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Health and Social Care (Community Health and Standards) Bill


Health and Social Care (Community Health and Standards) Bill
Schedule 5 — Audit of accounts of NHS foundation trusts

    130

 

  This sub-paragraph does not affect the generality of sub-paragraphs (1) to

(3).

          (5)      A person who without reasonable excuse fails to comply with any

requirement of an auditor of an NHS foundation trust under any of sub-

paragraphs (1) to (3) is guilty of an offence.

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          (6)      A person guilty of an offence under sub-paragraph (5) is liable on summary

conviction—

              (a)             to a fine not exceeding level 3 on the standard scale, and

              (b)             to an additional fine not exceeding £20 for each day on which the

offence continues after conviction for the offence.

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          (7)      Any expenses incurred by an auditor of an NHS foundation trust in

connection with proceedings for an offence under sub-paragraph (6) alleged

to have been committed in relation to the audit of the accounts of the trust,

so far as not recovered from any other source, are recoverable from the trust.

Reports

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  3        In auditing the accounts of an NHS foundation trust, the auditor must

consider—

              (a)             whether, in the public interest, he should make a report on any

matter coming to his notice in the course of the audit, in order for it

to be considered by the trust or brought to the attention of the public,

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and

              (b)             whether the public interest requires any such matter to be made the

subject of an immediate report rather than of a report to be made at

the conclusion of the audit.

  4       (1)      When an auditor of an NHS foundation trust has concluded his audit of the

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trust’s accounts, he must enter on the accounts—

              (a)             a certificate that he has completed the audit in accordance with Part

1, and

              (b)             his opinion on the accounts.

          (2)      But where the auditor makes a report to the trust under paragraph 3 at the

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conclusion of the audit, he may instead include the certificate and his

opinion in that report.

  5       (1)      Any report under paragraph 3 must be sent by the auditor to the trust and

the regulator—

              (a)             at once if it is an immediate report,

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              (b)             otherwise not later than 14 days after conclusion of the audit.

          (2)      The trust must take the report into consideration as soon as practicable after

receiving it.

Referral to regulator

  6        If the auditor of an NHS foundation trust has reason to believe that the trust

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or a director or officer of the trust—

              (a)             is about to make, or has made, a decision which involves or would

involve the incurring of expenditure which is unlawful, or

              (b)             is about to take, or has taken, a course of action which, if pursued to

its conclusion, would be unlawful and likely to cause a loss or

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deficiency,

 

 

Health and Social Care (Community Health and Standards) Bill
Schedule 6 — CHAI: supplementary

    131

 

           he must refer the matter at once to the regulator.

Audit of accounts of directors or officers

  7       (1)      Where a director or officer of an NHS foundation trust receives money or

other property—

              (a)             on behalf of the trust, or

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              (b)             for which he ought to account to the trust,

                   the accounts of the director or officer are to be audited by the auditor of the

accounts of the trust.

          (2)      The accounts of the director or officer are to be made up to 31st March.

          (3)      Paragraph 23(4) of Schedule 1 and paragraphs 1 to 5 of this Schedule apply

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with the necessary modifications to the audit under this paragraph.

Restriction on disclosure of information

  8       (1)      No information relating to an NHS foundation trust or other person and

obtained by an auditor (or by a person acting on the auditor’s behalf) under

Part 1 or in the course of an audit under that Part is to be disclosed except—

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              (a)             with the consent of the person to whom the information relates,

              (b)             for the purposes of any functions of an auditor of an NHS foundation

trust              ,

              (c)             for the purposes of the functions of the regulator,

              (d)             for the purposes of the functions of the Comptroller and Auditor

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General under Part 1,

              (e)             for the purposes of the functions of the Commission for Healthcare

Audit and Inspection under Part 2,

              (f)             for the purposes of any criminal proceedings.

          (2)      A person who discloses information in contravention of sub-paragraph (1)

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is guilty of an offence.

