Guy’s & St Thomas’ NHS Foundation Trust
Gassiot House
St Thomas’ Hospital
Westminster Bridge Road
London
SE1 7EH
Licence Number: 100046
Date of Issue
Version Number
01
February
20
21
3.
0
Dr David Bennett, Chief Executive
Monitor
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NHS Licence Conditions: Information Provision and Compliance, Study notes of Financial Management
The conditions of a license for providing health care services for the National Health Service (NHS) in England. The conditions cover the provision of information to Monitor, pricing rules, and restrictions on competition and inducements. The document also includes requirements for NHS Foundation Trusts to ensure efficient operations, compliance with health care standards, and effective financial decision-making.
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Guy’s & St Thomas’ NHS Foundation Trust
Gassiot House
St Thomas’ Hospital
Westminster Bridge Road
London
SE1 7EH
Licence Number: 100046
Date of Issue Version Number
01 February 2021 3. 0
Dr David Bennett, Chief Executive Monitor
Version History
Version No. Date Comments 1.0 26 March 2019 Created. 2.0 04 April 2013 Revised Formatting. 3.0 01 February 2021 Name/Address Change.
NHS Provider Licence Standard Conditions
CONTENTS
Section 1 – General Conditions G1: Provision of information G2: Publication of information G3: Payment of fees to Monitor G4: Fit and proper persons G5: Monitor guidance G6: Systems for compliance with licence conditions and related obligations G7: Registration with the Care Quality Commission G8: Patient eligibility and selection criteria G9: Application of Section 5 (Continuity of Services) Section 2 – Pricing P1: Recording of information P2: Provision of information P3: Assurance report on submissions to Monitor P4: Compliance with the National Tariff P5: Constructive engagement concerning local tariff modifications Section 3 – Choice and competition C1: The right of patients to make choices C2: Competition oversight Section 4 – Integrated care IC1: Provision of integrated care Section 5 – Continuity of Services CoS1: Continuing provision of Commissioner Requested Services CoS2: Restriction on the disposal of assets CoS3: Standards of corporate governance and financial management CoS4: Undertaking from the ultimate controller CoS5: Risk pool levy CoS6: Cooperation in the event of financial stress CoS7: Availability of resources Section 6 – NHS foundation trust conditions FT1: Information to update the register of NHS foundation trusts FT2: Payment to Monitor in respect of registration and related costs FT3: Provision of information to advisory panel FT4: NHS foundation trust governance arrangements Section 7 – Interpretation and Definitions D1: Interpretation and Definitions
Section 1 – General Conditions Section 1 – General Conditions Condition G1 – Provision of information
- Subject to paragraph 3, and in addition to obligations under other Conditions of this Licence, the Licensee shall furnish to Monitor such information and documents, and shall prepare or procure and furnish to Monitor such reports, as Monitor may require for any of the purposes set out in section 96(2) of the 2012 Act.
- Information, documents and reports required to be furnished under this Condition shall be furnished in such manner, in such form, at such place and at such times as Monitor may require.
- In furnishing information documents and reports pursuant to paragraphs 1 and 2 the Licensee shall take all reasonable steps to ensure that: (a) in the case of information or a report, it is accurate, complete and not misleading; (b) in the case of a document, it is a true copy of the document requested; and
- This Condition shall not require the Licensee to furnish any information, documents or reports which it could not be compelled to produce or give in evidence in civil proceedings before a court because of legal professional privilege.
Section 1 – General Conditions Condition G3 – Payment of fees to Monitor
- The Licensee shall pay fees to Monitor in each financial year of such amount as Monitor may determine for each such year or part thereof in respect of the exercise by Monitor of its functions for the purposes set out in section 96(2) of the 2012 Act.
- The Licensee shall pay the fees required to be paid by a determination by Monitor for the purpose of paragraph 1 no later than the 28th^ day after they become payable in accordance with that determination.
Section 1 – General Conditions Condition G4 – Fit and proper persons as Governors and Directors (also applicable to those performing equivalent or similar functions)
- The Licensee shall ensure that no person who is an unfit person may become or continue as a Governor, except with the approval in writing of Monitor.
- The Licensee shall not appoint as a Director any person who is an unfit person, except with the approval in writing of Monitor.
- The Licensee shall ensure that its contracts of service with its Directors contain a provision permitting summary termination in the event of a Director being or becoming an unfit person. The Licensee shall ensure that it enforces that provision promptly upon discovering any Director to be an unfit person, except with the approval in writing of Monitor.
