of conditions not being met and reasons

6.—(1) Where [^F1NHS England^F1] considers that the conditions in regulation 5 for entering into an agreement are not met, it must give notice in writing to the person or persons intending to enter into the agreement of—

(a)its view and the reasons for that view; and

(b)the right of appeal under regulation 7.

(2)[^F1 NHS England^F1] must give notice in writing of its view and the reasons for that view to any person who both legally and beneficially owns a share in, or who is a director or secretary of, a qualifying body that is given notice under paragraph (1) in any case where its reason for the decision relates to such a person.

Right of appeal

^M677. A person who has been given a notice by [^F1NHS England^F1] under regulation 6(1) may appeal to the First-tier Tribunal against the decision of [^F1NHS England^F1] that the conditions in regulation 5 are not met.

PART 3 Pre-agreement dispute resolution

Pre-agreement disputes

8. —(1) If, in the course of negotiations intending to lead to an agreement, the parties to the proposed agreement (“the prospective parties”) are unable to agree on a particular term of the agreement, either party may refer the dispute to the Secretary of State to consider and determine.

(2) Where the prospective parties are health service bodies, any dispute which arises in the course of the negotiation of the proposed agreement may be referred to the Secretary of State for determination under section 9 of the Act (NHS contracts).

(3) Any dispute referred to the Secretary of State in accordance with paragraph (1), or to which section 9 of the Act applies by virtue of paragraph (2), must be considered and determined in accordance with the provisions of regulations 76(3) to (14) and 77(1) and, where it applies, paragraph (4) of this regulation.

(4) Where a dispute is referred to the Secretary of State under paragraph (1), the determination—

(a)may specify terms to be included in the proposed agreement;

(b)may require [^F1NHS England^F1] to proceed with the proposed agreement, but may not require the intended contractor to proceed with the proposed agreement; and

(c)is binding upon the prospective parties.

PART 4 Health Service Body Status

Health service body status

9.—(1) A contractor is to be regarded as a health service body for the purposes of section 9 of the Act (NHS contracts) from the date on which it enters into an agreement unless, in the case of—

(a)an agreement with a contractor who is an individual or which is a qualifying body, that individual or qualifying body; or

(b)any other agreement, any of the proposed parties to the agreement (other than [^F1NHS England^F1] ),

objects by giving notice in writing to [^F1NHS England^F1] at any time prior to the agreement being made.

(2) If, by virtue of paragraph (1), a contractor is to be regarded as a health service body, any change in the parties comprising the contractor does not affect the status of the contractor as a health service body.

(3) If, by virtue of paragraph (1) or regulation 10, a contractor is to be regarded as a health service body, the nature of, or any rights or liabilities under, any other agreement or contract previously entered into by the contractor with a health service body remain unaffected.

Health service body status: variation of agreements

10.—(1) A contractor may at any time request in writing a variation of the agreement to include in, or remove from, the agreement provision to the effect that the agreement is an NHS contract and, if it does so—

(a)[^F1 NHS England^F1] must agree to the variation; and

(b)the procedure specified in regulation 24 and Part 8 of Schedule 2 for the variation of agreements applies.

(2) If, by virtue of a request under paragraph (1), the agreement is varied so as to remove provision from it to the effect that it is an NHS contract, the contractor is, subject to regulation 11, to cease to be regarded as a health service body for the purposes of section 9 of the Act from the date on which that variation takes effect.

(3) If, by virtue of a request under paragraph (1), the agreement is varied so as to include provision in it to the effect that it is an NHS contract, the contractor is to be regarded as a health service body for the purposes of section 9 of the Act from the date on which that variation takes effect.

(4) Where [^F1NHS England^F1] agrees to the variation of the agreement, the contractor is to be regarded, or, subject to regulation 11, is to cease to be regarded as a health service body for the purposes of section 9 of the Act (NHS contracts) from the date on which the variation takes effect by virtue of paragraph 52(1) of Schedule 2.

Cessation of health service body status

11.—(1) A contractor ceases to be regarded as a health service body for the purposes of section 9 of the Act (NHS contracts) if the agreement terminates.

(2) Where, by virtue of paragraph (1), a contractor ceases to be regarded as a health service body in relation to an agreement (“ the relevant agreement ”), the contractor is to—

(a)continue to be regarded as a health service body for the purposes of any other NHS contract to which it became a party between the date on which it entered the relevant agreement and the date on which it ceased to be regarded as a health service body for the purposes of that agreement; but

(b)cease to be regarded as a health service body for these purposes upon the termination of any such other NHS contracts.

(3) Where—

(a)a contractor ceases to be regarded as a health service body in relation to an agreement by reason of a variation of the agreement by virtue of regulation 10(1); and

(b)the contractor or [^F1NHS England^F1] —

(i)has referred any matter to the NHS dispute resolution procedure before the contractor ceases to be regarded as a health service body, or

(ii)refers any matter to the NHS dispute resolution procedure, in accordance with regulation 76, after the contractor ceases to be regarded as a health service body,

the contractor is to continue to be regarded as a health service body (and accordingly the agreement is to continue to be regarded as an NHS contract) for the purposes of the consideration and determination of the dispute.

(4) Where a contractor ceases to be regarded as a health service body by virtue of regulation 10(1) but the contractor continues to be regarded as a health service body for the purposes of the NHS dispute resolution procedure where that procedure was commenced—

(a)before the termination of the agreement; or

(b)after the termination of the agreement (whether in connection with or arising out of the termination of the agreement or otherwise),

the contractor ceases to be regarded as such a body on the conclusion of that procedure.

PART 5 Agreements: required terms

Health service contract

12. If, by virtue of regulation 9 or 10 the contractor is to be regarded as a health service body, the agreement must state that it is an NHS contract.

Agreements: general

13.—(1) An agreement must specify—

(a)the services to be provided under the agreement;

(b)subject to paragraph (3), the address of each of the premises to be used by the contractor or by any sub-contractor for the provision of such services;

(c)the persons to whom such services are to be provided under the agreement; and

(d)where the agreement requires the contractor to provide essential services, the area as respects which persons resident in it are, subject to any other terms of the agreement relating to patient registration, entitled to—

(i)register with the contractor, or

(ii)seek acceptance by the contractor as a temporary resident; and

(e)where the agreement requires the contractor to provide essential services, whether, at the date on which the agreement comes into effect, the contractor's list of patients is open or closed.

(2) An agreement—

(a)may also specify an area, other than the contractor's practice area, which is to be known as the outer boundary area as respects which a patient who—

(i)moves into that outer boundary area to reside, and

(ii)would like to remain on the contractor's list of patients,

may remain on that list if the contractor so agrees, notwithstanding that the patient no longer resides in the contractor's practice area; and

(b)which specifies an outer boundary must specify that, where a patient remains on the contractor's list of patients as a consequence of sub-paragraph (a), the outer boundary area is to be treated as part of the contractor's practice area for the purposes of the application of any other terms and conditions of the agreement in respect of that patient.

(3) The premises referred to in paragraph (1)(b) do not include—

(a)^F50the homes of patients; ...

(b)any other premises where services are provided on an emergency basis [^F51; or

(c)premises where services are provided under regulation 13A (services: remote provision outside practice premises).^F51]

[^F52 (4) An agreement must specify that where the contractor proposes to provide private services in addition to primary medical services, to persons other than its patients the provision must take place—

(a)outside of the hours the contractor has agreed to provide primary medical services; and

(b)on no part of any practice premises in respect of which [^F1 NHS England^F1] has agreed with that contractor to make payments in relation to the costs of those premises save where the private services are those specified in regulation 18(2B).^F52]

[^F53Services: remote provision outside practice premises

13A.—(1) Without prejudice to regulation 17(7) (essential services) of the General Medical Services Contracts Regulations, where applicable, and without prejudice to paragraph 6 of Schedule 2 (attendance outside practice premises), the contractor and any sub-contractor may provide a remote service from a location which does not constitute practice premises, if the requirements in paragraph (2) are met.

(2) The requirements referred to in paragraph (1) are that—

(a)the service is provided from an appropriate location;

(b)the service is provided through an appropriate digital or telecommunications method; and

(c)the service is appropriate for provision outside of practice premises.

(3) For the purposes of paragraph (2)(a), a location is not appropriate if—

(a)the location or its environment is not conducive to ensuring the confidentiality of patient information, in connection with the service to be provided from that location;

(b)the location or its environment is not conducive to ensuring appropriate provision of the service from that location.

(4) For the purposes of paragraph (2)(b), a digital or telecommunications method is appropriate if it meets—

(a)the requirements in the GPIT Operating Model relevant to that method, including any requirements as to software, or

(b)requirements which are equivalent in their effect to the relevant requirements in the GPIT Operating Model;

(5) For the purposes of paragraph (2)(c) the service is not appropriate for provision outside of practice premises if—

(a)it would not be clinically appropriate for the patient on that occasion; or

(b)it is otherwise not appropriate to the needs or circumstances of the patient.

(6) For the purposes of paragraph (3)(a), “ patient information ” means information which relates to the physical or mental health or condition of a patient, to the diagnosis of their condition, to their care and treatment, or information which is to any extent derived, directly or indirectly, from such information. ^F53]

Membership of a CCG

^F5414. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Certificates

15.—(1) Subject to paragraphs (2) and (3), an agreement which requires a contractor to provide essential services must contain a term which has the effect of requiring the contractor to issue any medical certificate of a description prescribed in column 1 of Schedule 1 under, or for the purposes of, the enactments specified in relation to the certificate in column 2 of that Schedule if that certificate is reasonably required under or for the purposes of the enactments specified in relation to that certificate.

(2) A certificate referred to in paragraph (1) must be issued free of charge to a patient or to a patient's personal representatives.

(3) A certificate must not be issued where, for the condition to which the certificate relates, the patient is—

(a)being attended by a medical practitioner who is not—

(i)engaged or employed by the contractor,

(ii)a party to the agreement, or

(iii)a shareholder in a qualifying body which is a party to the agreement; or

(b)not being treated by or under the supervision of a health care professional.

^M68,M69(4) The exception in paragraph (3)(a) does not apply where the certificate is issued in accordance with regulation 2(1) of the Social Security (Medical Evidence) Regulations 1976 (evidence of incapacity for work, limited capability for work and confinement) or regulation 2(1) of the Statutory Sick Pay (Medical Evidence) Regulations 1985 (medical information).

[^F55Patients who should not be tested for, or vaccinated against, coronavirus: confirmation of exemption

15A.—(1) Subject to paragraph (6), a contract must contain a term which requires the contractor to respond to a valid exemption confirmation request [^F56 if it is made at a relevant time^F56] .

(2) An exemption confirmation request—

(a) is a request to confirm whether a relevant patient (“P”), for clinical reasons—

(i)should neither be tested for coronavirus nor vaccinated with an authorised vaccine, or

(ii)should not be vaccinated with an authorised vaccine, and

(b)is valid if it is made in accordance with the process approved by the Secretary of State.

