The National Health Service (Service Committees and Tribunal) Regulations 1992

SCHEDULE 1 E+W PROVISIONS CONFERRING POWERS EXERCISED IN MAKING THESE REGULATIONS

Commencement Information

I1 Sch. 1 in force at 1.4.1992, see reg. 1

(1)	(2)
Provision	Relevant amendments
National Health Service Act 1977(1)
section 29(2)	Health Services Act 1980(3) (“the 1980 Act”), section 7 and Schedule 1, paragraphs 42 and 93
	Health and Social Services and Social Security Adjudications Act 1983(4), section 14 and Schedule 6, paragraph 2
	Family Practitioner Committees (Consequential Modifications) Order 1985(5) (“the 1985 Order”), article 7(3)
section 36(2)	European Communities (Medical, Dental and Nursing Professions) (Linguistic Knowledge) Order 1981(6), article 3(3)
	Health and Social Security Act 1984(7) (“the 1984 Act”), Schedule 3, paragraph 5
	the 1985 Order, article 7(10)
	Health and Medicines Act 1988(8) (“the 1988 Act”), section 25(1) and Schedule 2, paragraph 4
	National Health Service and Community Care Act 1990(9) (“the 1990 Act”), section 24
section 37(1B)(10)
section 39(2)	the 1984 Act, section 1(4) and Schedule 1, paragraph 1
	the 1985 Order, article 7(12)
section 42(2)	the 1980 Act, section 21(1) and Schedule 1, paragraph 54
	the 1985 Order, article 7(14)
	National Health Service (Amendment) Act 1986(11), section 3(1)
	Pharmaceutical Qualifications (EEC Recognition) Order 1987(12), article 4
	the 1990 Act, section 12(3)
section 45(1)	the 1980 Act, Schedule 1, paragraph 57
	the 1984 Act, Schedule 3, paragraph 7
section 46(1)	the 1984 Act, Schedule 8
	the 1985 Order, article 7(16)
section 49
section 126(4)	the 1990 Act, section 65(2)
section 127(a)
Schedule 5, paragraph 12	the 1985 Order, article 7(22)(b)
	the 1990 Act, Schedule 1, paragraph 9
Schedule 5, paragraph 16

regulation 3(2)

SCHEDULE 2 E+W CONSTITUTION OF COMMITTEES TO CONDUCT INVESTIGATIONS

1.  The medical, dental and pharmaceutical service committees shall each consist of— E+W

(a) a chairman appointed in accordance with paragraph 5; and

(b) six other members, of whom—

(i) three shall be lay persons appointed by the FHSA, and

(ii) three shall be professional persons appointed by the relevant Local Representative Committee.

Commencement Information

I2 Sch. 2 para. 1 in force at 1.4.1992, see reg. 1

2.—(1) The ophthalmic service committee shall consist of— E+W

(a) a chairman appointed in accordance with paragraph 5;

(b) seven other members, of whom—

(i) three shall be lay persons appointed by the FHSA,

(ii) two shall be ophthalmic medical practitioners appointed by the Local Medical Committee, and

(iii) two shall be opticians appointed by the Local Optical Committee.

(2) Where the ophthalmic service committee investigates a matter which does not involve a question relating to an ophthalmic medical practitioner, one only of the members who are ophthalmic medical practitioners may take part in the investigation.

(3) Where the ophthalmic service committee investigates a matter which does not involve a question relating to an optician, one only of the members who are opticians may take part in the investigation.

Commencement Information

I3 Sch. 2 para. 2 in force at 1.4.1992, see reg. 1

3.—(1) The joint services committee shall consist of— E+W

(a) a chairman appointed in accordance with paragraph 5; and

(b) ten other members of whom—

(i) two shall be lay persons appointed by the FHSA,

(ii) two shall be doctors appointed in accordance with sub-paragraph (2) by the medical service committee,

(iii) two shall be dentists appointed in accordance with sub-paragraph (2) by the dental service committee,

(iv) two shall be pharmacists appointed in accordance with sub-paragraph (2) by the pharmaceutical service committee,

(v) two shall be ophthalmic medical practitioners or opticians appointed in accordance with sub-paragraph (2) by the ophthalmic service committee.

