United Kingdom Statutory Instruments

(a) for the purpose of deciding whether or not to exercise its powers under section 49F, 49G or 49I of the Act;

(b) in order to see whether the doctor has failed to comply with a condition imposed on his inclusion under regulation 18M so as to justify his removal from the list; or

(c) who has been suspended under section 49I(1)(a) of the Act,

the doctor may not withdraw from any list kept by any Health Authority in which he is included, except where the Secretary of State has given his consent, until the matter has been finally determined by the Health Authority.

    (7) Where a Health Authority has decided to remove a doctor from a list under section 49F or 49G of the Act, or contingently remove him under section 49G of the Act, or remove him for breach of a condition imposed on inclusion under regulation 18M, but has not yet given effect to its decision, the doctor may not withdraw from any list kept by any Health Authority in which he is included, except where the Secretary of State has given his consent.

    (8) Where a Health Authority has suspended a doctor under section 49I(1)(b) of the Act, the doctor may not withdraw from any list kept by any Health Authority in which he is included, except where the Secretary of State has given his consent, until the decision of the relevant court or body is known and the matter has been considered and finally determined by the Health Authority.".

(a) that the Health Authority having considered the declaration required by paragraph 6A of Part III of Schedule 3 and any other information in its possession in relation to the application, considers he is unsuitable to be included in the list;

(b) that having checked the information provided by the doctor in paragraphs 5 and 6 of Part III of Schedule 3, the Health Authority considers the doctor is unsuitable to be included in the list;

(c) that having contacted referees, the Health Authority is not satisfied with the references given in accordance with paragraph 18 of that Part;

(d) that having checked with the National Health Service Counter Fraud Service for any facts that it considers relevant relating to past or current investigations into a fraud case, involving the doctor, and any fraud case relating to the doctor, the Health Authority considers these justify such refusal;

(e) that there are any grounds for the Health Authority to consider that admitting the doctor to the list would be prejudicial to the efficiency of the service which he would undertake.

    (2) The grounds on which a Health Authority must refuse to approve or nominate a doctor are - 

(a) where the doctor has been convicted in the United Kingdom of murder;

(b) where, after the 13th December 2001, he has been convicted in the United Kingdom of a criminal offence and sentenced to a term of imprisonment of over six months;

(c) where he is the subject of a national disqualification;

(d) where he has not updated his application in accordance with regulation 18EF(4);

(e) where he does not notify the Health Authority under regulation 18M(11) that he wishes to be included in the list subject to the specified conditions.

    (3) Where the Health Authority is considering refusal of a doctor under paragraph (1), it shall consider all facts which appear to it to be relevant and shall in particular take into consideration in relation to paragraph (1)(a), (b) or (d) above - 

(i) at the end of sub-paragraph (a)(iv) omit "and" and add - 


" (v) where there are grounds for refusal under regulation 18EE(2), and";



(ii) at the end of sub-paragraph (b)(i) omit "or";

(iii) after sub-paragraph (b)(ii) add - 



     " , or

(iii) where there are grounds for refusal under regulation 18EE(1) having taken into consideration the matters set out in regulation 18EE(3) and (4).";

(b) in paragraph (7) omit "(and, where applicable, any other Authority referred to in regulation 18H(3))";

(c) after paragraph (7) insert - 

(a) the Health Authority shall so notify the doctor in accordance with regulation 18EE(5), and

(b) the doctor may appeal to the FHSAA in accordance with regulation 18GG.".

" (c) there being no grounds for refusal under regulation 18EE(1) and (2);

(d) the right to defer consideration of its decision in regulation 18EF(1); and

(e) the Health Authority being able to impose conditions in accordance with regulation 18M.".

(a) to impose conditions, or any particular condition on a doctor;

(b) to vary a condition;

(c) to vary his terms of service;

(d) on any review of an earlier such decision of the Health Authority;

(e) to remove him from the medical list for breach of condition,

and the appeal shall be by way of redetermination of the Health Authority decision.

    (9) On appeal the FHSAA may make any decision which the Health Authority could have made.

    (10) Where the decision of the FHSAA on appeal is that conditions be imposed on the doctor, whether or not those conditions are identical with the conditions imposed by the Health Authority, the Health Authority shall ask the doctor to notify it within 28 days of the decision (or such longer period as the Health Authority may agree), whether he wishes to be included on the medical list subject to these conditions.