[^F57 (2A) A valid exemption confirmation request is made at a relevant time if, at the time the request is made to the contractor—

(a)legislation in force in England requires a person or class of person to be vaccinated against coronavirus unless they can show that, for clinical reasons, they are exempt from vaccination with an authorised vaccine, or

(b)guidance issued by, or on behalf of, the Secretary of State provides that a person or class of person should be vaccinated against coronavirus unless they can show that, for clinical reasons, they are exempt from vaccination with an authorised vaccine.^F57]

(3) An exemption confirmation request may be made by—

(a)P, or

(b)where P is a person to whom paragraph (4) applies, an appropriate person acting on behalf of P.

(4) This paragraph applies to a person if they—

(a)are a child, or

(b)lack the capacity to make a request under paragraph (1).

(5) The contractor must respond to a valid exemption confirmation request [^F58 made at a relevant time^F58] —

(a)free of charge to P or the appropriate person, and

(b)by recording its response on an information hub using a method approved by the Secretary of State.

(6) A contractor is not required to respond to a valid exemption confirmation request if—

(a)for the medical condition which may mean that P should neither be tested for coronavirus nor vaccinated with an authorised vaccine, or should not be vaccinated with an authorised vaccine, P is being attended by a medical practitioner who is not—

(i)engaged or employed by the contractor,

(ii)in the case of a contract with two or more persons practising in partnership, one of those persons, or

(iii)in the case of a contract with a company limited by shares, one of the persons legally or beneficially owning shares in that company, and

(b)that medical condition is not one to which paragraph (7) applies.

(7) This paragraph applies to a medical condition if no person with that condition should be—

(a)tested for coronavirus or vaccinated with an authorised vaccine, or

(b)vaccinated with an authorised vaccine.

(8) In this regulation—

“authorised vaccine” means a medicinal product—

for vaccination against coronavirus;

“coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);

“licensing authority”, “marketing authorisation” and “medicinal product” have the meanings given in the Human Medicines Regulations 2012 (see regulations 6, 8 and 2, respectively, of those Regulations);

“relevant patient” means—

Finance

16.—(1) The agreement must contain a term which has the effect of requiring payments to be made under the agreement promptly and in accordance with—

(a)the terms of the agreement;

(b)any other terms based on which the payment is made; and

(c)^M70any other conditions relating to the payment contained in regulations made by the Secretary of State under section 94(4) (regulations about section 92 arrangements) or directions given by the Secretary of State under section 98A (exercise of functions) of the Act .

(2) The obligation referred to in paragraph (1) is subject to any right that [^F1NHS England^F1] may have to set off against any amount payable to the contractor under the agreement any amount that—

(a)is owed by the contractor to [^F1NHS England^F1] under the agreement; or

(b)[^F1 NHS England^F1] may withhold from the contractor in accordance with the terms of the agreement or any other applicable provisions contained in regulations made by the Secretary of State under section 94(4) of the Act (regulations about section 92 arrangements) or directions given by the Secretary of State under section 98A of the Act (exercise of functions).

Conditions about payments

17. Where, as a consequence of regulations made under section 94(4) of the Act (regulations about section 92 arrangements) or in accordance with directions given by the Secretary of State under section 98A of the Act (exercise of functions), [^F1NHS England^F1] is required to make a payment to a contractor under an agreement which is subject to conditions, the agreement must contain a term which requires those conditions to be a term of the agreement.

Fees and charges

18.—(1) The agreement must contain terms relating to fees and charges which have the same effect as those set out in paragraphs (2) to (4).

(2) The contractor may not, either itself or through any other person, demand or accept from any patient of the contractor a fee or other remuneration, for its own or another's benefit, for—

(a)the provision of any treatment whether under the agreement or otherwise; or

(b)a prescription or repeatable prescription for any drug, medicine or appliance,

except in circumstances set out in regulation 19.

[^F59 (2A) The contractor must not, either itself or through any other person, demand or accept from any of its patients a fee or other remuneration for its own benefit or for the benefit of another person, for the completion, in relation to the patient’s mental health, of—

(a)a mental health evidence form; or

(b)any examination of the patient or of the patient’s medical record in order to complete the form,

the purpose of which is to assist creditors in deciding what action to take where the debtor has a mental health problem.

(2B) The contractor must not, either itself or through any other person, demand or accept from anyone who is not a patient of the contractor, a fee or other remuneration for its own benefit or for the benefit of another person, for either of the following services provided on practice premises to which regulation 13(4)(b) applies, unless those services are provided outside of core hours—

(a)for treatment consisting of an immunisation for which the contractor receives no remuneration from [^F1 NHS England^F1] when provided to its patients and which is requested in connection with travel abroad; or

(b)for prescribing or providing drugs or medicines for malaria chemoprophylaxis.^F59]

(3) Subject to paragraph (4), where—

(a)a person applies to a contractor for the provision of services;

(b)claims to be entitled to be treated by the contractor without paying a fee or other remuneration; and

(c)the contractor has reasonable doubts about that person's claim,

the contractor must give any necessary treatment to that person and may demand and accept from that person a reasonable fee accordingly in accordance with regulation 19(e).

(4) Where—

(a)a person from whom a contractor received a fee under regulation 19(e) applies to [^F1NHS England^F1] for a refund within 14 days from the date of payment of the fee (or within such longer period not exceeding one month as [^F1NHS England^F1] may allow if it is satisfied that the failure to apply within 14 days was reasonable); and

(b)[^F1 NHS England^F1] is satisfied that the person was entitled to be treated by the contractor without paying a fee or other remuneration when the treatment was given,

[^F1 NHS England^F1] may recover the amount of the fee from the contractor, by deduction from the contractor's remuneration or otherwise, and must pay the amount recovered to the person who paid the fee.

Circumstances in which fees and charges may be made

19. The contractor may demand or accept, directly or indirectly, a fee or other remuneration—

(a)from a statutory body for services rendered for the purposes of that body's statutory functions;

(b)from a body, employer or school for—

(i)a routine medical examination of persons for whose welfare the body, employer or school is responsible, or

(ii)an examination of such persons for the purpose of advising the body, employer or school of any administrative action that they might take;

(c)for treatment which is not primary medical services or is otherwise required to be provided under the agreement and which is given—

(i)at accommodation made available in accordance with the provisions of paragraph 11 of Schedule 6 to the Act (accommodation and services for private patients), or

(ii)in a registered nursing home which is not providing services under the Act,

if, in either case, the person administering the treatment is serving on the staff of a hospital providing services under the Act as a specialist providing treatment of the kind the patient requires and if, within seven days of giving the treatment, the contractor or the person giving the treatment supplies [^F1NHS England^F1] , on a form provided by it for that purpose, with such information about the treatment as [^F1NHS England^F1] may require;

(d)^M71under section 158 of the Road Traffic Act (payment for emergency treatment of traffic casualties);

(e)when the contractor treats a patient under regulation 18(3), in which case the contractor is entitled to demand and accept a reasonable fee (recoverable in certain circumstances under regulation 18(4)) for any treatment given, if it gives the patient a receipt;

(f)for attending and examining (but not otherwise treating) a patient—

(i)at a police station, at the patient's request, in connection with possible criminal proceedings against the patient,

(ii)for the purpose of creating a medical report or certificate, at the request of a commercial, educational or not for profit organisation, or

(iii)for the purpose of creating a medical report required in connection with an actual or potential claim for compensation by the patient;

(g)for treatment consisting of an immunisation for which no remuneration is payable by [^F1NHS England^F1] and which is requested in connection with travel abroad;

(h)for prescribing or providing drugs, medicines or appliances (including a collection of drugs, medicines or appliances in the form of a travel kit) which are required to be in the possession of a patient solely in anticipation of the onset of an ailment or occurrence of an injury while the patient is outside the United Kingdom but for which the patient is not requiring treatment when the medicine is prescribed;

(i)for a medical examination—

(i)to enable a decision to be made whether or not it is inadvisable on medical grounds for a person to wear a seat belt, or

(ii)for the purpose of creating a report—

(aa)relating to a road traffic accident or criminal assault, or

(bb)that offers an opinion as to whether a patient is fit to travel;

(j)^M72for testing the sight of a person to whom none of paragraphs (a) to (e) of section 115(2) of the Act (primary ophthalmic services) applies (including by virtue of regulations made under section 115(7) of the Act );

(k)^M73,M74,F60where the contractor is authorised or required in accordance with arrangements made with [^F1NHS England^F1] under section 126 of the Act (arrangements for pharmaceutical services) and in accordance with regulations made under section 129 of the Act (regulations as to pharmaceutical services) to provide drugs, medicines or appliances to a patient and provides for that patient, otherwise than by way of dispensing services, any Scheduled drug; ...

(l)for prescribing or providing drugs or medicines for malaria chemoprophylaxis;

[^F61 (m)for responding to an exemption confirmation request as defined in regulation 15A(2)(a), if that request is not one which the contractor is required to respond to in accordance with regulation 15A.^F61]

Patient participation

20. —(1) A contractor which provides essential services must establish and maintain a group known as a “Patient Participation Group” comprising some of its registered patients for the purposes of—

(a)obtaining the views of patients who have attended the contractor's practice about the services delivered by the contractor; and

(b)enabling the contractor to obtain feedback from its registered patients about those services.

^M75(2) The contractor is not required to establish a Patient Participation Group if such a group has already been established by the contractor in accordance with the provisions of any directions about enhanced services which were given by the Secretary of State under section 98A of the Act (exercise of functions) before 1st April 2015.

(3) The contractor must make reasonable efforts during each financial year to review the membership of its Patient Participation Group in order to ensure that the group is representative of its registered patients.

(4) The contractor must—

(a)engage with its Patient Participation Group, at such frequent intervals throughout each financial year as the contractor must agree with that group, with a view to obtaining feedback from the contractor's registered patients, in an appropriate and accessible manner, about the services delivered by the contractor; and

(b)review any feedback received about the services delivered by the contractor, whether in accordance with sub-paragraph (a) or otherwise, with its Patient Participation Group with a view to agreeing with that group the improvements (if any) which are to be made to those services.

(5) The contractor must make reasonable efforts to implement such improvements to the services delivered by the contractor as are agreed between the contractor and its Patient Participation Group.

Publication of earnings information

21.—(1) The contractor must publish each year on its practice website[^F62 or online practice profile^F62] the information specified in paragraph (2).

(2) The information specified in this paragraph is—

(a)the mean net earnings in respect of the previous financial year of—

(i)every general medical practitioner who was a party to the agreement for a period of at least six months during that financial year, and

(ii)every general medical practitioner who was employed or engaged by the contractor to provide services under the agreement in the contractor's practice, whether on a full-time or a part-time basis, for a period of at least six months during that financial year; and

(b)the—

(i)total number of any general medical practitioners to whom the earnings information referred to in sub-paragraph (a) relates, and

(ii)(where applicable) the number of those practitioners who have been employed or engaged by the contractor to provide services under the agreement in the contractor's practice on a full-time or a part-time basis and for a period of at least six months during the financial year in respect of which that information relates.