(2) A member of the joint services committee appointed by a service committee under subparagraph (1)(b)(ii) to (v) shall be a member of the service committee which appoints him or a deputy for such a member.

(3) A member of the joint services committee appointed by a service committee shall not take part in an investigation by the joint services committee unless the matter to be investigated involves a question relating to a relevant practitioner.

(4) For the purposes of sub-paragraph (3) a relevant practitioner is—

(a) in relation to a member appointed by the medical service committee, a doctor;

(b) in relation to a member appointed by the dental service committee, a dentist;

(c) in relation to a member appointed by the ophthalmic service committee, an ophthalmic medical practitioner or an optician;

(d) in relation to a member appointed by the pharmaceutical service committee, a chemist.

Commencement Information

I4 Sch. 2 para. 3 in force at 1.4.1992, see reg. 1

4.—(1) As respects each committee referred to in regulation 3(1)(a), not fewer than three lay persons and not fewer than three professional persons shall be appointed as deputies, according to the same provisions as apply to the appointment of members of that committee other than the chairman. E+W

(2) Where a member of such a committee other than the chairman is absent a deputy appointed according to the same provisions as that member may act in his place.

Commencement Information

I5 Sch. 2 para. 4 in force at 1.4.1992, see reg. 1

5.—(1) The chairman of a committee referred to in regulation 3(1)(a) shall be a lay person appointed by the FHSA. E+W

(2) The FHSA shall, within 14 days of making an appointment under sub-paragraph (1), give notice in writing of the appointment to the other members of the committee.

(3) Where, within 14 days of notice being sent under sub-paragraph (1), a statement duly signed in accordance with sub-paragraph (4) is sent to the FHSA asserting that the chairman appointed by the FHSA is not acceptable to the signatories of the statement, the FHSA shall within 30 days of receipt of that statement refer the matter of the appointment to the Secretary of State.

(4) For the purposes of sub-paragraph (3) a statement must be signed—

(a) in the case of a service committee, by a majority of its lay members, or by a majority of its other members;

(b) in the case of a joint services committee, by both of its lay members or by both of the members appointed by any one of the service committees.

(5) Where the matter of the appointment is referred to the Secretary of State under subparagraph (3), he may, after consultation with the FHSA and the relevant Local Representative Committee, appoint another person to be chairman of the committee; and the chairman appointed by the FHSA shall cease immediately to hold office as chairman and member of the committee.

(6) A person appointed as chairman of such a committee who is already a member of that committee shall, on his appointment as chairman, cease to be a member otherwise than as chairman and a new member shall be appointed to take his place.

Commencement Information

I6 Sch. 2 para. 5 in force at 1.4.1992, see reg. 1

6.—(1) A person shall be appointed to act as deputy for the chairman of any committee referred to in regulation 3(1)(a), and the provisions of paragraph 5 shall apply to that appointment as they apply to the appointment of the chairman. E+W

(2) The deputy chairman may, in the absence of the chairman, act in his place and may, if when appointed already a member of the committee, continue as a member but when acting as chairman shall act only in that capacity.

Commencement Information

I7 Sch. 2 para. 6 in force at 1.4.1992, see reg. 1

7.—(1) Where an FHSA elects to have a denture conciliation committee, that committee shall be appointed by the FHSA and shall consist of— E+W

(a) a chairman who shall be a lay person; and

(b) two other members both of whom shall be dentists, and of whom

(i) one shall be selected from a panel of dentists nominated for the purpose by the Local Dental Committee, and

(ii) the other shall be selected from a panel of dentists nominated for the purpose by the FHSA.

(2) the FHSA shall also appoint—

(a) a lay person who shall be the deputy of the chairman and shall act in the place of the chairman in his absence; and

(b) two dentists, one of whom shall be selected from the panel referred to in sub-paragraph (1)(b)(i) and the other of whom shall be selected from the panel referred to in subparagraph (1)(b)(ii), who shall be the deputies of the members appointed under subparagraph (1)(b) and shall act in their place in their absence.