    (11) If the doctor notifies the Health Authority that he does wish to be included in the medical list subject to the conditions, the Health Authority shall so include him.

    (12) Subject to regulation 18F(4), any decision of the Health Authority that may be the subject of an appeal under paragraph (8) shall not have effect until the FHSAA has determined any appeal against it or any time for appeal has expired.

    (13) A Health Authority shall disclose to the persons or bodies specified in paragraph (15) below, information of the kind mentioned in paragraph (14) about doctors whose inclusion in the list is subject to conditions imposed under this regulation and about the removal of such persons from the list for breach of such a condition.

    (14) The information referred to in paragraph (13) is - 

(a) identifying details of the doctor;

(b) professional registration number;

(c) date and copy of the decision of the Health Authority;

(d) the contact name of a person in the Health Authority for further enquiries.

    (15) Persons or bodies to whom information shall be disclosed under paragraph (13) are - 

(a) the Secretary of State;

(b) any Health Authority in England that has the doctor on any of its lists, or a body corporate of which the doctor is a director, or any Health Authority in England that is considering an application for inclusion in any of its lists from such a doctor or body corporate;

(c) the Scottish Executive;

(d) the National Assembly for Wales;

(e) the Northern Ireland Executive;

(f) the General Medical Council or any other appropriate regulatory body;

(g) the local medical committee for its area;

(h) any other organisation that, to the knowledge of the Health Authority, employs or uses the services of the doctor in a professional capacity;

(i) where it is a fraud case, the National Health Service Counter Fraud Service.

    (16) The Health Authority shall notify any persons or bodies of the information specified in paragraph (14) if it can establish that it is considering employing the doctor in a professional capacity and it receives a written request (including an electronic request) to do so.

    (17) The Health Authority shall send to the doctor concerned a copy of any information about him provided to the persons or bodies listed in paragraphs (15) and (16), and any correspondence with those persons or bodies.

    (18) Where the Health Authority has notified any of the persons or bodies mentioned in paragraph (15) or (16) of the matters set out in paragraph (14), it may in addition notify those persons or bodies of any evidence that was considered, including representations of the doctor if so requested.

    (19) Where a Health Authority is notified by the FHSAA that it has imposed a national disqualification on a doctor whom the Health Authority had removed from its medical list, it shall notify the persons or bodies listed in paragraph (15)(b), (g), (h) and (i) and paragraph (16).

    (20) Where a decision is changed on review or appeal, or a suspension lapses, the Health Authority shall notify any person or body that was notified of the original decision of the later decision.".

(i) after "suspended as mentioned in section 29(8) of the Act" insert ", or section 41A of the Medical Act 1983";

(ii) for "suspended by direction of the Tribunal" substitute "suspended";

(b) for paragraph (6A) substitute - 

(a) suitably experienced (other than by virtue of being a restricted services principal) within the meaning of section 31 of the Act; and

(b) included by a Health Authority in a medical list or a medical supplementary list prepared in accordance with section 43D of the Act, or is named as a performer of personal medical services in a pilot scheme.";

(c) in paragraph (13), after "to undertake" add ", but not by any variation imposed on that doctor by the Health Authority under sections 43ZA or 49G of the Act";

(d) in paragraph (14A), for "suspended by direction of the Tribunal" substitute "suspended";

(e) in paragraph (14B), for "suspension by direction of the Tribunal" substitute "suspension";

(f) in paragraph (15), for sub-paragraph (a)(ii) substitute - 

" (ii) consequent upon the suspension of whose registration as mentioned in section 29(8) of the Act arrangements are made under paragraph (2)(a),".

(a) for providing general medical services as an assistant or deputy;

(b) for performing personal medical services in connection with a pilot scheme;

(c) for providing services under Part I of the Act.".