(3) The information specified in sub-paragraph (2) must be—

(a)published by the contractor before the end of the financial year following the financial year to which that information relates; and

(b)made available by the contractor in hard copy form on request.

(4) For the purposes of this regulation, “mean net earnings” are to be calculated by reference to the earnings of a general medical practitioner that, in the opinion of [^F1 NHS England ^F1] , are attributable to the performance or provision by the practitioner under the agreement of medical services to which Part 4 of the Act applies, after having disregarded any expenses properly incurred in the course of performing or providing those services.

[^F63Disclosure of information about NHS earnings: contractors and sub-contractors

21A.—(1) An agreement which is with a person falling within section 93(1)(b) to (e) of the Act must include the term specified in paragraph (2).

(2) The term is a term which requires the contractor to comply with the disclosure obligation for each relevant financial year in which—

(a)they are a contractor, and

(b)their NHS earnings exceed the relevant threshold.

(3) For the purposes of this regulation—

(a) the disclosure obligation, in relation to a relevant financial year, is the requirement for an individual (“I”) to submit the following information for publication to [^F64 NHS England ^F64] by the disclosure date—

(i)I’s name,

(ii)I’s job title,

(iii)the details of each organisation from which I has derived NHS earnings in that financial year, and

(iv)the amount of I’s NHS earnings for that financial year;

(b) ^F65 ... “relevant financial year” means a financial year ending—

(i)on or after 31st March [^F66 2022^F66] , but

(ii)on or before 31st March 2024;

^F67(ba). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c) “relevant threshold” means—

^F68(i). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F69(ii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iii)for the financial year ending on 31st March 2022, £156,000;

(iv)for the financial year ending on 31st March 2023, £159,000;

(v)for the financial year ending on 31st March 2024, £163,000.

[^F70 (4) For the purposes of paragraph (3)(a) “ the disclosure date ”, in relation to a relevant financial year, is 30th April in the financial year which begins immediately after the end of the next financial year. ^F70]

(5) For the purposes of paragraph (4) “the next financial year”, in relation to a financial year (“FY1”), is the financial year which begins immediately after the end of FY1 ^F71 ....

(6) An agreement must also include a term which prevents the contractor from sub-contracting any of its obligations to provide clinical services under the agreement unless—

(a)where the sub-contractor is an individual, the sub-contract entered into by the contractor requires the individual to comply with the disclosure obligation for each relevant financial year in which the individual’s NHS earnings exceed the relevant threshold;

(b)where the sub-contractor is a partnership, the sub-contract entered into by the contractor requires each sub-contractor partnership member of that partnership to comply with the disclosure obligation for each relevant financial year in which the sub-contractor partnership member’s NHS earnings exceed the relevant financial threshold;

(c) in all cases, the sub-contract prohibits the sub-contractor (“S”) from sub-contracting, where permitted by paragraph 43(4A) of Schedule 2, any of the clinical services S has agreed with the contractor to provide under the sub-contract unless—

(i) where the sub-contractor is an individual (“I”), the sub-contract entered into by S requires I to comply with the disclosure obligation in relation to each financial year in which I’s NHS earnings exceed the relevant threshold;

(ii)where the sub-contractor is a partnership, the sub-contract entered into by S requires each sub-contractor partnership member in that partnership to comply with the disclosure obligation in relation to each relevant financial year in which the sub-contractor partnership member’s NHS earnings exceed the relevant threshold.

(7) An agreement must also include a term requiring the contractor to use reasonable endeavours to ensure that any relevant sub-contract is amended to contain the terms specified in paragraph (9).

(8) For the purposes of paragraph (7) “relevant sub-contract” means a sub-contract—

(a)for the provision of any of the clinical services which the contractor is required to provide under the agreement by any other person, and

(b)which is in force at the time when [^F72 the term in paragraph (7) is incorporated into the contract^F72] .

(9) The terms are—

(a)a term which requires—

(i) the subcontractor (“S”), where S is an individual, or

(ii)each sub-contractor partnership member, where S is a partnership,

to comply with the disclosure obligation for each relevant financial year in which the individual’s, or as the case may be, sub-contractor partnership member’s NHS earnings exceed the relevant threshold, ^F73...

(b)a term which prevents S from sub-contracting obligations to provide clinical services under the contract, where permitted by paragraph 43(4A) of Schedule 2, unless—

(i) where the sub-contractor is an individual (“I”), the sub-contract entered into by S requires I to comply with the disclosure obligation in relation to each financial year in which I’s [^F74 NHS ^F74] earnings exceed the relevant threshold;

(ii)where the sub-contractor is a partnership, the sub-contract entered into by S requires each sub-contractor partnership member to comply with the disclosure obligation in relation to each relevant financial year in which the sub-contractor partnership member’s NHS earnings exceed the relevant threshold [^F75 , and

(c)a term which requires S to use reasonable endeavours to ensure that any sub-contract entered into before the term in sub-paragraph (b) was incorporated into that sub-contract is amended to—

(i)include the term in paragraph (i) of sub-paragraph (b) in a sub-contract between S and I, and

(ii)include the term in paragraph (ii) of sub-paragraph (b) in a sub-contract between S and a partnership.^F75]

(10) Nothing in paragraph (6), (7) or (9) requires any individual to comply with the disclosure obligation for any relevant financial year which—

(a)ends before the individual or partnership (as the case may be) enters into a sub-contract with the contractor or a sub-contractor;

(b)begins after the individual’s or, as the case may be, partnership’s sub-contract with the contractor or sub-contractor has terminated.

(11) In this regulation—

“locum practitioner” has the meaning given in Schedule 15 to the National Health Service Pension Scheme Regulations 2015 ;

“NHS earnings” has the meaning given in regulation 27B;

“sub-contractor” means a person to whom any rights or duties under the contract in relation to clinical matters are, or have been, sub-contracted under paragraph 44(1) of Schedule 3, and includes an individual who is a locum practitioner;

“sub-contractor partnership member”, in relation to a sub-contractor who is a partnership, means an individual who is a partner in that partnership.

[^F76Disclosure of information about NHS earnings: jobholders

21AA.—(1) In this regulation—

(a) “disclosure obligation”, “relevant financial year”, “ relevant threshold ”, “ the disclosure date ” and “ sub-contractor ” have the meanings given in regulation 21A;

(b) “ NHS earnings ” has the meaning given in regulation 21B.

(2) In this regulation and, where applicable, in regulation 21B—

“ contract of engagement ” means a contract of employment or other agreement under which a jobholder is engaged;

“ jobholder ” means—

“ relevant person ” means—

“ third party contract ” means a contract or other agreement under which a relevant person is provided with a jobholder to provide clinical services under the agreement or sub-contract, as the case may be, and which is between—

“ third party ” is to be construed in accordance with the definition of “third party contract”.

(3) An agreement must contain a term which prevents the contractor from entering into a contract of engagement unless it requires the jobholder to comply with the disclosure obligation for each relevant financial year in which the jobholder’s NHS earnings exceed the relevant threshold.

(4) An agreement must also contain a term which prevents the contractor from sub-contracting any of its obligations to provide clinical services under the agreement unless—

(a) the sub-contract entered into by the contractor requires the sub-contractor (“ S ”) to—

(i)include the term specified in paragraph (6) in any contract of engagement S enters into with a jobholder on or after entering into the sub-contract, and

(ii)use reasonable endeavours to include it in any contract of engagement which S has entered into prior to entering into the sub-contract; and

(b)the sub-contract prevents S from sub-contracting to P any of the clinical services S has agreed with the contractor to provide under the sub-contract unless the sub-contract S enters into with P includes the term specified in paragraph (5);

(5) The term requires P to—

(a)include the term specified in paragraph (6) in any contract of engagement which P enters into with a jobholder on or after entering into the sub-contract with S, and

(b)to use reasonable endeavours to include it in any contract of engagement which P has entered into prior to entering into that sub-contract.

(6) The term requires the jobholder to comply with the disclosure obligation for each relevant financial year in which the jobholder’s NHS earnings exceed the relevant threshold.

(7) An agreement must also contain a term requiring the contractor to use reasonable endeavours to ensure that any contract of engagement, which the contractor entered into before the term in paragraph (3) is incorporated into the agreement, is amended to include the term specified in paragraph (6).

(8) An agreement must also contain a term requiring the contractor to use reasonable endeavours to ensure that any sub-contract which the contractor entered into before the term in paragraph (4) is incorporated into the agreement is amended to include the terms specified in paragraph (9).

(9) The terms are—

(a)a term which requires S to—

(i)include the term specified in paragraph (6) in any contract of engagement S enters into with a jobholder on or after the amendment of the sub-contract,

(ii)to use reasonable endeavours to include the term specified in paragraph (6) in any contract of engagement to which S is a party entered into before the amendment of the sub-contract, and

(iii)use reasonable endeavours to include the term specified in paragraph (5) in any sub-contract which S has entered into with P before the amendment of the sub-contract pursuant to paragraph (8);

(b)a term which prevents S from sub-contracting to P obligations to provide clinical services under the agreement unless the sub-contract entered into by S includes the term specified in paragraph (5).

(10) An agreement must also contain a term requiring the contractor to use reasonable endeavours to include in a third party contract (whenever entered into) a term requiring the third party (“ T ”) [^F77 —

(a) to include the term specified in paragraph (6) in any contract of engagement which T enters into with a jobholder on or after entering into the contract with the contractor;

(b)to use reasonable endeavours to include that term in any contract of engagement which T has entered into prior to entering into the contract with the contractor.^F77]

(11) An agreement must also contain a term which prevents the contractor from sub-contracting any of its obligations to provide clinical services under the agreement, unless the sub-contract requires S to use reasonable endeavours to—

(a)include in a third party contract (whenever entered into) a term requiring T [^F78 —

(i)to include the term specified in paragraph (6) in any contract of engagement which T enters into with a jobholder on or after entering into the contract with S;

(ii)to use reasonable endeavours to include that term in any contract of engagement which T has entered into prior to entering into the contract with S;^F78]

(b)include in any sub-contract between S and P a term requiring P to [^F79 use reasonable endeavours to^F79] include in any third party contract (whenever entered into) the term specified in paragraph (12).

[^F80 (12) The term is one which requires T—

(a)to include the term specified in paragraph (6) in any contract of engagement which T enters into with a jobholder on or after entering into the contract with P;

(b)to use reasonable endeavours to include that term in any contract of engagement which T has entered into prior to entering into the contract with P.^F80]

(13) Nothing in this regulation requires a jobholder to comply with the disclosure obligation for any relevant financial year which—

(a)ends before the jobholder enters into a contract of engagement;

(b)begins after the jobholder’s contract of engagement has terminated.^F76]

Calculation of NHS earnings for the purposes of [^F81regulations 21A and 21AA^F81]

21B.—(1) This regulation sets out how an individual’s NHS earnings are to be calculated for the purposes of [^F82 regulations 21A and 21AA^F82] .

(2) An individual’s NHS earnings for a relevant financial year are those earnings which constitute relevant income in respect of that financial year.