          (3)      A person guilty of an offence under sub-paragraph (2) is liable—

              (a)             on summary conviction, to imprisonment for a term not exceeding

six months or to a fine not exceeding the statutory maximum (or to

both),

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              (b)             on conviction on indictment, to imprisonment for a term not

exceeding two years or to a fine (or to both).

Schedule 6

Section 40(2)

 

CHAI: supplementary

Status

35

  1       (1)      The CHAI is not to be regarded as the servant or agent of the Crown or as

enjoying any status, immunity or privilege of the Crown.

          (2)      The CHAI’s property is not to be regarded as property of, or property held

on behalf of, the Crown.

 

 

Health and Social Care (Community Health and Standards) Bill
Schedule 6 — CHAI: supplementary

    132

 

General powers and duties

  2       (1)      The CHAI may do anything which appears to it to be necessary or expedient

for the purpose of, or in connection with, the exercise of its functions.

          (2)      That includes, in particular—

              (a)             co-operating with other public authorities in the United Kingdom,

5

              (b)             acquiring and disposing of land and other property,

              (c)             entering into contracts, and

              (d)             providing training.

          (3)      It is the duty of the CHAI to carry out its functions effectively, efficiently and

economically.

10

Chairman and other members

  3       (1)      The CHAI is to consist of—

              (a)             a chairman appointed by the Secretary of State,

              (b)             a member appointed by the Assembly who appears to the Assembly

to be suited to make the interests of Wales his special care, and

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              (c)             other members appointed by the Secretary of State.

          (2)      The Secretary of State may in the prescribed manner remove from office any

person appointed by him under sub-paragraph (1)(a) or (c) if (and only if) he

is satisfied that one of the conditions specified in sub-paragraph (4) is

satisfied in relation to that person.

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          (3)      The Assembly may in the prescribed manner remove from office the person

appointed by it under sub-paragraph (1)(b) if (and only if) the Assembly is

satisfied that one of the conditions specified in sub-paragraph (4) is satisfied

in relation to that person.

          (4)      The conditions referred to in sub-paragraphs (2) and (3) above in relation to

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a person are that—

              (a)             he is unable or unfit to carry out the duties of his office;

              (b)             he is failing to carry out the duties of his office;

              (c)             he has become disqualified from holding office.

          (5)      The Secretary of State may by regulations make provision as to—

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              (a)             the appointment of the chairman and other members (including the

number, or limits on the number, of members who may be appointed

and any conditions to be fulfilled for appointment), and

              (b)             subject to this paragraph, the tenure of office of the chairman and

other members (including the circumstances in which they cease to

35

hold office, become disqualified from holding office or may be

suspended from office).

          (6)      Regulations under sub-paragraph (5)(b) relating to the suspension of a

person from office may only provide for suspension where it appears to the

Secretary of State (or, in the case of a person appointed under sub-paragraph

40

(1)(b), the Assembly) that one of the conditions referred to in sub-paragraph

(4) is or may be satisfied in relation to that person.

          (7)      The Secretary of State must consult the Assembly before exercising any of

his functions under this paragraph.

 

 

Health and Social Care (Community Health and Standards) Bill
Schedule 6 — CHAI: supplementary

    133

 

          (8)      The Assembly must consult the Secretary of State before exercising any of its

functions under the preceding provisions of this paragraph.

          (9)      The Assembly may direct a Special Health Authority to exercise any

function conferred on it by or under this paragraph.

          (10)     If directions are given under sub-paragraph (9), the 1977 Act has effect as

5

if—

              (a)             the directions were directions under section 16D of that Act for the

exercise of functions relating to the health service and, accordingly,

              (b)             the functions were exercisable by the Special Health Authority under

that section.

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Remuneration of chairman and other members

  4       (1)      The CHAI may pay to its chairman, or to any other member, such

remuneration and allowances as the Secretary of State may determine.

          (2)      If the Secretary of State so determines, the CHAI must pay or make

provision for the payment of such pension, allowance or gratuities as the

15

Secretary of State may determine to or in respect of a person who is or has

been the chairman or other member of the CHAI.

