The National Health Service (Performers Lists) (England) Regulations 2013

Requirements with which a Practitioner included in a performers list must comply E+W

9.—(1) Where a Practitioner is included in a performers list, the Practitioner must comply with the requirements applicable to the Practitioner under this regulation.

[F1 (1A) A Practitioner must make a declaration to [F2 NHS England] during each reporting period confirming that they continue to perform services that are regulated under regulation 24, regulation 31 or regulation 37, as the case may be.

(1B) The reporting periods in paragraph (1A) are—

(a) the period beginning with 1st January 2024 and ending with 31st December 2024, and

(b) each subsequent period of 12 months.]

(2) The Practitioner must make a declaration to [F2 NHS England] if the Practitioner—

(a) is convicted of a 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) has accepted a conditional offer under section 302 of the Criminal Procedure (Scotland) Act 1995 (fixed penalty: conditional offer by procurator fiscal) or a compensation offer under section 302A of that Act (compensation offer by procurator fiscal) or agreed to pay a penalty under section 115A of the Social Security Administration Act 1992 (penalty as alternative to prosecution);

(e) has, in proceedings in Scotland for an offence, been the subject of an order under section 246(2) or (3) of the Criminal Procedure (Scotland) Act 1995 (admonition and absolute discharge) discharging the Practitioner absolutely;

(f) is convicted elsewhere of an offence which would constitute a criminal offence if committed in England and Wales;

(g) 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;

(h) is involved in any inquest as a person who [F3 has been found by a coroner to have caused, or contributed to, the death of the deceased or otherwise had their conduct brought into question at an inquest conducted as part of an investigation under the Coroners and Justice Act 2009];

(i) is informed by any regulatory or other body of the outcome of any investigation which includes a finding adverse to the Practitioner;

(j) becomes the subject of any investigation by any regulatory or other body;

(k) becomes the subject of any investigation in respect of any current or previous employment, or is informed of the outcome of any such investigation which includes a finding adverse to the Practitioner;

(l) becomes the subject of any investigation by the [F4 NHS Counter Fraud Authority] in relation to fraud, or is informed of the outcome of such an investigation which includes a finding adverse to the Practitioner;

(m) becomes the subject of any investigation by the holder of any list which could lead to the Practitioner's removal from the list;

(n) is removed or suspended from, refused inclusion in, or included subject to conditions in, any list; or

(o) becomes subject to a national disqualification.

(3) A declaration regarding any matter under paragraph (2) is to be in writing, given within 7 days of its occurrence and is to include—

(a) an explanation of the facts giving rise to that matter, including those concerned, relevant dates and any outcome; and

(b) copies of any relevant documents.

(4) A Practitioner must make a declaration to [F2 NHS England] if the Practitioner is, has in the preceding six months been, or was at the time of the originating event, a director of a body corporate that—

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

(b) is convicted elsewhere of an offence, which would constitute a criminal offence if committed in England and Wales;

(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 informed by any regulatory or other body of the outcome of any investigation which includes a finding adverse to the body corporate;

(e) becomes the subject of any investigation by any regulatory or other body;

(f) becomes the subject of any investigation in relation to fraud, or is informed of the outcome of any such investigation, which includes a finding adverse to the body corporate;

(g) becomes the subject of any investigation by the holder of any list which might lead to its removal from that list;

(h) is removed or suspended from, refused inclusion in, or included subject to conditions in, any list;

(i) is involved in an inquest [F5 conducted as part of an investigation under the Coroners and Justice Act 2009, as a person who is found to have caused, or contributed to, the death of the deceased or otherwise had their conduct brought into question]; or

(j) becomes subject to a national disqualification.

(5) A declaration regarding any matter under paragraph (4) is to be in writing, given within 7 days of its occurrence and is to include—

(a) the name and registered address of the body corporate;

(b) an explanation of the facts giving rise to that matter, including those concerned, relevant dates and any outcome; and

(c) copies of any relevant documents.

(6) Where it appears to [F2 NHS England] that it may assist its consideration of any declaration made under paragraph (2) or (4) to do so, [F2 NHS England] may request further information from—

(a) any current or former employer of the Practitioner;

(b) any body corporate;

(c) the holder of any list;

(d) any regulatory or other body,

involved in the matter which is the subject of the declaration.

(7) Where [F2 NHS England] has made a request under paragraph (6), the Practitioner must consent to the provision of information in response to that request.

(8) Where [F2 NHS England] reasonably requests it, a Practitioner must supply [F2 NHS England] with an enhanced criminal record certificate under section 113B of the Police Act 1997 (enhanced criminal record certificates) M1 which includes suitability information relating to children and suitability information relating to vulnerable adults under sections 113BA (suitability information relating to children) and 113BB (suitability information relating to vulnerable adults) of that Act respectively M2 .