(3) In this regulation “relevant income”—

(a)in relation to an individual who is an active member of the Scheme and is a medical practitioner (other than a locum practitioner) or a non-GP provider, means income (including any form of remuneration and any salary, wages, fees, director’s remuneration or dividends) which is practitioner income as determined under Schedule 10 to the NHS Pension Scheme Regulations, as modified in accordance with paragraph (4), in respect of the financial year in question;

(b) in relation to a person (“P”) who is an active member of the Scheme and a locum practitioner, means—

(i)any income which is locum practitioner income as determined under paragraph 7 of Schedule 10 to the NHS Pension Scheme Regulations in respect of the financial year in question, and

(ii)any [^F83 other^F83] income (including any form of remuneration and salary, wages, fees, director’s remuneration or dividends) received by P in the financial year in question from any organisation which would have been treated as practitioner income under Schedule 10 to the NHS Pension Scheme Regulations, as modified in accordance with paragraph (4), if P had been a medical practitioner but not a locum practitioner;

[^F84 (ba)in relation to a jobholder who does not fall within sub-paragraph (a) or (b), means—

(i)any remuneration, salary, wages, fees, director’s remuneration or dividends received in respect of the financial year in question under the contract of engagement and any other contract of engagement under which the jobholder provides services in respect of a contract or an agreement for primary medical services made under section 92 or 83(2) of the Act, and

(ii)any other income which would be treated as practitioner income under Schedule 10 to the NHS Pension Scheme Regulations as modified in accordance with paragraph 4 in respect of the financial year in question if the jobholder—

(aa)were an active member of the scheme, and

(bb)a medical practitioner or non-GP provider;^F84]

(c) in relation to any other person (“P”), means income (including any form of remuneration and any salary, wages, fees, director’s remuneration or dividends) received by P in the financial year in question from any organisation which would have been treated as practitioner income under Schedule 10 to the NHS Pension Scheme Regulations, as modified in accordance with paragraph (4), if P had been—

(i)an active member of the Scheme, and

(ii)a medical practitioner or non-GP provider.

(4) For the purposes of determining a person’s relevant income under paragraph (3)(a), (b)(ii) or (c), Schedule 10 to the NHS Pension Scheme Regulations applies as if the following provisions of that Schedule were omitted—

(a) paragraph 2(1)(b) and the “and” immediately preceding it, [^F85 and ^F85]

(b)paragraph 3, ^F86...

^F87(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[^F88 (4A) For the purposes of this regulation, where a contractor has sub-contracted any obligations under the agreement, any payments made—

(a)under the sub-contract, or

(b)under any sub-contract which the sub-contractor has entered into with another person, as permitted by paragraph 43(4A) of Schedule 2,

are to be treated as income derived from the agreement.^F88]

(5) In this regulation—

“the NHS Pension Scheme Regulations” means the National Health Service Pension Scheme Regulations 2015 and “active member”, “locum practitioner”, “medical practitioner”, “member” and “non-GP provider” have the meanings given for the purposes of those Regulations;

“relevant financial year” has the meaning given in regulation [^F89 21A ^F89] ;

“the Scheme” means the National Health Service Pension Scheme established by the NHS Pension Scheme Regulations. ^F63]

Out of hours services

22.—(1) Subject to paragraphs (2) and (3), an agreement under which essential services are to be provided must provide for the provision of out of hours services throughout the out of hours period unless—

(a)[^F1 NHS England^F1] has accepted in writing, prior to the signing of the agreement, a written request from the contractor that the agreement should not require the contractor to make such provision;

(b)the contractor has opted out of providing such services in the out of hours period in accordance with Part 6; or

(c)the agreement has been otherwise varied to exclude a requirement to make such provision.

(2) Except to the extent that the agreement otherwise provides, a contractor whose agreement includes the provision of out of hours services is only required to provide such services if, in the contractor's reasonable opinion having regard to the patient's medical condition, it would not be reasonable in all the circumstances for the patient to wait to obtain such services.

(3) Paragraph (4) applies to a contractor which—

(a)provides out of hours services to registered patients of another contractor or provider of essential services (or their equivalent); or

(b)has contracted to provide out of hours services to patients to whom it provides essential services.

(4) The contractor must, in the provision of those services—

(a)meet the quality requirements set out in [^F90the Integrated Urgent Care Key Performance Indicators published on 25th June 2018^F90] ; and

(b)comply with any requests for information which it receives from, or on behalf of, [^F1NHS England^F1] about the provision by the contractor of out of hours services to its registered patients in such manner, and before the end of such period, as is specified in the request.

(5) Where a contractor is a provider of essential services but is not required to provide out of hours services under the agreement or, under Part 6, has opted out of the provision of such services under the agreement, the contractor must—

(a)monitor the quality of the out of hours services which are offered or provided to its registered patients having regard to the [^F91Integrated Urgent Care Key Performance Indicators^F91] referred to in sub-paragraph (4) and record, and act appropriately in relation to, any concerns arising;

(b)record any patient feedback received, including complaints; and

(c)report to [^F1NHS England^F1] , either at the request of [^F1NHS England^F1] or otherwise, any concerns arising about the quality of the out of hours services which are offered or provided to patients to its registered patients having regard to—

(i)any patient feedback received, including any complaints; and

(ii)the quality requirements set out in the [^F92Integrated Urgent Care Key Performance Indicators^F92] referred to in paragraph (4).

Sub-contracting

23. An agreement must contain terms which prevent a contractor from sub-contracting any of its obligations to provide clinical services under the agreement except in the circumstances provided for in Part 5 of Schedule 2.

Variation of agreements

24.—(1) Subject to paragraph (2), a variation of, or amendment to, the agreement may only be made in the circumstances provided for in Part 8 of Schedule 2.

(2) Paragraph (1) does not prevent a variation of, or amendment to, an agreement in the circumstances provided for in—

(a)regulation 25;

(b)Part 6; and

(c)paragraphs 43(3) and 52 of Schedule 2.

[^F93Variation of agreements: integrated care provider contracts

24A. Schedule 2A has effect in relation to the variation of an agreement in circumstances where the contractor wishes to perform or provide primary medical services under an integrated care provider contract as described in paragraph 3 of that Schedule.^F93]

Variation of agreements: registered patients from outside practice area

25.—(1) A contractor may accept onto its list of patients a person who resides outside of the contractor's practice area[^F94 in accordance with paragraph 17 of Schedule 2^F94] .

(2) Subject to paragraphs (4) and (5), the terms of the contractor's agreement specified in paragraph (3) must be varied so as to require the contractor to provide to the person any services which the contractor is required to provide to its registered patients under the agreement as if the person resided within the contractor's practice area.

(3) The terms of the agreement specified in this paragraph are—

(a)the terms under which the contractor is to provide essential services and any other service;

(b)the terms under which the contactor is required to provide out of hours services to patients to whom it provides essential services; and

(c)the terms which give effect to the following provisions of Schedule 2 (other contractual terms)—

(i)paragraph 1 (services to registered patients),

(ii)paragraph 5(1) (attendance at practice premises),

(iii)paragraph 6(2)(a) (attendance outside practice premises) , and

(iv)paragraph 20(2) (refusal of applications for inclusion list of patients).

(4) Where, under paragraph (1), a contractor accepts onto its list of patients a person who resides outside of the contractor's practice area and the contractor subsequently considers that it is not clinically appropriate or practical to continue to provide that patient with services in accordance with the terms specified in paragraph (3), or to comply with those terms, the agreement must be varied so as to include a term which has the effect of modifying the application of paragraph 23 of Schedule 2 (which relates to the removal of a patient from the list at the contractor's request) in relation to that patient so that—

(a)in sub-paragraph (1), the reference to the patient's disability or medical condition is removed; and

(b)sub-paragraph (4) applies as if, after paragraph (a), there were inserted the following paragraph—

“(aa)the reason for the removal is that the contractor considers that it is not clinically appropriate or practical to continue to provide services under the agreement to the patient which do not include the provision of such services at the patient's home address,”.

(5) Where the contractor is required to provide services to a patient in accordance with arrangements made under paragraph (1), the agreement must also be varied so as to include terms which have the effect of releasing the contractor and [^F1NHS England^F1] from all obligations, rights and liabilities relating to the terms specified in paragraph (3) (including any right to enforce those terms) where, in the opinion of the contractor, it is not clinically appropriate or practical under those arrangements to—

(a)provide services in accordance with those terms; or

(b)comply with those terms.

(6) The agreement must also include a term which has the effect of requiring the contractor to notify a person in writing, where the contractor is minded to accept that person on its list of patients in accordance with arrangements made under paragraph (1), that the contractor is under no obligation to provide—

(a)essential services, and any other service in core hours, if, at the time the treatment is required, it is not clinically appropriate of practical to provide primary medical services given the particular circumstances of the patient; or

(b)out of hours services if, at the time treatment is required, it is not clinically appropriate or practical to provide such services given the particular circumstances of the patient.

Termination of agreements

26.—(1) An agreement may only be terminated in the circumstances provided for by Part 8 of Schedule 2.

(2) An agreement must make suitable provision for arrangements which are to have effect on termination of the agreement, including the consequences (whether financial or otherwise) of the agreement ending.

Other required terms

27.—(1) Subject to paragraph (2), an agreement must also contain provisions which are equivalent in their effect to the provisions set out in Parts 6 to 14 of, and Schedules 1 and 2 to, these Regulations, unless the agreement is of a type or nature to which a particular provision does not apply.

(2) The requirement in paragraph (1) does not apply to the provisions specified in—

(a)regulation 76(5) to (14);

(b)regulation 77; and

(c)paragraph 40(5) to (9) and 41(5) to (17) of Schedule 2,

which are to have effect in relation to the matters set out in those provisions.

[^F95Suspension of agreement terms or of enforcement of agreement terms while a disease is or in anticipation of a disease being imminently pandemic etc.

27A.—(1) Any term that is part of an agreement as a consequence of action taken under this Part, by agreement between the parties or by virtue of regulation 47(2) of the National Health Service (Pharmaceutical and Local Pharmaceutical Services) Regulations 2013 (terms of service of dispensing doctors: general) is temporarily not part of that agreement, in the particular circumstances mentioned in sub-paragraph (c)(ii) and during the period mentioned in sub-paragraph (c)(iii), in the following circumstances—

(a)as a consequence of a disease being, or in anticipation of a disease being imminently—

(i)pandemic, and

(ii)a serious risk or potentially a serious risk to human health,

[^F1 NHS England^F1] with the agreement of the Secretary of State has made an announcement in respect of the prioritisation of services to be provided in, or in any part of, England as part of the health service;

(b)the prioritisation is in order to assist in the management of the serious risk or potentially serious risk to human health;

(c)as part of the announcement, [^F1 NHS England^F1] with the agreement of the Secretary of State has issued advice to the effect that contractors are not to comply with a specified type of term of personal medical services agreements—

(i)in the area to which the announcement relates,

(ii)in the circumstances specified in the announcement, and

(iii)during the period specified in the announcement; and

(d)the contractor is situated in the area to which the announcement relates and compliance with the term (it being of the specified type) would, but for the effect of this paragraph, be a requirement of the contractor’s agreement.