Commencement Information

I8 Sch. 2 para. 7 in force at 1.4.1992, see reg. 1

8.  Where a member or deputy member of a dental service committee has been a member of a denture conciliation committee who have, in accordance with regulation 4(4), referred a complaint or matter for investigation by the dental service committee, the member or deputy member shall take no part in the hearing thereof but a deputy appointed in the like manner may act in his place. E+W

Commencement Information

I9 Sch. 2 para. 8 in force at 1.4.1992, see reg. 1

9.—(1) Subject to the other provisions of this Schedule, the FHSA may make standing orders with respect to the term of office of any members and deputy members of any committee constituted in accordance with this Schedule. E+W

(2) Subject to any re-appointment, the term of office of any member or deputy member of such a committee shall not exceed one year.

(3) A chairman of a committee referred to in regulation 3(1)(a) who is not a member of the FHSA may attend and take part in any proceedings of the FHSA at which a report of that committee is being considered, but may not vote.

Commencement Information

I10 Sch. 2 para. 9 in force at 1.4.1992, see reg. 1

10.  A person who is a member of a committee constituted under this Schedule shall cease to hold office— E+W

(a) where he is the chairman or a lay member, on his ceasing to be a lay person;

(b) where he is a member not mentioned in sub-paragraph (a), on his ceasing to be a professional person.

Commencement Information

I11 Sch. 2 para. 10 in force at 1.4.1992, see reg. 1

11.  In this Schedule— E+W

(a) “lay member” means, in relation to a service committee or joint services committee, any member (other than the chairman) who is a lay person;

(b) “lay person” means a person who is not and never has been—

(i) a doctor, a dentist, an ophthalmic medical practitioner, an optician or a chemist, nor

(ii) a registered dispensing optician within the meaning of the Opticians Act 1989(13), nor

(iii) a registered nurse, a registered midwife or a registered health visitor(14), nor

(iv) an officer of, or otherwise employed by, any Family Health Services Authority, Regional Health Authority or District Health Authority, or a Community Health Council established under section 20 of the Act(15);

(c) “professional person” means—

(i) in the case of the medical service committee, a doctor,

(ii) in the case of the dental service committee or the denture conciliation committee, a dentist,

(iii) in the case of the pharmaceutical service committee, a pharmacist,

(iv) in the case of the ophthalmic service committee, an ophthalmic medical practitioner or an optician,

(v) in the case of the joint services committee, a member appointed by a service committee.

Commencement Information

I12 Sch. 2 para. 11 in force at 1.4.1992, see reg. 1

regulation 5(4)

SCHEDULE 3 E+W LATE COMPLAINTS

1.—(1) In so far as notice of a complaint is not given within the relevant period specified in regulation 5(2) or (3), the complaint may nevertheless be investigated if— E+W

(a) having considered any reasons given pursuant to paragraph 1(2) of Schedule 4, the appropriate committee is satisfied that the failure to give notice of the complaint immediately before the expiry of that period and on any subsequent day falling before the date on which such notice was in fact given was occasioned by illness or other reasonable cause; and

(b) the practitioner or the Secretary of State consents to the investigation of the complaint.

(2) Where the appropriate committee is satisfied as mentioned in sub-paragraph (1), the FHSA shall—

(a) seek, in writing, the consent of the practitioner, or

(b) where such consent is not given, seek, in accordance with paragraph 2, the consent of the Secretary of State,

to the investigation of the complaint.

Commencement Information

I13 Sch. 3 para. 1 in force at 1.4.1992, see reg. 1

2.—(1) Where an application is made for the consent of the Secretary of State under paragraph 1(2)(b), the FHSA shall— E+W

(a) send to the practitioner—

(i) a copy of the notice of the complaint; and

(ii) a copy of any statement by the complainant giving reasons for the failure to give notice in time;

and shall notify the practitioner in writing that he may, within 14 days of receiving the notification, send to the Secretary of State a statement in writing of the grounds on which he contends that an investigation should not take place; and

(b) send to the Secretary of State a copy of the notification, and of the notice and any statement, sent to the practitioner under head (a) of this sub-paragraph.

(2) Where the Secretary of State requests the FHSA to provide further information regarding the complaint or the reasons for the delay in making the complaint, the FHSA shall send that information to the Secretary of State and to the practitioner and shall also notify the practitioner that he may, within 14 days of receiving the notification, make further representations in writing to the Secretary of State.

(3) The Secretary of State shall not determine an application under paragraph 1(2)(b)—

(a) unless the time allowed under sub-paragraph (1)(a) (for the submission of a statement by the practitioner) has expired; or

(b) where further information is provided under sub-paragraph (2), until the time allowed under that sub-paragraph (for the submission of representations) has expired.