(a) has any criminal convictions in the United Kingdom;

(b) has been bound over following a criminal conviction in the United Kingdom;

(c) has accepted a police caution in the United Kingdom;

(d) has been convicted elsewhere of an offence, or what would constitute a criminal offence if committed in England and Wales, or is subject to a penalty which would be the equivalent of being bound over or cautioned;

(e) is currently the subject of any proceedings which might lead to such a conviction, which have not yet been notified to the Health Authority;

(f) has been subject to any investigation into his professional conduct by any licensing, regulatory or other body anywhere in the world, where the outcome was adverse;

(g) is currently subject to any investigation into his professional conduct by any licensing, regulatory or other body anywhere in the world;

(h) is to his knowledge, or has been where the outcome was adverse, the subject of any investigation by the National Health Service Counter Fraud Service in relation to any fraud case;

(i) is the subject of any investigation by another Health Authority or equivalent body, which might lead to his removal from any of that Health Authority's lists or equivalent lists;

(j) is, or has been where the outcome was adverse, subject to an investigation into his professional conduct in respect of any current or previous employment;

(k) has been removed, contingently removed, refused admission to, or conditionally included in any list or equivalent list kept by another Health Authority or equivalent body, or is currently suspended from such a list,

and if so, give details, including approximate dates, of where any investigation or proceedings were or are to be brought, the nature of that investigation or proceedings, and any outcome.

    (2) If the doctor is, has in the preceding six months been, or was to his knowledge at the time of the originating events a director of a body corporate, he shall in addition by 31st March 2002 supply in writing information to the Health Authority as to whether the body corporate - 

(a) has any criminal convictions in the United Kingdom;

(b) has been convicted elsewhere of an offence, or what would constitute a criminal offence if commited in England and Wales, or is subject to a penalty which would be the equivalent of being bound over or cautioned;

(c) is currently the subject of any proceedings which might lead to such a conviction, which have not yet been notified to the Health Authority;

(d) has been subject to any investigation into its provision of professional services by any licensing, regulatory or other body anywhere in the world, where the outcome was adverse;

(e) is currently subject to any investigation into its provision of professional services by any licensing, regulatory or other body anywhere in the world;

(f) is to his knowledge, or has been where the outcome was adverse, the subject of any investigation by the National Health Service Counter Fraud Service in relation to any fraud case;

(g) is the subject of any investigation by another Health Authority or equivalent body, which might lead to its removal from any of that Health Authority's lists or equivalent lists;

(h) has been removed, contingently removed, refused admission to, or conditionally included in any list or equivalent list kept by another Health Authority or equivalent body, or is currently suspended from such a list,

and if so, give the name and registered office of the body corporate, and details, including approximate dates, of where any investigation or proceedings were or are to be brought, the nature of that investigation or proceedings, and any outcome.

    (3) The doctor shall consent to a request being made by the Health Authority to any employer or former employer, licensing, regulatory or other body in the United Kingdom or elsewhere, for information relating to a current investigation, or an investigation where the outcome was adverse, by them into the doctor or a body corporate referred to in sub-paragraph (1) or (2).

    (4) A doctor shall inform the Health Authority within 7 days of its occurrence if he - 

(a) is convicted of any criminal offence in the United Kingdom;

(b) is bound over following a criminal conviction in the United Kingdom;

(c) accepts a police caution in the United Kingdom;

(d) is convicted elsewhere of an offence, or what would constitute a criminal offence if committed in England and Wales, or is subject to a penalty which would be the equivalent of being bound over or cautioned;

(e) is charged in the United Kingdom with a criminal offence, or is charged elsewhere with an offence which, if committed in England and Wales, would constitute a criminal offence;

(f) is notified by any licensing, regulatory or other body anywhere in the world, of the outcome of any investigation into his professional conduct, and there is a finding against him;

(g) becomes the subject of any investigation into his professional conduct by any licensing, regulatory or other body;

(h) becomes subject to an investigation into his professional conduct in respect of any current or previous employment, or is notified of the outcome of any such investigation where it is adverse;

(i) becomes to his knowledge the subject of any investigation by the National Health Service Counter Fraud Service in relation to any fraud case;

(j) becomes the subject of any investigation by another Health Authority or equivalent body, which might lead to his removal from any of that Health Authority's lists or equivalent lists;

(k) is removed, contingently removed, suspended, refused admission to, or conditionally included in any list or equivalent list kept by another Health Authority or equivalent body,

and if so, give details, including approximate dates, of where any investigation or proceedings were or are to be brought, the nature of that investigation or proceedings, and any outcome.