          (3)      If the Secretary of State determines that there are special circumstances that

make it right for a person ceasing to hold office as chairman of the CHAI to

receive compensation, the CHAI must pay to him, or make provision for the

20

payment to him of, such compensation as the Secretary of State may

determine.

          (4)      The Secretary of State must consult the Assembly before exercising any of

his functions under this paragraph.

Employees

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  5       (1)      The CHAI must appoint a chief executive (to be known as the “Chief

Inspector of Healthcare”), who is to be an employee of the CHAI.

          (2)      The CHAI may appoint such other employees as it considers appropriate.

          (3)      Employees of the CHAI are to be appointed on such terms and conditions as

it may determine.

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          (4)      Without prejudice to its other powers, the CHAI may pay, or make

provision for the payment of—

              (a)             pensions, allowances or gratuities, or

              (b)             compensation for loss of employment or reduction of remuneration,

                   to or in respect of its employees.

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Procedure

  6       (1)      The CHAI may—

              (a)             appoint such committees and sub-committees (which may consist of

or include persons who are not members of the CHAI) as it thinks fit;

              (b)             pay such remuneration and allowances to members of its committees

40

and sub-committee as it thinks fit.

          (2)      The CHAI may in all other respects regulate its own procedure.

 

 

Health and Social Care (Community Health and Standards) Bill
Schedule 6 — CHAI: supplementary

    134

 

          (3)      The validity of the proceedings of the CHAI is not affected by any defect in

the appointment of a member or any vacancy in membership.

Discharge of functions

  7       (1)      The CHAI may arrange for—

              (a)             any of its committees, sub-committees, members or employees, or

5

              (b)             any other person,

                   to exercise any of its functions on its behalf.

          (2)      If the CHAI arranges for the discharge of any function as mentioned in sub-

paragraph (1)(b), the arrangements may include provision with respect to

the payment of remuneration and allowances to, or amounts in respect of,

10

such persons.

Assistance

  8       (1)      The CHAI may arrange for such persons as it thinks fit to assist it in the

discharge of any of its functions in relation to a particular case or class of

case.

15

          (2)      Such arrangements may include provision with respect to the payment of

remuneration and allowances to, or amounts in respect of, such persons.

Payments and loans

  9       (1)      The Secretary of State may make payments out of money provided by

Parliament to the CHAI of such amounts, at such times and on such

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conditions (if any) as he considers appropriate.

          (2)      The Assembly may make payments to the CHAI of such amounts, at such

times and on such conditions (if any) as it considers appropriate.

          (3)      The Secretary of State may, with the approval of the Treasury, make loans

out of money provided by Parliament to the CHAI on such terms (including

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terms as to repayment and interest) as he may determine.

          (4)      The Assembly may make loans to the CHAI on such terms (including terms

as to repayment and interest) as it may determine.

          (5)      Except as provided by this paragraph, the CHAI has no power to borrow

money.

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Accounts

  10      (1)      The CHAI must keep its accounts in such form as the Secretary of State may

determine.

          (2)      The CHAI must prepare annual accounts in respect of each financial year in

such form as the Secretary of State may determine.

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          (3)      The CHAI must send copies of the annual accounts to the Secretary of State

and the Comptroller and Auditor General within such period after the end

of the financial year to which the accounts relate as the Secretary of State

may determine.

          (4)      The Comptroller and Auditor General must examine, certify and report on

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the annual accounts and must lay copies of the accounts and of his report

before Parliament.

 

 

Health and Social Care (Community Health and Standards) Bill
Schedule 7 — CSCI: supplementary

    135

 

Seal and evidence

  11       The application of the seal of the CHAI must be authenticated by the

signature—

              (a)             of any member of the CHAI, or

              (b)             of any other person who has been authorised by the CHAI (whether

5

generally or specifically) for that purpose.