(4) The Secretary of State shall give notice in writing to the complainant, the practitioner and the FHSA of his decision on the application for his consent, giving his reasons for the decision.

Commencement Information

I14 Sch. 3 para. 2 in force at 1.4.1992, see reg. 1

3.  Where the appropriate committee is not satisfied as mentioned in paragraph 1(1)(a), it shall give reasons for the decision, and the FHSA shall give notice in writing to the complainant of the decision, of the reasons for it and of the complainant’s right of appeal under paragraph 4. E+W

Commencement Information

I15 Sch. 3 para. 3 in force at 1.4.1992, see reg. 1

4.—(1) A complainant may, within 14 days after the notice mentioned in paragraph 3 is sent to him, appeal to the Secretary of State against a decision of an appropriate committee under that paragraph by giving notice of appeal in writing to the Secretary of State, setting out the grounds for the appeal. E+W

(2) On receiving the notice of appeal the Secretary of State shall send a copy of it to the practitioner, and the practitioner may, within 14 days of the copy being sent to him, send to the Secretary of State a statement of the grounds on which he contends that an investigation should not take place.

(3) Where, on consideration of the appeal, the Secretary of State is satisfied that the failure (to give notice of the complaint immediately before the expiry of the relevant period specified in regulation 5(2) or (3) or on any subsequent day falling before the date on which such notice was in fact given) was occasioned by illness or other reasonable cause, he may also decide to give his consent to the investigation of the complaint.

(4) The Secretary of State shall give notice in writing to the complainant, the practitioner and the FHSA of his decision on the appeal, giving his reasons for the decision.

Commencement Information

I16 Sch. 3 para. 4 in force at 1.4.1992, see reg. 1

5.  Where the Secretary of State gives his consent under paragraph 2(4) or 4(3), the appropriate committee shall investigate the complaint. E+W

Commencement Information

I17 Sch. 3 para. 5 in force at 1.4.1992, see reg. 1

regulations 6(7), 7(5) and 8(3)

SCHEDULE 4 E+W PROCEDURE FOR INVESTIGATIONS BY APPROPRIATE COMMITTEES

Preliminary consideration of complaint E+W

1.—(1) Where, on consideration of a complaint, it appears to the FHSA that—

(a) as respects any event or other matter which is the subject of the complaint, the notice of the complaint—

(i) was not given within the relevant period specified in regulation 5(2) or (3) in relation to that notice, and

(ii) does not include a statement of the complainant’s reasons for the delay,

it shall as soon as practicable in writing request the complainant to provide his reasons in writing for the delay.

(b) where notice of the complaint was given in writing, the substance of the matter which the complainant wishes to have investigated is not sufficiently particularised in the statement, it shall as soon as practicable in writing request the complainant to provide such further particulars of the complaint as it may reasonably require.

(2) Where a complainant receives a request under sub-paragraph (1) he shall within 21 days of the date on which the request was sent to him, furnish the FHSA in writing with his reasons for the delay or with such further particulars as may be requested of him.

(3) Subject to sub-paragraph (4), the FHSA shall, as soon as practicable—

(a) where sub-paragraph (1) does not apply; or

(b) where that sub-paragraph applies, after the period allowed by sub-paragraph (2) has expired,

send to the chairman of the appropriate committee a copy of the statement and of any reasons or particulars furnished under sub-paragraph (2).

(4) Sub-paragraph (3) of this paragraph shall not apply where, and for so long as, the FHSA and the complainant agree that, pending conciliation of the matter giving rise to it, the complaint should not be investigated under these Regulations.

(5) If, in the opinion of the chairman, the statement does not disclose reasonable grounds for believing that the practitioner has failed to comply with his terms of service, he shall so inform the FHSA who shall notify the complainant of the chairman’s opinion and invite him to submit a further statement in amplification of his complaint within 14 days of the date on which that notification was sent to him.

(6) Where—

(a) after consideration of any further statement which has been submitted pursuant to subparagraph (5), the chairman remains of the view that the complaint does not disclose reasonable grounds for believing that the practitioner has failed to comply with his terms of service; or

(b) such further statement has been invited but has not been submitted within the period specified in that sub-paragraph,

the chairman shall, as soon as practicable, bring the case before the appropriate committee who may report on the matter in accordance with paragraph 7 without holding a hearing.