(2)[^F1 NHS England^F1] must not take enforcement action, as provided for in an agreement, in respect of a breach of a term of the agreement in the following circumstances—

(a)as a consequence of a disease being, or in anticipation of a disease being imminently—

(i)pandemic, and

(ii)a serious risk or potentially a serious risk to human health,

[^F1 NHS England^F1] with the agreement of the Secretary of State has made an announcement in respect of the prioritisation of services to be provided in, or in any part of, England as part of the health service;

(b)the prioritisation is in order to assist in the management of the serious risk or potentially serious risk to human health;

(c)as part of the announcement, [^F1 NHS England^F1] with the agreement of the Secretary of State has issued advice to the effect that contractors need not comply with a specified type of term of personal medical services agreements—

(i)in the area to which the announcement relates

(ii)in the circumstances specified in the announcement, and

(iii)during the period specified in the announcement; and

(d)the contractor—

(i)is situated in the area to which the announcement relates, and

(ii)has not complied with the term (it being of the specified type) in the particular circumstances mentioned in sub-paragraph (c)(ii) and during the period mentioned in sub-paragraph (c)(iii).^F95]

PART 6 Out of hours services: opt outs

Opt outs: interpretation

28. In this Part—

“ out of hours opt out notice ” means a notice given under regulation 30(1) to opt out permanently of the provision of out of hours services;

“OOH day” is the day specified by the contractor in the out of hours opt out notice which the contractor gives to [^F1 NHS England ^F1] for the commencement of the out of hours opt out;

“B day” is the day six months after the date on which the out of hours opt out notice was given; and

“C day” is the day nine months after the date on which the out of hours opt out notice was given.

Opt outs: general

29. Where—

(a)an agreement requires the contractor to provide out of hours services in accordance with regulation 22; and

(b)the contractor has contracted to provide out of hours services only to patients to which it is required to provide essential services under the agreement,

the agreement must contain terms relating to the procedure for opting out of the provision of those services which have the same effect as those specified in the following provisions of this Part.

Opting out of out of hours service provision

30.—(1) Where a contractor wants to terminate its obligation under the agreement to provide out of hours services, the contractor must give an out of hours opt out notice in writing to [^F1NHS England^F1] to that effect.

(2) An out of hours opt out notice must specify the OOH day, which must be either three or six months after the date on which that notice was given.

(3)[^F1 NHS England^F1] must approve the out of hours opt out notice and specify, in accordance with paragraph (5), the OOH day as soon as is reasonably practicable and, in any event, before the end of the period of 28 days beginning with the date on which [^F1NHS England^F1] receives the out of hours opt out notice.

(4)[^F1 NHS England^F1] must give notice to the contractor in writing of its decision as soon as possible.

(5) A contractor may not withdraw an out of hours opt out notice once it has been approved by [^F1NHS England^F1] under paragraph (3) without [^F1NHS England’s^F1] agreement.

(6) Following receipt of the out of hours opt out notice, [^F1NHS England^F1] must use reasonable endeavours to make arrangements for the contractor's registered patients to receive the out of hours services from an alternative provider from OOH day.

(7) The contractor's duty to provide the out of hours services terminates on OOH day unless [^F1NHS England^F1] gives notice in writing to the contractor under paragraph (7) (extending OOH day to B day or C day).

(8) If [^F1NHS England^F1] is not successful in finding an alternative provider to take on the provision of the out of hours services from OOH day, [^F1NHS England^F1] must give notice in writing to the contractor of this fact no later than one month before OOH day, and—

(a)in a case where OOH day is three months after service of the opt out notice, the contractor must continue to provide the out of hours services until B day unless, at least one month before B day, it receives a notice in writing from [^F1NHS England^F1] under paragraph (8) that, despite using reasonable endeavours, it has failed to find an alternative provider to take on the provision of the out of hours services from B day;

(b)in a case where OOH day is six months after the date on which the opt out notice was served, the contractor must continue to provide the out of hours services until C day.

(9) Where, in accordance with paragraph (9)(a), the opt out is to commence on B day and [^F1NHS England^F1] , despite using reasonable endeavours, has failed to find an alternative provider to take on the provision of the out of hours services from that day, [^F1NHS England^F1] must give notice in writing to the contractor of this fact at least one month before B day, in which case the contractor must continue to provide the out of hours services until C day.

(10) The opt out takes effect at 8.00am on the relevant day unless—

(a)the day is a Saturday, Sunday, Good Friday, Christmas Day, or a bank holiday, in which case the opt out takes effect on the next working day at 8.00am; or

(b)[^F1 NHS England^F1] and the contractor agree a different day or time.

(11) As soon as reasonably practicable and, in any event, before the end of the period of seven days beginning with the date on which [^F1NHS England^F1] gives notice under paragraph (10), [^F1NHS England^F1] must enter into discussions with the contractor concerning the support that [^F1NHS England^F1] may give to the contractor or other changes which [^F1NHS England^F1] or the contractor may make in relation to the provision of out of hours services until C day.

Informing patients of opt outs

31.—(1) Before any out of hours opt out takes effect, [^F1NHS England^F1] and the contractor must discuss how to inform the contractor's patients of the proposed opt out.

(2) The contractor must, if requested by [^F1NHS England^F1] , inform its registered patients of an opt out and the arrangements made for them to receive the out of hours services by—

(a)placing a notice in the contractor's waiting rooms; or

(b)including the information in the contractor's practice leaflet.

PART 7 Right to a general medical services contract

Right to a general medical services contract

32.—(1) Where a contractor is providing essential services under the agreement and would like to enter into a general medical services contract by virtue of this regulation, the contractor must give notice in writing to [^F1NHS England^F1] to that effect at least three months before the date on which the contractor would like to enter into the general medical services contract.

(2) A notice given under paragraph (1) must—

(a)state that the contractor wants to terminate the agreement and the date on which the contractor would like the agreement to terminate, which must be at least three months after the date on which the notice was given;

(b)subject to paragraph (3), give the names of the person or persons with whom the contractor wants [^F1NHS England^F1] to enter into a general medical services contract; and

(c)^M76confirm that the person or persons so named meet the conditions set out in section 86 of the Act (persons eligible to enter into GMS contracts) and regulations 5 (conditions relating solely to general medical practitioners) and 6 (general condition relating to all contracts) of the General Medical Services Contracts Regulations or, where the contractor is not able so to confirm, provide the reason why it is not able to do so together with confirmation that the person or persons will, immediately prior to entering into the general medical services contract, meet those conditions.

(3) A person's name may only be given in a notice referred to in paragraph (1) if that person is a party to the agreement.

(4)[^F1 NHS England^F1] must acknowledge receipt of the notice given under paragraph (1) before the end of the period of seven days beginning with the date on which [^F1NHS England^F1] received the notice.

(5) Provided that the conditions set out in section 86 of the Act (persons eligible to enter into GMS contracts) and regulations 5 and 6 of the General Medical Services Contracts Regulations are met, [^F1NHS England^F1] must enter into a general medical services contract with the person or persons named in the notice given under paragraph (1).

(6) In addition to the terms required by the Act and the General Medical Services Contracts Regulations, a general medical services contract entered into by virtue of this regulation must provide for—

(a)the general medical services contract to commence immediately after the termination of the agreement;

(b)the names of the patients included in the contractor's list of patients immediately before the termination of the agreement to be included in the first list of patients to be prepared and maintained by [^F1NHS England^F1] under paragraph 17 of Schedule 3 to the General Medical Services Contracts Regulations;

(c)the same services to be provided under the general medical services contract as were provided under the agreement immediately before it was terminated unless the parties otherwise agree; and

(d)the opt out of the provision of out of hours services referred to in paragraph (7) in accordance with the terms specified in Part 6 of the General Medical Services Contracts Regulations (opt outs: additional and out of hours services).

(7) The out of hours services are the services which the contractor was providing under the agreement in accordance with regulation 22 immediately before its termination and which the general medical services contract continues to require the contractor to provide.

(8) An agreement is to terminate on the date stated in the notice given by the contractor under paragraph (1) unless a different date is agreed by the contractor and [^F1NHS England^F1] or no general medical services contract is entered into by [^F1NHS England^F1] by virtue of this regulation.

^M77(9) Where there is a dispute as to whether or not a person satisfies the conditions set out in section 86 of the Act (persons eligible to enter into a GMS contract), or of regulations 5 and 6 of the General Medical Services Contracts Regulations, the contractor may appeal to the First-tier Tribunal under this regulation and [^F1NHS England^F1] is to be the respondent.

(10) Any other dispute relating to this regulation is to be determined by the Secretary of State in accordance with regulation 9(2) and (3) of the General Medical Services Contracts Regulations.

(11) The parties to a dispute referred to the Secretary of State in accordance with paragraph (10) are the contractor and [^F1NHS England^F1] .

PART 8 Persons who perform services

Qualifications of performers: medical practitioners

[^F96 33. A medical practitioner may only perform clinical services under the agreement where that medical practitioner is not—

(a)prohibited from performing any such service by regulation 24 of the National Health Service (Performers Lists) (England) Regulations 2013;

(b)suspended from the medical performers list or from the Medical Register; and

(c)subject to interim suspension under section 41A of the Medical Act 1983.^F96]

Qualifications of performers: health care professionals

34.—(1) A health care professional (other than one to whom regulation 33 applies) may not perform clinical services under the agreement unless—

(a)that health care professional is registered with the professional body relevant to that health care professional's profession; and

(b)that registration is not subject to a period of suspension.

Conditional registration or inclusion in a primary care list

35. Where the registration of a health care professional, or, in the case of a medical practitioner, the inclusion of that practitioner's name in a primary care list, is subject to conditions, the contractor must ensure compliance with those conditions in so far as they are relevant to the agreement.

Clinical experience

36. A health care professional may not perform any clinical services under the agreement unless that person has such clinical experience and training as is necessary to enable the person to properly perform such services.

Conditions for employment and engagement: medical practitioners

37.[^F97—(1) Subject to paragraph (2), a contractor may not employ or engage a medical practitioner unless the contractor has checked that the practitioner meets the requirements of—

(a)regulation 33; and

(b)regulation 36.^F97]

(2) Where—

(a)the employment or engagement of a medical practitioner is urgently needed; and

(b)it is not possible for the contractor to check the matters referred to in regulation 36 in accordance with paragraph (1)(b) before employing or engaging the practitioner,

the contractor may employ or engage the practitioner on a temporary basis for a single period of up to seven days while such checks are undertaken.

^F98(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Conditions for employment or engagement: health care professionals

38.—(1) Subject to paragraph (2), a contractor may not employ or engage a health care professional to perform clinical services under the agreement unless—

(a)the contractor has checked that the health care professional meets the requirements of regulation 34; or

(b)the contractor has taken reasonable steps to satisfy itself that the health care professional meets the requirements of regulation 36.