- If Monitor has given approval in relation to any person in accordance with paragraph 1, 2, or 3 of this condition the Licensee shall notify Monitor promptly in writing of any material change in the role required of or performed by that person.
- In this Condition an unfit person is: (a) an individual; (i) who has been adjudged bankrupt or whose estate has been sequestrated and (in either case) has not been discharged; or (ii) who has made a composition or arrangement with, or granted a trust deed for, his creditors and has not been discharged in respect of it; or (iii) who within the preceding five years has been convicted in the British Islands of any offence and a sentence of imprisonment (whether suspended or not) for a period of not less than three months (without the option of a fine) was imposed on him; or (iv) who is subject to an unexpired disqualification order made under the Company Directors’ Disqualification Act 1986; or (b) a body corporate, or a body corporate with a parent body corporate:
Section 1 – General Conditions Condition G5 – Monitor guidance 1 Without prejudice to any obligations in other Conditions of this Licence, the Licensee shall at all times have regard to guidance issued by Monitor for any of the purposes set out in section 96(2) of the 2012 Act. 2 In any case where the Licensee decides not to follow the guidance referred to in paragraph 1 or guidance issued under any other Conditions of this licence, it shall inform Monitor of the reasons for that decision.
Section 1 – General Conditions Condition G6 – Systems for compliance with licence conditions and related obligations
- The Licensee shall take all reasonable precautions against the risk of failure to comply with: (a) the Conditions of this Licence, (b) any requirements imposed on it under the NHS Acts, and (c) the requirement to have regard to the NHS Constitution in providing health care services for the purposes of the NHS.
- Without prejudice to the generality of paragraph 1, the steps that the Licensee must take pursuant to that paragraph shall include: (a) the establishment and implementation of processes and systems to identify risks and guard against their occurrence; and (b) regular review of whether those processes and systems have been implemented and of their effectiveness.
- Not later than two months from the end of each Financial Year, the Licensee shall prepare and submit to Monitor a certificate to the effect that, following a review for the purpose of paragraph 2(b) the Directors of the Licensee are or are not satisfied, as the case may be that, in the Financial Year most recently ended, the Licensee took all such precautions as were necessary in order to comply with this Condition.
- The Licensee shall publish each certificate submitted for the purpose of this Condition within one month of its submission to Monitor in such manner as is likely to bring it to the attention of such persons who reasonably can be expected to have an interest in it.
Section 1 – General Conditions Condition G8 – Patient eligibility and selection criteria
- The Licensee shall: (a) set transparent eligibility and selection criteria, (b) apply those criteria in a transparent way to persons who, having a choice of persons from whom to receive health care services for the purposes of the NHS, choose to receive them from the Licensee, and (c) publish those criteria in such a manner as will make them readily accessible by any persons who could reasonably be regarded as likely to have an interest in them.
- “Eligibility and selection criteria” means criteria for determining: (a) whether a person is eligible, or is to be selected, to receive health care services provided by the Licensee for the purposes of the NHS, and (b) if the person is selected, the manner in which the services are provided to the person.
Section 1 – General Conditions Condition G9 – Application of Section 5 (Continuity of Services)
- The Conditions in Section 5 shall apply: (a) whenever the Licensee is subject to a contractual or other legally enforceable obligation to provide a service which is a Commissioner Requested Service, and (b) from the commencement of this Licence until the Licensee becomes subject to an obligation of the type described in sub-paragraph (a), if the Licensee is an NHS foundation trust which: (i) was not subject to such an obligation on commencement of this Licence, and (ii) was required to provide services, or was party to an NHS contract to provide services, as described in paragraph 2(a) or 2(b); for the avoidance of doubt, where Section 5 applies by virtue of this subparagraph, the words “Commissioner Requested Service” shall be read to include any service of a description falling within paragraph 2(a) or 2(b).
- A service is a Commissioner Requested Service if, and to the extent that, it is: (a) any service of a description which the Licensee, being an NHS foundation trust with an authorisation date on or before 31 March 2013, was required to provide in accordance with condition 7(1) and Schedule 2 in the terms of its authorisation by Monitor immediately prior to the commencement of this Licence, or (b) any service of a description which the Licensee, being an NHS foundation trust with an authorisation date on or after 1 April 2013, was required to provide pursuant to an NHS contract immediately before its authorisation date, or (c) any other service which the Licensee has contracted with a Commissioner to provide as a Commissioner Requested Service.