(7) Where the chairman considers that the complaint discloses reasonable grounds for believing that the practitioner may have failed to comply with any provision of his terms of service, he shall identify each provision in question and notify the FHSA accordingly.

Commencement Information

I18 Sch. 4 para. 1 in force at 1.4.1992, see reg. 1

Complaints in relation to deputies E+W

2.—(1) Where a complaint—

(a) against a doctor concerns the conduct of a deputy whose name is not included in the medical list;

(b) against a dentist concerns the conduct of a deputy whose name is not included in the dental list, or an assistant;

(c) against a chemist concerns the conduct of a pharmacist employed by him,

the FHSA shall give notice in writing in accordance with sub-paragraph (2) to the deputy, assistant or employed pharmacist.

(2) A notice given under sub-paragraph (1) shall—

(a) invite the recipient of the notice—

(i) to so inform the FHSA in writing, within 30 days of the notice being sent to him, if he wishes to be treated as a party to the investigation notwithstanding that no action may be taken in relation to him under regulation 9, and

(ii) where he so informs the FHSA, to submit at the same time his comments in writing on the complaint;

(b) include—

(i) a copy of the complainant’s statement and any further statement; and

(ii) details of each provision of the terms of service identified by the chairman pursuant to paragraph 1(7); and

(c) inform the recipient of the notice that copies of any comments or other documents he may submit in connection with the investigation will be sent to the complainant and produced at any hearing.

(3) Where the recipient of a notice given under sub-paragraph (1) informs the FHSA, and submits comments as mentioned in sub-paragraph (2)(a), he shall be treated for the purposes of this Schedule as if he were a practitioner in relation to whom the complaint is made, though no action may be taken in relation to him under regulation 9, and the following paragraphs of this Schedule (except paragraph 3(1)) shall apply to him accordingly.

(4) Where a complaint against a doctor concerns the conduct of a deputy whose name is also included in the medical list, the deputy shall be a party to the investigation and the provisions of these Regulations shall apply to him accordingly.

(5) Where, in a case to which sub-paragraph (4) applies, the chairman of the medical service committee considers that—

(a) the notice of complaint and other documents disclose no reasonable grounds for believing that the doctor personally has failed to comply with his terms of service; and

(b) the doctor has complied with his obligations under the terms of service in relation to ensuring the provision of services for his patients,

the matter shall be brought as soon as practicable before the service committee who may, in accordance with paragraph 7, report on the matter as respects that doctor without holding a hearing, though the investigation may continue as respects the deputy.

Commencement Information

I19 Sch. 4 para. 2 in force at 1.4.1992, see reg. 1

Exchange of parties' statements etc. E+W

3.—(1) On being notified as mentioned in paragraph 1(7) the FHSA shall—

(a) send to the practitioner—

(i) a copy of the complainant’s statement, and of any further statement, and

(ii) details of each provision of the terms of service identified by the chairman pursuant to paragraph 1(7); and

(b) in writing—

(i) invite the practitioner to submit his comments on the complaint in writing to the FHSA within 30 days from the date of the invitation, and

(ii) inform him that copies of any comments or other documents he may submit in connection with the investigation will be sent to the complainant and produced at any hearing.

(2) Where, in response to the invitation made under sub-paragraph (1)(b), the FHSA receives from the practitioner comments with regard to the complaint, it shall—

(a) send to the complainant—

(i) a copy of those comments, and

(ii) details of each provision of the terms of service identified by the chairman pursuant to paragraph 1(7); and

(b) in writing—

(i) invite the complainant to submit his observations on those comments in writing to the FHSA within 14 days of the date of the invitation, and

(ii) inform him that copies of any observations or other documents he may submit in connection with the investigation will be sent to the practitioner and produced at any hearing.

(3) Where—

(a) the practitioner has not made comments within the period allowed under sub-paragraph (1)(b); or

(b) after consideration of any such comments, and of any observations, made pursuant to sub-paragraph (2)(b), the chairman is of the opinion that—

(i) there is a material difference between the parties with regard to the facts of the complaint, or

(ii) for some other reason a hearing of the complaint is necessary,

the chairman shall specify every provision of the terms of service with which, in his opinion, the complaint discloses reasonable grounds for believing that there may have been a failure to comply, and shall inform the FHSA accordingly, and paragraph 4(1) shall apply.