(2) Where—

(a)the employment or engagement of a health care professional is urgently needed; and

(b)it is not possible for the contractor to check the matters referred to in regulation 36 in accordance with paragraph (1) before employing or engaging the healthcare professional,

the contractor may employ or engage the health care professional on a temporary basis for a single period of up to seven days while such checks are undertaken.

(3) When considering a health care professional's experience and training for the purposes of paragraph (1)(b), the contractor must, in particular, have regard to any—

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

(b)relevant training undertaken, and any relevant clinical experience gained, by the health care professional.

Clinical references

39.—(1) The contractor may not employ or engage a health care professional to perform clinical services under the agreement (other than a medical practitioner to whom regulation 33(2)(d) applies) 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 of why this is the case and details of alternative referees; and

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

(2) Where—

(a)the employment or engagement of a health care professional is urgently needed; and

(b)it is not possible for the contractor to obtain and check the references in accordance with paragraph (1)(b) before employing or engaging that health care professional,

the contractor may employ or engage the health care professional on a temporary basis for a single period of up to 14 days while the references are checked and considered, and for an additional period of a further seven days if the contractor believes that 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, the contractor may rely on the references provided on the first occasion, provided that those references are not more than 12 months old.

Verification of qualifications and competence

40.—(1) The contractor must, before employing or engaging a person to assist it in the provision of services under the agreement, take reasonable steps to satisfy itself that the person in question is both suitably qualified and competent to discharge the duties for which that person is to be employed or engaged.

(2) The duty imposed on the contractor by paragraph (1) is in addition to the duties imposed by regulations 37 to 39.

(3) When considering the competence and suitability of a person for the purposes of paragraph (1), the contractor must, in particular, have regard to that person's—

(a)academic and vocational qualifications;

(b)education and training; and

(c)previous employment or work experience.

Training

41.—(1) The contractor must ensure that for any health care professional who is—

(a)performing clinical services under the agreement, 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 the skills and knowledge of that health care professional in relation to the services which that health care professional is performing or assisting in the performance of.

(2) The contractor must afford to each employee reasonable opportunities to undertake appropriate training with a view to maintaining that employee's competence.

Arrangements for GP Specialty Registrars

42.—(1) The contractor may only employ a GP Specialty Registrar subject to the conditions specified in paragraph (2).

(2) The conditions specified in this paragraph are that the contractor must not, by reason only of having employed a GP Specialty Registrar, reduce the total number of hours for which other medical practitioners perform primary medical services under the agreement or for which other staff assist those medical practitioners in the performance of those services.

(3) Where a contractor employs a GP Specialty Registrar, the contractor must—

(a)offer that GP Specialty Registrar terms of employment in accordance with such rates, and subject to such conditions, as are approved by the Secretary of State concerning the grants, fees, travelling and other allowances payable to GP Specialty Registrars; and

(b) ^M78 take into account the guidance contained in the document entitled “A Reference Guide to Postgraduate Specialty Training in the UK”.

Doctors with provisional registration

43. A contractor may not, by reason only of having employed or engaged a person who is—

(a)^M79provisionally registered under section 15, 15A or 21 of the Medical Act 1983 ; and

(b)acting in the course of that person's employment in a resident medical capacity in a post-registration programme,

reduce the total number of hours in which other staff assist in the performance of medical services under the agreement.

Notice requirements in respect of relevant prescribers

44. —(1) For the purposes of this regulation, “a relevant prescriber” is—

(a)a chiropodist or podiatrist independent prescriber;

(b)an independent nurse prescriber;

(c)a pharmacist independent prescriber;

(d)a physiotherapist independent prescriber; or

(e)a supplementary prescriber.

(2) The contractor must give notice to [^F1NHS England^F1] where—

(a)a relevant prescriber is employed or engaged by a contractor to perform functions which include prescribing;

(b)a relevant prescriber is a party to the agreement whose functions include prescribing; or

(c)the functions of a relevant prescriber whom the contractor already employs or has already engaged are extended to include prescribing.

(3) The notice under paragraph (2) must be given in writing to [^F1NHS England^F1] before the expiry of the period of seven days beginning with the date on which—

(a)the relevant prescriber was employed or engaged by the contractor or, as the case may be, became a party to the agreement (unless immediately before becoming such a party, paragraph (2)(a) applied to that relevant prescriber); or

(b)the functions of the relevant prescriber were extended to include prescribing.

(4) The contractor must give notice to [^F1NHS England^F1] where—

(a)the contractor ceases to employ or engage a relevant prescriber in the contractor's practice whose functions include prescribing in the contractor's practice;

(b)a relevant prescriber ceases to be a party to the agreement;

(c)the functions of a relevant prescriber employed or engaged by the contractor in the contractor's practice are changed so that they no longer include prescribing in the contractor's practice; or

(d)the contractor becomes aware that a relevant prescriber whom it employs or engages has been removed or suspended from the relevant register.

(5) The notice under paragraph (4) must be given in writing to [^F1NHS England^F1] before the end of the second working day after the day on which an event described in sub-paragraphs (a) to (d) occurred in relation to the relevant prescriber.

(6) The contractor must provide the following information when it gives notice to [^F1NHS England^F1] in accordance with paragraph (2)—

(a)the person's full name;

(b)the person's professional qualifications;

(c)the person's identifying number which appears in the relevant register;

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

(e)the date on which—

(i)the person was employed or engaged (if applicable),

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

(iii)the functions of the person were extended to include prescribing in the contractor's practice.

(7) The contractor must provide the following information when it gives notice to [^F1NHS England^F1] in accordance with paragraph (4)—

(a)the person's full name;

(b)the person's professional qualifications;

(c)the person's identifying number which appears in the relevant register; and

(d)the date on which—

(i)the person ceased to be employed or engaged in the contractor's practice,

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

(iii)the functions of the person were changed so as to no longer include prescribing in the contractor's practice, or

(iv)the person was removed or suspended from the relevant register.

Signing of documents

45.—(1) The contractor must ensure—

(a)that the documents specified in paragraph (2) include—

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

(ii)the name of the contractor on whose behalf the document is signed; and

(b)that the documents specified in paragraph (3) include the clinical profession of the health care professional who signed the document.

(2) The documents specified in this paragraph are—

(a)certificates issued in accordance with regulation 15, unless regulations relating to particular certificates provide otherwise; and

(b)any other clinical documents apart from—

(i)home oxygen order forms, and

(ii)the documents specified in paragraph (3).

(3) The documents specified in this paragraph are batch issues, prescription forms and repeatable prescriptions.

(4) This regulation is in addition to any other requirements relating to the documents specified in paragraphs (2) and (3) whether in these Regulations or elsewhere.

Level of skill

46. The contractor must carry out its obligations under the agreement with reasonable care and skill.

Appraisal and assessment

47.—(1) The contractor must ensure that any medical practitioner performing services under the agreement—

(a)participates in the appraisal system provided by [^F1NHS England^F1] unless that medical practitioner participates in an appropriate appraisal system provided by another health service body or is an armed forces GP; and

(b)co-operates with [^F1NHS England^F1] in relation to [^F1NHS England’s^F1] patient safety functions.

(2)[^F1 NHS England^F1] must provide an appraisal system for the purposes of paragraph (1)(a) after consultation with the Local Medical Committee (if any) for the area in which the practitioner is to provide services under the agreement and such other persons as appear to it to be appropriate.

(3) In 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 armed forces of the Crown.

PART 9 Prescribing and dispensing

Prescribing: general

48.—(1) The contractor must ensure that—

(a)any prescription form or repeatable prescription issued or created by a prescriber;

(b)any home oxygen order form issued by a health care professional; and

(c)any [^F99listed prescription items^F99] voucher issued by a prescriber or any other person acting under the agreement,

complies as appropriate with the requirements in regulations 49, 50 and 52 to 55.

[^F100 (2) In regulations 49, 50 and 52 to 56, a reference to “drugs” includes contraceptive substances and a reference to “appliances” includes contraceptive appliances. ^F100]

[^F101Prescribing software and supply shortages etc. of medicines

48A.—(1) This paragraph applies where—

(a)the Secretary of State, in the exercise of the Secretary of State’s obligations, duties or powers in respect of ensuring that adequate supplies of English health service medicines are available—

(i)has acquired information under Part 6 of the Health Service Products (Provision and Disclosure of Information) Regulations 2018 (information about price and availability of health service medicines) about a particular English health service medicine, and

(ii) authorises the disclosure of information derived from that information (“relevant communications information”) to contractors for the purpose of ensuring, by the appropriate and effective management of—

(aa)a supply shortage of that particular English health service medicine, or

(bb)the discontinuation of the production of that particular English health service medicine,

that adequate supplies of English health service medicines are available;

(b)the contractor wishes to receive relevant communications information via the prescribing software that it has to support the issuing of prescriptions for English health service medicines (in addition to the other ways in which it may access that information); and

(c) there is a software programme available to the contractor from its supplier of prescribing software (“ SPS ”) that would enable that.

(2) Where paragraph (1) applies, the contractor must ensure that the arrangements it makes with a SPS to support the issuing of prescriptions for English health service medicines—

(a)include appropriate provision requiring the updating of the software to take account of relevant communications information about supply shortages of, or the discontinuation of the production of, particular English health service medicines; and

(b)are, as regards that inclusion, consistent with the authorisation referred to in paragraph (1)(a)(ii).

(3) The disclosure of relevant communications information by the Secretary of State or a person acting on the Secretary of State’s behalf to a SPS, or by a SPS to a contractor in a manner that is consistent with the authorisation referred to in paragraph (1)(a)(ii), is not a disclosure of confidential or commercially sensitive information affected by section 264B(2)(b) of the Act, in a case where but for this paragraph it would be, if the disclosure is—

(a)for the purpose of ensuring, by the appropriate and effective management by the Secretary of State (and persons acting on the Secretary of State’s behalf) of—

(i)a supply shortage of the particular English health service medicine in question, or

(ii)the discontinuation of the production of the particular English health service medicine in question,

that adequate supplies of English health service medicines are available; and

(b)proportionate to that purpose.

(4) A disclosure of relevant communications information as mentioned in paragraph (3) may be by way of permitting access to that information rather than proactive disclosure.

(5) A disclosure of relevant communications information that is as mentioned in paragraph (3) is to be treated as neither constituting a breach of confidence nor prejudicing commercial interests in any case where, but for this paragraph, it would be so treated.

(6) Section 264B(3)(f) of the Act applies to the contractor in respect of relevant communications information received as part of the arrangements mentioned in paragraph (2) as it would if the Secretary of State had disclosed that information to the contractor directly instead of via an intermediary.