- A service is also a Commissioner Requested Service if, and to the extent that, not being a service within paragraph 2: (a) it is a service which the Licensee may be required to provide to a Commissioner under the terms of a contract which has been entered into between them, and
Section 1 – General Conditions (b) a notice in writing to the Licensee stating that it has decided not to issue such a direction.
- If, during the period of a contractual or other legally enforceable obligation to provide a Commissioner Requested Service, Monitor issues to the Licensee a direction in writing to continue providing that service for a period specified in the direction, then for that period the service shall continue to be a Commissioner Requested Service.
- No service which the Licensee is subject to a contractual or other legally enforceable obligation to provide shall be regarded as a Commissioner Requested Service and, as a consequence, no Condition in Section 5 shall be of any application, during any period for which there is in force a direction in writing by Monitor given for the purposes of this condition and of any equivalent condition in any other current licence issued under the 2012 Act stating that no health care service provided for the purposes of the NHS is to be regarded as a Commissioner Requested Service.
- A service shall cease to be a Commissioner Requested Service if: (a) all current Commissioners of that service as a Commissioner Requested Service agree in writing that there is no longer any need for the service to be a Commissioner Requested Service, and Monitor has issued a determination in writing that the service is no longer a Commissioner Requested Service, or (b) Monitor has issued a determination in writing that the service is no longer a Commissioner Requested Service; or (c) it is a Commissioner Requested Service by virtue only of paragraph 2(a) above and 3 years have elapsed since the commencement of this Licence; or (d) it is a Commissioner Requested Service by virtue only of paragraph 2(b) above and either 3 years have elapsed since 1 April 2013 or 1 year has elapsed since the commencement of this Licence, whichever is the later; or (e) the contractual obligation pursuant to which the service is provided has expired and Monitor has issued a notice pursuant to paragraph 7(b) in relation to the service; or (f) the period specified in a direction by Monitor of the sort referred to in paragraph 8 in relation to the service has expired.
Section 1 – General Conditions
- The Licensee shall make available free of charge to any person who requests it a statement in writing setting out the description and quantity of services which it is under a contractual or other legally enforceable obligation to provide as Commissioner Requested Services.
- Within [28] days of every occasion on which there is a change in the description or quantity of the services which the Licensee is under a contractual or other legally enforceable obligation to provide as Commissioner Requested Services, the Licensee shall provide to Monitor in writing a notice setting out the description and quantity of all the services it is obliged to provide as Commissioner Requested Services.
- Unless it is proposes to cease providing the service, the Licensee shall not make any application to Monitor for a determination in accordance with paragraph 10(b): (a) in the case of a service which is a Commissioner Requested Service by virtue only of paragraph 2(a) above, in the period of 3 years since the commencement of this Licence or (b) in the case of a service which is a Commissioner Requested Service by virtue only of paragraph 2(b), in the period until the later of 1 April 2016 or 1 year from the commencement of this Licence.
- In this Condition “NHS contract” has the meaning given to that term in Section 9 of the 2006 Act.
Section 2 – Pricing
- In this Condition: “the Approved Guidance” means such guidance on the obtaining, recording and maintaining of information about costs and on the breaking down and allocation of costs by reference to Approved Reporting Currencies as may be published by Monitor; “Approved Reporting Currencies” means such categories of cost and other relevant information as may be published by Monitor; “other relevant information” means such information, which may include quality and outcomes data, as may be required by Monitor for the purpose of its functions under Chapter 4 (Pricing) in Part 3 of the 2012 Act.
Section 2 – Pricing Condition P2 – Provision of information
- Subject to paragraph 3, and without prejudice to the generality of Condition G1, the Licensee shall furnish to Monitor such information and documents, and shall prepare or procure and furnish to Monitor such reports, as Monitor may require for the purpose of performing its functions under Chapter 4 in Part 3 of the 2012 Act.
- Information, documents and reports required to be furnished under this Condition shall be furnished in such manner, in such form, at such place and at such times as Monitor may require.
- In furnishing information documents and reports pursuant to paragraphs 1 and 2 the Licensee shall take all reasonable steps to ensure that: (a) in the case of information or a report, it is accurate, complete and not misleading; (b) in the case of a document, it is a true copy of the document requested; and
- This Condition shall not require the Licensee to furnish any information, documents or reports which it could not be compelled to produce or give in evidence in civil proceedings before a court because of legal professional privilege.