(4) Where sub-paragraph (3) does not apply, the complaint shall be brought before the appropriate committee who may then report on the matter in accordance with paragraph 7 without holding a hearing.

Commencement Information

I20 Sch. 4 para. 3 in force at 1.4.1992, see reg. 1

Preparation for the hearing E+W

4.—(1) The FHSA shall in writing—

(a) inform the parties—

(i) that there will be a hearing,

(ii) of the names of the members and deputy members of the appropriate committee;

(b) send to the parties—

(i) details of all provisions of the terms of service specified by the chairman pursuant to paragraph 3(3), and

(ii) copies of all correspondence relevant to the complaint; and

(c) require each party to forward to the FHSA within 14 days from the date of the request, copies of any documentary evidence, and of the names of any witnesses, which the party proposes to produce or call at the hearing.

(2) Except where, pursuant to paragraph 1(6), 2(5) or 3(4), a report is made without holding a hearing, the FHSA shall give to the parties and the Secretary of the relevant Local Representative Committee, not less than 21 days' notice in writing of the date, time and place of the meeting of the appropriate committee at which the matter will be heard, and shall include with the notice to each party—

(a) a copy of any documents supplied by the other party under sub-paragraph (1)(c);

(b) a request to that party to signify in writing to the FHSA whether or not he intends to attend the hearing; and

(c) a statement of the effect of sub-paragraph (3).

(3) Where the appropriate committee is satisfied that a complainant to whom notice has been sent pursuant to sub-paragraph (2)—

(a) has failed, within 14 days of the date on which such notice was sent to him, to signify his intention to attend the hearing; or

(b) has, without reasonable cause, refused to attend the hearing,

it may, subject to sub-paragraph (4), proceed to consider the complaint at its meeting and to report on the matter in accordance with paragraph 7 without holding a hearing.

(4) A report made pursuant to sub-paragraph (3) shall not contain any recommendation which is adverse to the practitioner unless he shall have previously consented in writing to the matter being disposed of by the appropriate committee without a hearing.

(5) The chairman of the appropriate committee may, upon the application of either party, postpone the hearing if he is satisfied that the attendance of the party or any witness on the date fixed for the hearing is not reasonably practicable or, for any other reason he thinks fit, in which case the provisions of sub-paragraph (2) shall apply as respects the postponed hearing.

(6) The FHSA shall, not less than 7 days before the date fixed for the hearing, supply—

(a) to each member of the appropriate committee; and

(b) to the relevant Local Representative Committee,

copies of the statement and any further statement, of any comments or observations, and of any further correspondence between the FHSA and either party relating to the complaint.

Commencement Information

I21 Sch. 4 para. 4 in force at 1.4.1992, see reg. 1

Attendance at hearing E+W

5.—(1) Subject to the provisions of regulation 33 (attendance by representative of Council on Tribunals), the hearing before the appropriate committee shall be in private, and no person shall be admitted to it unless he is a person specified in sub-paragraph (2).

(2) The persons specified for the purposes of sub-paragraph (1) are—

(a) subject to sub-paragraph (3), any party;

(b) any person permitted under sub-paragraph (4) to accompany a party;

(c) not more than one person who is a member or officer of the relevant Local Representative Committee and who is authorised by that committee to attend the hearing on its behalf as an observer only;

(d) subject to sub-paragraph (6), any person whose attendance is required for the purpose of giving evidence to the appropriate committee;

(e) not more than two officers of the FHSA who have been authorised by the FHSA to attend for the purpose of assisting the appropriate committee in the discharge of its functions.

(3) Where an FHSA is a party, one member or officer of that FHSA may attend on its behalf.

(4) Subject to sub-paragraph (5), a party may be accompanied at the hearing by one other person who may assist him in the presentation of his case, but, if that other person is a barrister or solicitor, he shall not address the committee or put questions to witnesses.

(5) Except where the party in question is an FHSA, no officer or member of any FHSA or of any of its committees referred to in regulation 3(1) shall be permitted under sub-paragraph (4) to accompany a party at a hearing.