(7) A SPS must not disclose relevant communications information, other than as provided for in paragraph (3), if it is confidential or commercially sensitive information that, when disclosed to a contractor by the Secretary of State, is subject to the disclosure restriction in section 264B(2)(b) of the Act.^F101]

Orders for drugs, medicines or appliances

49.—(1) Subject to [^F102paragraphs (1A), (2) and (3)^F102] and to the restrictions on prescribing in regulations 54 and 55, a prescriber must order any drugs, medicines or appliances which are needed for the treatment of a patient who is receiving treatment under the agreement by—

(a)issuing to the patient a non-electronic prescription form or non-electronic repeatable prescription completed in accordance with paragraph (6);

(b)creating and transmitting an electronic prescription in circumstances to which regulation 50(1) applies,

and a non-electronic prescription form, non-electronic repeatable prescription or electronic prescription that is for health service use must not be used in any other circumstances.

[^F103 (1A) If, on a particular occasion when a drug, medicine or appliance is needed as mentioned in paragraph (1)—

(a)the prescriber is able, without delay, to order the drug, medicine or appliance by means of an electronic prescription;

(b)the Electronic Prescription Service software that the prescriber would use for that purpose provides for the creation and transmission of electronic prescriptions without the need for a nominated dispenser; and

(c)none of the reasons for issuing a non-electronic prescription form or a non- electronic repeatable prescription given in paragraph (1B) apply,

the prescriber must create and transmit an electronic prescription for that drug, medicine or appliance.

(1B) The reasons given in this paragraph are—

(a)although the prescriber is able to use the Electronic Prescription Service, the prescriber is not satisfied that—

(i)the access that the prescriber has to the Electronic Prescription Service is reliable, or

(ii)the Electronic Prescription Service is functioning reliably;

(b)the patient, or where appropriate the patient’s authorised person, informs the prescriber that the patient wants the option of having the prescription dispensed elsewhere than in England;

(c)the patient, or where appropriate the patient’s authorised person, insists on the patient being issued with a non-electronic prescription form or a non-electronic repeatable prescription for a particular prescription and in the professional judgment of the prescriber the welfare of the patient is likely to be in jeopardy unless a non-electronic prescription form or a non-electronic repeatable prescription is issued;

(d)the prescription is to be issued before the contractor’s EPS phase 4 date or the contractor has no such date.^F103]

(2) A healthcare professional must order any home oxygen services which are needed for the treatment of a patient who is receiving treatment under the agreement by issuing a home oxygen order form.

(3) During an outbreak of an illness for which a [^F104listed prescription item^F104] may be used for a treatment or for prophylaxis, if—

(a)the Secretary of State or [^F1NHS England^F1] has made arrangements for the distribution of a [^F104listed prescription item^F104] free of charge; and

(b)that [^F104listed prescription item^F104] is needed for treatment or prophylaxis of any patient who is receiving treatment under the agreement,

a prescriber may order that [^F104listed prescription item^F104] by using a [^F105listed prescription items^F105] voucher and must sign that [^F105listed prescription items^F105] voucher [^F106(with an electronic signature, if an electronic form is used)^F106] if one is used.

(4) During an outbreak of an illness for which a [^F107listed prescription item^F107] may be used for treatment or for prophylaxis, if—

(a)the Secretary of State or [^F1NHS England^F1] has made arrangements for the distribution of a [^F107listed prescription item^F107] free of charge;

(b)those arrangements contain criteria set out in a protocol which enable persons who are not prescribers to identify the symptoms of, and whether there is a need for treatment or prophylaxis of, that disease;

(c)a person acting on behalf of the contractor, who is not a prescriber but who is authorised by [^F1NHS England^F1] to order [^F108listed prescription items^F108] , has applied the criteria referred to in sub-paragraph (b) to a patient who is receiving treatment under the agreement; and

(d)having applied the criteria, that person has concluded that the [^F107listed prescription item^F107] is needed for the treatment or prophylaxis of the patient,

that person may order that [^F107listed prescription item^F107] by using a [^F108listed prescription items^F108] voucher and must sign that [^F108listed prescription items^F108] voucher [^F109(with an electronic signature, if an electronic form is used)^F109] if one is used.

(5) A prescriber may only order drugs, medicines or appliances on a repeatable prescription where the drugs, medicines or appliances are to be provided more than once.

[^F110 (5A) A prescriber must only order one prescription item on a prescription form or repeatable prescription that is used by the prescriber for ordering a listed HRT prescription item.

(5B) For the purposes of paragraph (5A), “ listed HRT prescription item ” is to be construed in accordance with regulation 17A(1)(a) of the National Health Service (Charges for Drugs and Appliances) Regulations 2015 , read with regulation 17A(7) of those Regulations. ^F110]

(6) In issuing a non-electronic prescription form or non-electronic repeatable prescription the prescriber must—

(a)sign the prescription form or repeatable prescription in ink in the prescriber's own handwriting, and not by means of a stamp, with the prescriber's initials, or forenames, and surname; and

(b)only sign the prescription or repeatable prescription after particulars of the order have been inserted in the prescription form or repeatable prescription.

(7) A prescription form or repeatable prescription must not refer to any previous prescription form or repeatable prescription.

(8) A separate prescription form or repeatable prescription must be used for each patient, except where a bulk prescription is issued for a school or institution under regulation 54.

(9) A home oxygen order form must be signed by a health care professional.

^M80(10) Where a prescriber orders the drug buprenorphine or diazepam or a drug specified in Schedule 2 to the Misuse of Drugs Regulations 2001 (controlled drugs to which regulations 14 to 16, 18, 21, 23, 26 and 27 of those Regulations apply) for supply by instalments for treating addiction to any drug specified in that Schedule, that prescriber must—

(a)^F111use only the ... prescription form provided specially for the purposes of supply by instalments;

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

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

(11) The prescription form provided specially for the purpose of supply by instalments must not be used for any purpose other than ordering drugs in accordance with paragraph (10).

(12) In an urgent case, a prescriber may only request a chemist to dispense a drug or medicine before a prescription form or repeatable prescription is issued or created if—

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

(b)^M81,M82the drug is not a controlled drug within the meaning of section 2 of the Misuse of Drugs Act 1971 (which relates to controlled drugs and their classification for the purposes of that Act), other than a drug which is for the time being specified in Part 1 of Schedule 4 (controlled drugs subject to the requirements of regulations 22, 23, 26 and 27) or Schedule 5 (controlled drugs excepted from the prohibition of importation, exportation and possession and subject to the requirements of regulations 24 and 26) to the Misuse of Drugs Regulations 2001 ; and

(c)the prescriber undertakes to—

(i)provide the chemist within 72 hours from the time of the request with a non-electronic prescription form or a non-electronic repeatable prescription completed in accordance with paragraph (6), or

(ii)transmit by the Electronic Prescription Service within 72 hours from the time of the request an electronic prescription.

(13) In an urgent case, a prescriber may only request a chemist to dispense an appliance before a prescription form or repeatable prescription form is issued or created if—

(a)the appliance does not contain a Scheduled drug, or a controlled drug within the meaning of section 2 of the Misuse of Drugs Act 1971 (which relates to controlled drugs and their classification for the purposes of that Act), other than a drug which is for the time being specified in Schedule 5 to the Misuse of Drugs Regulations 2001 (controlled drugs excepted from the prohibition on importation, exportation and possession and subject to the requirements of regulations 24 and 26);

(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)the prescriber undertakes to—

(i)provide the chemist within 72 hours from the time of the request with a non-electronic prescription form or non-electronic repeatable prescription completed in accordance with paragraph (6), or

(ii)transmit by the Electronic Prescription Service within 72 hours from the time of the request an electronic prescription.

Electronic prescriptions

50.—(1) A prescriber may only order drugs, medicines or appliances by means of an electronic prescription if—

^F112(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F112(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)the prescription is not—

(i)for a controlled drug within the meaning of section 2 of the Misuse of Drugs Act 1971 (which relates to controlled drugs and their classification for the purposes of that Act), other than a drug which is for the time being specified in Schedule 4 (controlled drugs subject to the requirements of regulations 22, 23, 26 and 27) or 5 (controlled drugs excepted from the prohibition on importation, exportation and possession and subject to the requirements of regulations 24 and 26) to the Misuse of Drugs Regulations 2001, or

(ii)a bulk prescription issued for a school or institution under regulation 56.

[^F113 (1A) If a prescriber orders a drug, medicine or appliance by means of an electronic prescription, the prescriber must issue the patient with—

(a)subject to paragraph (1C), an EPS token; and

(b)if the patient, or where appropriate an authorised person, so requests, a written record of the prescription that has been created.

(1B) On and after the contractor’s EPS phase 4 date, if the order is eligible for Electronic Prescription Service use, the prescriber must ascertain if the patient, or where appropriate the patient’s authorised person, wants to have the electronic prescription dispensed by a nominated dispenser.

(1C) The prescriber must not issue the patient with an EPS token if the patient, or where appropriate the patient’s authorised person, wants to have the electronic prescription dispensed by a nominated dispenser.^F113]

(2) A health care professional may not order home oxygen services by means of an electronic prescription.

^F114(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F114(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Nomination of dispensers for the purpose of electronic prescriptions

^M8351.—(1) A contractor authorised to use the Electronic Prescription Service for its patients must [^F115, if a patient, or where appropriate the patient’s authorised person, so requests,^F115] enter into the particulars relating to the patient which are held in the Patient Demographic Service operated by [^F116NHS England^F116] —

(a)where the patient does not have a nominated dispenser, the dispenser chosen by the patient[^F117 or where appropriate the patient’s authorised person^F117] ;

(b)where the patient does have a nominated dispenser—

(i)a replacement dispenser, or

(ii)a further dispenser,

chosen by the patient.

(2) Paragraph (1)(b)(ii) does not apply if the number of the nominated dispensers would thereby exceed the maximum number permitted by the Electronic Prescription Service.

^F118(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) A contractor must—

(a)not seek to persuade the patient[^F119 or the patient’s authorised person^F119] to nominate a dispenser recommended by the prescriber or the contractor; and

(b)if asked by the patient[^F120 or the patient’s authorised person^F120] to recommend a chemist whom the patient[^F121 or the patient’s authorised person^F121] might nominate as the patient's dispenser, provide the patient[^F122 or, as the case may be, the patient’s authorised person^F122] with the list given to the contractor by [^F1NHS England^F1] of all chemists in the area who provide an Electronic Prescription Service.

Repeatable prescribing services

52.—(1) The contractor may only provide repeatable prescribing services to a person on its lists of patients if the contractor—

(a)satisfies the conditions specified in paragraph (2); and

(b)has given notice in writing to [^F1NHS England^F1] of its intention to provide repeatable prescribing services in accordance with paragraphs (3) and (4).

(2) The conditions specified in this paragraph are that—

(a)the contractor has access to computer systems and software which enable it to issue non-electronic repeatable prescriptions and batch issues; and

(b)the practice premises at which the repeatable prescribing services are to be provided are located in a local authority area in which there is also located the premises of at least one chemist who has undertaken to provide, or has entered into arrangements to provide, repeat dispensing services.

(3) The notice given under paragraph (1)(b) must confirm that the contractor—

(a)wants to provide repeatable prescribing services;

(b)intends to begin providing those services from a specified date; and

(c)satisfies the conditions specified in paragraph (2).