[F6 (8A) Where [F2 NHS England] reasonably requests it, if the Practitioner has resided in a country other than the United Kingdom for 12 months or more (whether in a continuous period or otherwise) during the period in which they have been included in a performers list, a Practitioner must supply—

(a) a certificate issued by an authority of that country which is equivalent to an enhanced criminal record certificate, or

(b) if the Practitioner is unable to obtain such a certificate, a statement in writing demonstrating that the Practitioner has taken all reasonable steps to obtain such a certificate.]

(9) A Practitioner must comply with any undertaking given pursuant to the Practitioner's application for inclusion in any performers list, any performers list held by a Primary Care Trust prior to the transfer date or any list from which the Practitioner has been transferred pursuant to the Schedules to the National Health Service (Performers Lists) Amendment Regulations 2005 M3 or the National Health Service (Performers Lists) Amendment and Transitional Provisions Regulations 2008 M4 .

(10) A Practitioner must —

(a) participate in any appraisal system established by [F2 NHS England]; and

(b) if any appraisal under that system is not conducted by [F2 NHS England], send [F2 NHS England] a copy of a statement summarising that appraisal.

This is subject to paragraph (11).

(11) Paragraph (10) does not apply in the case of a Type 1 armed forces GP, but a Type 1 armed forces GP is to give an undertaking to provide [F2 NHS England] with a copy of any annual appraisal of the Practitioner relating to the Practitioner's provision of medical services as a Type 1 GP.

(12) A Practitioner must comply with any conditions imposed by [F2 NHS England] or the First-tier Tribunal on the Practitioner's inclusion in the performers list under regulation 10, 11, 12, 16 or 17.

Textual Amendments

F1 Reg. 9(1A)(1B) inserted (18.9.2023) by The National Health Service (Performers Lists) (England) (Amendment) (No. 2) Regulations 2023 (S.I. 2023/828), regs. 1(1), 9(a)

F2 Words in Instrument substituted (6.11.2023) by The Health and Care Act 2022 (Further Consequential Amendments) (No. 2) Regulations 2023 (S.I. 2023/1071), reg. 1(1), Sch. para. 1

F3 Words in reg. 9(2)(h) substituted (25.7.2013) by The Coroners and Justice Act 2009 (Commencement No. 15, Consequential and Transitory Provisions) Order 2013 (S.I. 2013/1869), art. 4, Sch. para. 5(3)

F4 Words in reg. 9(2)(l) substituted (1.11.2017) by The NHS Counter Fraud Authority (Investigatory Powers and Other Miscellaneous Amendments) Order 2017 (S.I. 2017/960), arts. 1(1), 4(4)(e)

F5 Words in reg. 9(4)(i) substituted (25.7.2013) by The Coroners and Justice Act 2009 (Commencement No. 15, Consequential and Transitory Provisions) Order 2013 (S.I. 2013/1869), art. 4, Sch. para. 5(4)

F6 Reg. 9(8A) inserted (18.9.2023) by The National Health Service (Performers Lists) (England) (Amendment) (No. 2) Regulations 2023 (S.I. 2023/828), regs. 1(1), 9(b)

Marginal Citations

M1 1997 c. 50. Section 113B was inserted by the Serious Organised Crime and Police Act 2005 (c. 15), section 163. It was amended by: the Safeguarding Vulnerable Groups Act 2006 (c. 47), section 63 and Schedule 9, Part 2, paragraph 14; the Armed Forces Act 2006 (c. 52), section 378 and Schedule 16, paragraph 149; the Protection of Vulnerable Groups (Scotland) Act 2007 (2007 asp 14), sections 79 and 80; the Policing and Crime Act 2009 (c. 26), sections 97 and 112 and Schedule 8, Part 8; S.I. 2009/203; S.I. 2010/146; the Protection of Freedoms Act 2012 (c. 9), sections 79, 80, 82 and 115 and Schedule 10, Parts 5 and 6; and S.I. 2012/3006.

M2 1997 c.50. Sections 113BA and 113BB were inserted in relation to England, Wales and Northern Ireland by the Safeguarding Vulnerable Groups Act 2006 (c. 47), section 63 and Schedule 9, Part 2, paragraph 14. An alternative section 113BA was inserted in relation to Scotland by the Criminal Justice and Licensing (Scotland) Act 2010 (2010 asp 13), section 108. Section 113BA was amended in relation to England, Wales and Northern Ireland by the Education and Inspections Act 2006 (c. 40), sections 170 and 173 and by the Protection of Freedoms Act 2012 (c. 9), section 115 and Schedule 9, Part 6, paragraphs 35 and 38 and Schedule 10, Part 5. Section 113BB was amended by the Protection of Freedoms Act 2012 (c. 9), section 115 and Schedule 9, Part 6, paragraphs 35 and 39 and Schedule 10, Part 5.

M3 S.I. 2005/3491.

M4 S.I. 2008/1187.