(6) Any person permitted to attend the hearing under sub-paragraph (1)(d) for the purpose of giving evidence shall, unless the appropriate committee otherwise directs, be excluded from the hearing except while he is actually giving evidence.

Commencement Information

I22 Sch. 4 para. 5 in force at 1.4.1992, see reg. 1

Procedure at the hearing E+W

6.—(1) At any hearing before the appropriate committee, any person mentioned in subparagraph (2)(a) or (b) of paragraph 5 may, subject to sub-paragraph (4) of that paragraph—

(a) address the committee; and

(b) put questions to witnesses, either directly or, where the chairman of the committee so directs, through him.

(2) If either party fails to appear at the hearing, and the appropriate committee is satisfied that his absence is due to illness or other reasonable cause, or if for any other reason the committee thinks fit, it may, after considering the observations of any party who is present, adjourn the hearing, in which case the provisions of paragraph 4(2) shall apply as respects the resumed hearing.

(3) Prior to the commencement of a hearing, the chairman shall ask the other members of the appropriate committee whether any of them is interested in a question referred to them, either directly or through association with a party, and if, in the opinion of the chairman, any member is so interested, that member shall take no part in the hearing, but a deputy appointed in the like manner may act in his place.

(4) Where, in the course of a hearing, any issue arises in relation to an event or matter which, in the opinion of the chairman—

(a) is the subject of the complaint but was not sufficiently disclosed to the practitioner prior to the hearing, the chairman may direct that the issue is to be excluded from the investigation of the complaint;

(b) is not the subject of the complaint, the issue shall be excluded from the investigation of the complaint.

(5) Where no direction is made under sub-paragraph (4)(a) in relation to an issue to which that provision applies, the hearing shall be adjourned unless the practitioner and the chairman agree that the hearing may proceed.

(6) Before being invited to give his agreement for the purposes of sub-paragraph (5), a practitioner who is not accompanied by a person mentioned in sub-paragraph (2)(b) of paragraph 5 shall be afforded an opportunity to consult any person who may be present at the hearing pursuant to sub-paragraph (2)(c) of that paragraph.

(7) Subject to the provisions of this Schedule, the procedure at a hearing of an appropriate committee shall be such as the committee may determine.

Commencement Information

I23 Sch. 4 para. 6 in force at 1.4.1992, see reg. 1

The committee’s report E+W

7.—(1) The appropriate committee shall present to the FHSA a report in writing which shall contain—

(a) details of the material evidence given to it;

(b) its findings on all relevant questions of fact;

(c) the inferences which, in the view of the committee, may properly be drawn from such findings of fact as to—

(i) in the case of a denture conciliation committee, whether or not the respondent has failed to secure and maintain the oral health of any person, or

(ii) in any other case, whether or not the respondent has failed to comply with his terms of service;

(d) its reasons for drawing such inferences; and

(e) its recommendations as to the action which should be taken by the FHSA under regulation 9.

(2) Where a committee is aware of any earlier determination of the FHSA that the respondent has on some other occasion failed to comply with his terms of service, it may—

(a) draw the attention of the FHSA to—

(i) any previous report of a service committee on which such determination was based, and

(ii) any action taken by an FHSA or the Secretary of State in connection with that determination; and

(b) recommend that account should be taken by the FHSA of such previous report when determining what, if any, action should be taken under regulation 9(5).

(3) In this paragraph, the expression “previous report” shall not include—

(a) any report made more than six years prior to the date of the complaint; or

(b) any report in connection with which an appeal is pending under regulation 10(1).

Commencement Information

I24 Sch. 4 para. 7 in force at 1.4.1992, see reg. 1

Provisions as to, quorum, composition and voting E+W

8.—(1) At any meeting of a service committee, the quorum shall consist of a chairman, two lay members and two members who are professional persons.

(2) At any meeting of a joint services committee, the quorum shall consist of the chairman, two lay members and two other members—

(a) who are professional persons; and

(b) in relation to—

(i) one of whom one of the practitioners is a relevant practitioner, and

(ii) the other of whom the other of the practitioners is a relevant practitioner.

(3) The proceedings at any meeting of a service committee or joint services committee shall be suspended if, and for so long as—

(a) the number of members present falls below the quorum specified in sub-paragraph (1) or (2); or

(b) the number of lay members who are present exceeds, or is exceeded by, the number of other members (apart from the chairman) who are present.