    (5) A doctor who is, has in the preceding six months been, or was to his knowledge at the time of any originating events a director of a body corporate, shall in addition inform the Health Authority within 7 days if the body corporate - 

(a) is convicted of any criminal offence in the United Kingdom;

(b) is convicted elsewhere of an offence, or what would constitute a criminal offence if committed in England and Wales, or is subject to a penalty which would be the equivalent of being bound over or cautioned;

(c) is charged in the United Kingdom with a criminal offence, or is charged elsewhere with an offence which, if committed in England and Wales, would constitute a criminal offence;

(d) is notified by any licensing, regulatory or other body anywhere in the world, of the outcome of any investigation into its provision of professional services, and there is a finding against the body corporate;

(e) becomes the subject of any investigation into its provision of professional services by any licensing, regulatory or other body anywhere in the world;

(f) becomes to his knowledge the subject of any investigation by the National Health Service Counter Fraud Service in relation to any fraud case or is notified of the outcome of such an investigation where it is adverse;

(g) becomes the subject of any investigation by another Health Authority or equivalent body, which might lead to its removal from any of that Health Authority's lists or equivalent lists;

(h) is removed, contingently removed, suspended, refused admission to, or conditionally included in any list or equivalent list kept by another Health Authority or equivalent body,

(a) Information on whether he - 


(i) has any criminal convictions in the United Kingdom;

(ii) has been bound over following a criminal conviction in the United Kingdom;

(iii) has accepted a police caution in the United Kingdom;

(iv) has been convicted elsewhere of an offence, or what if committed in England and Wales, would constitute a criminal offence or is subject to a penalty which would be the equivalent of being bound over or cautioned;

(v) is currently the subject of any proceedings which might lead to such a conviction, which have not yet been notified to the Health Authority;

(vi) has been subject to any investigation into his professional conduct by any licensing, regulatory or other body anywhere in the world, where the outcome was adverse;

(vii) is currently subject to any investigation into his professional conduct by any licensing, regulatory or other body anywhere in the world;

(viii) is to his knowledge, or has been where the outcome was adverse, the subject of any investigation by the National Health Service Counter Fraud Service in relation to any fraud case;

(ix) is the subject of any investigation by another Health Authority or equivalent body, which might lead to his removal from any of that Health Authority's lists or equivalent lists;

(x) is, or has been where the outcome was adverse, the subject of any investigation into his professional conduct in respect of any current or previous employment,



and if so, give details, including approximate dates, of where any investigation or proceedings were or are to be brought, the nature of that investigation or proceedings, and any outcome.";

(b) Where the doctor is, has in the preceding six months been, or was to his knowledge at the time of the originating events a director of a body corporate, he shall in addition supply in writing information to the Health Authority as to whether the body corporate - 


(i) has any criminal convictions in the United Kingdom;

(ii) has been convicted elsewhere of an offence, or what would constitute a criminal offence if committed in England and Wales, or is subject to a penalty which would be the equivalent of being bound over or cautioned;

(iii) is currently the subject of any proceedings which might lead to such a conviction, which have not yet been notified to the Health Authority;

(iv) has been subject to any investigation into its provision of professional services by any licensing, regulatory or other body anywhere in the world, where the outcome was adverse;

(v) is currently subject to any investigation into its provision of professional services by any licensing, regulatory or other body anywhere in the world;

(vi) is to his knowledge, or has been where the outcome was adverse, the subject of any investigation by the National Health Service Counter Fraud Service in relation to any fraud case;

(vii) is the subject of any investigation by another Health Authority or equivalent body, which might lead to its removal from any of that Health Authority's lists or equivalent lists;

(viii) has been removed, contingently removed, refused admission to, or conditionally included in any list or equivalent list kept by another Health Authority or equivalent body, or is currently suspended from such a list,



and if so, give the name and registered office of the body corporate, and details, including approximate dates, of where any investigation or proceedings were or are to be brought, the nature of that investigation or proceedings, and any outcome. ";

(c) in paragraph 15 - 



(i) after "starting and finishing dates of each appointment" insert ", with an explanation of any gaps between appointments,";

(ii) after sub-paragraph (d) insert a new sub-paragraph - 


" (e) an explanation of why he was dismissed from any post.";



(d) at the end of paragraph 18, add ", who are willing to provide clinical references in respect of two recent posts, (which may include any current post) as a doctor which lasted at least three months without a significant break, and where this is not possible, a full explanation and alternative referees.";

(e) for paragraph 19 substitute - 

(a) be bound by the terms of service;

(b) notify the Health Authority within 7 days of any material changes to the information provided in the application until the application is finally determined;

(c) supply the information required by paragraph 36A of Schedule 2.";

(h) after paragraph 25 add -