  12       A document purporting to be duly executed under the seal of the CHAI or

to be signed on its behalf is to be received in evidence and, unless the

contrary is proved, taken to be so signed or executed.

Schedule 7

10

Section 41(2)

 

CSCI: supplementary

Status

  1       (1)      The CSCI’s property is not to be regarded as property of, or property held

on behalf of, the Crown.

          (2)      The CSCI is not to be regarded as the servant or agent of the Crown or as

15

enjoying any status, immunity or privilege of the Crown.

General powers and duties

  2       (1)      The CSCI may do anything which appears to it to be necessary or expedient

for the purpose of, or in connection with, the exercise of its functions.

          (2)      That includes, in particular—

20

              (a)             co-operating with other public authorities in the United Kingdom,

              (b)             acquiring and disposing of land and other property,

              (c)             entering into contracts, and

              (d)             providing training.

          (3)      It is the duty of the CSCI to carry out its functions effectively, efficiently and

25

economically.

Chairman and other members

  3       (1)      The CSCI is to consist of a chairman and other members appointed by the

Secretary of State.

          (2)      The Secretary of State may in the prescribed manner remove the chairman

30

or any other member from office if (and only if) the Secretary of State is

satisfied that that person—

              (a)             is unable or unfit to carry out the duties of his office,

              (b)             is failing to carry out the duties of his office, or

              (c)             has become disqualified from holding office.

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          (3)      The Secretary of State may by regulations make provision as to—

              (a)             the appointment of the chairman and other members (including the

number, or limits on the number, of members who may be appointed

and any conditions to be fulfilled for appointment), and

 

 

Health and Social Care (Community Health and Standards) Bill
Schedule 7 — CSCI: supplementary

    136

 

              (b)             subject to this paragraph, the tenure of office of the chairman and

other members (including the circumstances in which they cease to

hold office, become disqualified from holding office or may be

suspended from office).

          (4)      Regulations under sub-paragraph (3)(b) relating to the suspension of a

5

person from office may only provide for suspension where it appears to the

Secretary of State that one of the conditions referred to in sub-paragraph (2)

is or may be satisfied in relation to that person.

Remuneration of chairman and other members

  4       (1)      The CSCI may pay to its chairman, or to any other member, such

10

remuneration and allowances as the Secretary of State may determine.

          (2)      If the Secretary of State so determines, the CSCI must pay or make provision

for the payment of such pension, allowance or gratuities as the Secretary of

State may determine to or in respect of a person who is or has been the

chairman or other member of the CSCI.

15

          (3)      If the Secretary of State determines that there are special circumstances that

make it right for a person ceasing to hold office as chairman of the CSCI to

receive compensation, the CSCI must pay to him, or make provision for the

payment to him of, such compensation as the Secretary of State may

determine.

20

Employees

  5       (1)      The CSCI must appoint a chief executive (to be known as the “Chief

Inspector of Social Care”), who is to be an employee of the CSCI.

          (2)      The CSCI must also appoint a Children’s Rights Director who is to be an

employee of the CSCI and is to have such functions as may be prescribed.

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          (3)      The CSCI may appoint such other employees as it considers appropriate.

          (4)      Employees of the CSCI are to be appointed on such terms and conditions as

it may determine.

          (5)      Without prejudice to its other powers, the CSCI may pay, or make provision

for the payment of—

30

              (a)             pensions, allowances or gratuities, or

              (b)             compensation for loss of employment or reduction of remuneration,

                   to or in respect of its employees.

Procedure

  6       (1)      The CSCI may—

35

              (a)             appoint such committees and sub-committees (which may consist of

or include persons who are not members of the CSCI) as it thinks fit;

              (b)             pay such remuneration and allowances to members of its committees

and sub-committee as it thinks fit.

          (2)      The CSCI may in all other respects regulate its own procedure.

40

          (3)      The validity of the proceedings of the CSCI is not affected by any defect in

the appointment of a member or any vacancy in membership.

 

 

 
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