(4) The date specified by the contractor under paragraph (3)(b) must be at least ten days after the date on which the notice under paragraph (1)(b) was given.

(5) Nothing in this regulation requires a contractor or prescriber to provide repeatable prescribing services to any person.

(6) A prescriber may only provide repeatable prescribing services to a person on a particular occasion if—

(a)the person has agreed to receive such services on that occasion; and

(b)the prescriber considers that it is clinically appropriate to provide such services to that person on that occasion.

^M84,M85(7) The contractor may not provide repeatable prescribing services to any of its patients to whom a person specified in paragraph (8) is authorised or required by [^F1NHS England^F1] to provide pharmaceutical services in accordance with arrangements under section 126 (arrangements for pharmaceutical services) and section 132 (persons authorised to provide pharmaceutical services) of the Act.

(8) The persons specified in this paragraph are—

(a)a medical practitioner who is a party to the agreement;

(b)in the case of an agreement with a qualifying body, any medical practitioner who is both a legal and beneficial shareholder in that body; or

(c)any medical practitioner employed or engaged by the contractor.

Repeatable prescriptions

53.—(1) A prescriber who issues a non-electronic repeatable prescription must at the same time issue the appropriate number of batch issues.

(2) Where a prescriber wants to make a change to the type, quantity, strength or dosage of drugs, medicines or appliances ordered on a person's repeatable prescription, the prescriber must—

(a)in the case of a non-electronic repeatable prescription—

(i)give notice to the person, and

(ii)make reasonable efforts to give notice to the chemist providing repeat dispensing services to the person,

that the original repeatable prescription should no longer be used to obtain or provide repeat dispensing services and make arrangements for a replacement repeatable prescription to be issued to the person; or

(b)in the case of an electronic repeatable prescription—

(i)arrange with the Electronic Prescription Service for the cancellation of the original repeatable prescription, and

(ii)create a replacement electronic repeatable prescription relating to the person and give notice to the person that this has been done.

(3) Where a prescriber has created an electronic repeatable prescription for a person, the prescriber must, as soon as practicable, arrange with the Electronic Prescription Service for its cancellation if, before the expiry of that prescription—

(a)the prescriber considers that it is no longer safe or appropriate for the person to receive the drugs, medicines or appliances ordered on the person's electronic repeatable prescription or it is no longer safe or appropriate for the person to continue to receive repeatable prescribing services;

(b)the prescriber has issued the person with a non-electronic repeatable prescription in place of the electronic repeatable prescription; or

(c)it comes to the prescriber's notice that the person has been removed from the list of patients of the contractor on whose behalf the prescription was issued.

(4) Where a prescriber has cancelled an electronic repeatable prescription relating to a person in accordance with paragraph (3), the prescriber must give notice to the person as soon as possible to that effect.

(5) A prescriber who has issued a non-electronic repeatable prescription in relation to a person must, as soon as possible, make reasonable efforts to give notice to the chemist that that repeatable prescription should no longer be used to provide repeat dispensing services to that person, if, before the expiry of that repeatable prescription—

(a)the prescriber considers that it is no longer safe or appropriate for the person to receive the drugs, medicines or appliances ordered on the person's repeatable prescription or that it is no longer safe or appropriate for the person to continue to receive repeatable prescribing services;

(b)the prescriber issues or creates a further repeatable prescription in respect of the person to replace the original repeatable prescription other than in the circumstances referred to in paragraph (2)(a) (for example, because the person wants to obtain the drugs, medicines or appliances from a different chemist); or

(c)it comes to the prescriber's attention that the person has been removed from the list of patients of the contractor on whose behalf the prescription was issued.

(6) Where the circumstances in paragraph (5)(a) to (c) apply, the prescriber must, as soon as practicable, give notice to a person that the person's repeatable prescription should no longer be used to obtain repeat dispensing services.

[[^F123,F124Prescribing for electronic repeat dispensing^F124]

53A.—(1) Subject to regulations 49, 50, 52 and 53(2)(b) to (4), where a prescriber orders a drug, medicine or appliance by means of an electronic repeatable prescription, the prescriber must issue the prescription in a format appropriate for [^F125 electronic repeat dispensing^F125] [^F126 where it is clinically appropriate to do so for that patient on that occasion^F126] .

[^F127 (2) In this regulation, “electronic repeat dispensing” means dispensing as part of pharmaceutical services or local pharmaceutical services which involves the provision of drugs, medicines or appliances accordance with an electronic repeatable prescription. ^F127,F123]]

Restrictions on prescribing by medical practitioners

54.—(1) A medical practitioner, in the course of treating a patient to whom the practitioner is providing treatment under the agreement, must comply with the following paragraphs.

(2) The medical practitioner must not order on a [^F128listed prescription items^F128] voucher, prescription form or a repeatable prescription a drug, medicine or other substance specified in any directions given by the Secretary of State under section 88 of the Act (GMS contracts: prescription of drugs etc) as being a drug, medicine or other substance which may not be ordered for patients in the provision of medical services under a general medical services contract.

(3) The medical practitioner must not order on a [^F128listed prescription items^F128] voucher, a prescription form or repeatable prescription a drug, medicine or other substance specified in any directions given by the Secretary of State under section 88 of the Act (GMS contracts: prescription of drugs etc) as being a drug, medicine or other substance which can be ordered for specified patients and specified purposes unless—

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

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

(c)if the order is on a prescription form, the practitioner includes on the form—

(i) the reference “SLS”, or

(ii) if the order is under arrangements made by the Secretary of State or [^F1 NHS England ^F1] for the distribution of a [^F129 listed prescription item ^F129] free of charge, the reference “ACP”.

(4) The medical practitioner must not order on a prescription form or repeatable prescription 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 includes on the prescription form the reference “SLS”.

^M86,M87(5) The medical practitioner must not order on a repeatable prescription a controlled drug within the meaning of section 2 of the Misuse of Drugs Act 1971 (controlled drugs and their classification for the purposes of that Act), other than a drug which is for the time being specified in Schedule 4 (controlled drugs subject to the requirements of regulations 22, 23, 26 and 27) or Schedule 5 (controlled drugs excepted from the prohibition on importation, exportation and possession and subject to the requirements of regulations 24 and 26) to the Misuse of Drugs Regulations 2001 .

(6) Subject to regulation 18(2)(b) and to paragraph (7), nothing in the preceding paragraphs prevents a medical practitioner, in the course of treating a patient to whom this regulation refers, from prescribing a drug, medicine or other substance or, as the case may be, a restricted availability appliance or a controlled drug within the meaning of section 2 of the Misuse of Drugs Act 1971 (controlled drugs and their classification for the purposes of that Act) for the treatment of that patient under a private arrangement.

(7) Where, under paragraph (6), a drug, medicine or other substance is prescribed under a private arrangement, if the order is to be transmitted as an electronic communication to a chemist for the drug, medicine or appliance to be dispensed—

(a)^M88if the order is not for a drug for the time being specified in Schedule 2 (controlled drugs subject to the requirements of regulations 14, 15, 16, 18, 19, 20, 21, 23, 26 and 27) or Schedule 3 (controlled drugs subject to the requirements of regulations 14, 15, 16, 18, 22, 23, 24, 26 and 27) to the Misuse of Drugs Regulations 2001 , it may be transmitted by the Electronic Prescription Service; but

(b)if the order is for a drug for the time being specified in Schedule 2 (controlled drugs subject to the requirements of regulations 14, 15, 16, 18, 19, 20, 21, 23, 26 and 27) or Schedule 3 (controlled drugs subject to the requirements of regulations 14, 15, 16, 18, 22, 23, 24, 26 and 27) to the Misuse of Drugs Regulations 2001, it must be transmitted by the Electronic Prescription Service.

Restrictions on prescribing by supplementary prescribers

55.—(1) The contractor must have arrangements in place to secure that a supplementary prescriber may only—

(a)issue or create 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 under the conditions set out in paragraph (2).

(2) The conditions set out in this paragraph are that—

(a)^M89the person satisfies the conditions in regulation 215 of the Human Medicines Regulations 2012 (prescribing and administration by supplementary prescribers), unless those conditions do not apply by virtue of any of the exemptions set out in the subsequent provisions of those Regulations;

(b)the prescription only medicine is not specified in any directions given by the Secretary of State under section 88 of the Act (GMS contracts: prescription of drugs etc) as being a drug, medicine or other substance which may not be ordered for patients in the provision of medical services under a general medical services contract; and

(c)the prescription only medicine is not specified in any directions given by the Secretary of State under section 88 of the Act (GMS contracts: prescription of drugs) as being a prescription only medicine 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 the supplementary prescriber is issuing or creating a prescription on a prescription form the prescriber includes on the form—

(aa) the reference “SLS”, or

(bb) in the case of a [^F130 listed prescription item ^F130] ordered under arrangements made by the Secretary of State or [^F1 NHS England ^F1] for the [^F131 item’s ^F131] distribution free of charge, the reference “ACP”.

(3) Where the functions of a supplementary prescriber include prescribing, the contractor must have arrangements in place to secure that the person may only issue or create 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 paragraph (4).

(4) The conditions set out in this paragraph are that—

(a)the supplementary prescriber acts in accordance with a clinical management plan which is in effect at the time at which that prescriber 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 giving notice 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, and

(bb)incidents occurring with the appliance that might lead, might have led or has led to the death or serious deterioration of the 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)the supplementary prescriber 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 prescription only medicine, that prescription only medicine is not specified in any directions given by the Secretary of State under section 88 of the Act (GMS contracts: prescription of drugs etc) as being a drug, medicine or other substance which may not be ordered for patients in the provision of medical services under the agreement;

(d)if it is a prescription for a prescription only medicine, that prescription only medicine is not specified in any directions given by the Secretary of State under section 88 of the Act (GMS contracts: prescription of drugs etc) 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 a specified description,

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

(iii) when issuing or creating the prescription, the supplementary prescriber includes on the prescription form the reference “SLS”;

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

(f)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 issuing or creating the prescription, the supplementary prescriber includes on the prescription form the reference “SLS”.

(5) In 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.

Bulk prescribing

56.—(1) A prescriber may use a single use non-electronic prescription form where—

(a)a contractor is responsible under the agreement for the treatment of ten or more persons in a school or other institution in which at least 20 persons normally reside; and

(b)the prescriber orders, for any two or more of those persons for whose treatment the contractor is responsible, drugs, medicines or appliances to which this regulation applies.

(2) Where a prescriber uses a single non-electronic prescription form for the purpose mentioned in paragraph (1)(b), the prescriber must (instead of entering on the form the names of the persons for whom the drugs, medicines or appliances are ordered) enter on the form—

(a)the name of the school or other institution in which those persons reside; and

(b)the number of persons residing there for whose treatment the contractor is responsible.

(3) This regulation applies to any drug, medicine or appliance which can be supplied as part of pharmaceutical services or local pharmaceutical services and which—

(a)in the case of a drug or medicine, is not a prescription only medicine; or