(4) Where, after the commencement of a hearing before a service committee or joint services committee, the meeting is adjourned for the purposes of hearing further evidence or for preparing or considering the report, no member of the committee who was not present at the earlier meeting shall be present at the proceedings at the resumed meeting.

(5) Where there is an equality of votes among members of an appropriate committee, the chairman shall have a casting vote, but shall not otherwise be entitled to vote.

Commencement Information

I25 Sch. 4 para. 8 in force at 1.4.1992, see reg. 1

Modification in respect of matters referred under regulation 7 or 8 E+W

9.—(1) The provisions of this Schedule shall, subject to any necessary modifications, apply to the investigation of any matter which is referred to an appropriate committee under regulation 7 or 8 as they apply to the investigation of a complaint.

(2) Where the FHSA, in connection with a reference, or a possible reference, of a matter under regulation 7 or 8, seeks the comments of the practitioner concerned, it shall inform him of—

(a) its reason for requesting the comments;

(b) the nature of any alleged breach of the terms of service; and

(c) unless it decides otherwise, the source of the information before it as to the matter in question.

Commencement Information

I26 Sch. 4 para. 9 in force at 1.4.1992, see reg. 1

Interpretation E+W

10.  In this Schedule, unless the context otherwise requires—

(a) “lay member” and “professional person” have the meanings given to them in paragraph 11 of Schedule 2;

(b) “relevant practitioner” has the meaning given to it in paragraph 3(4) of that Schedule;

(c) “statement” means the statement, included in the notice given pursuant to regulation 5(1), of the substance of the matter which a complainant wishes to have investigated, and includes—

(i) where the notice was given orally, both the tape on which it was recorded and the transcript of it, and

(ii) where the notice was given in writing, any further particulars of it submitted under paragraph 1(2).

Commencement Information

I27 Sch. 4 para. 10 in force at 1.4.1992, see reg. 1

regulation 13(2) and (3)

SCHEDULE 5 E+W ADVISORY COMMITTEES

PART I E+W SPECIFIED FAILURES TO COMPLY WITH TERMS OF SERVICE

1.  Any of the following failures to comply with terms of service is specified for the purposes of regulation 13(2) in relation to a doctor— E+W

(a) a failure to exercise reasonable care and skill in the treatment of a patient;

(b) a failure to visit, or to treat, a patient whose condition so requires;

(c) a failure to order, or to provide, any necessary drug or appliance for the use of a patient;

(d) a failure to discharge any obligation on a doctor to give a patient the requisite assistance to enable him to obtain any treatment which is not within the scope of the doctor’s obligations under his terms of service.

Commencement Information

I28 Sch. 5 para. 1 in force at 1.4.1992, see reg. 1

2.  A failure to exercise a proper degree of skill and attention in the treatment of a patient is specified for the purposes of regulation 13(2) in relation to a dentist. E+W

Commencement Information

I29 Sch. 5 para. 2 in force at 1.4.1992, see reg. 1

PART II E+W THE MEDICAL ADVISORY COMMITTEE

3.  The committee (in these Regulations referred to as the Medical Advisory Committee) which is to advise the Secretary of State on questions referred to it under regulation 13(2) or (4) in relation to doctors shall be constituted in accordance with the following provisions of this Part. E+W

Commencement Information

I30 Sch. 5 para. 3 in force at 1.4.1992, see reg. 1

4.  The Medical Advisory Committee shall have six members who shall be appointed by the Secretary of State in accordance with paragraphs 5 and 6. E+W

Commencement Information

I31 Sch. 5 para. 4 in force at 1.4.1992, see reg. 1

5.  The chairman shall be a doctor who— E+W

(a) has been engaged in the provision of medical services under the Act for not less than 10 years; and

(b) has been selected after consultation with a body which is, in the Secretary of State’s opinion, representative of doctors engaged in the provision of general medical services.

Commencement Information

I32 Sch. 5 para. 5 in force at 1.4.1992, see reg. 1

6.  Of the remaining five members— E+W

(a) three shall be doctors selected from the doctors' panel; and

(b) two shall be doctors who are not on the doctors' panel but who have been engaged in the provision of general medical services for not less than 10 years.

Commencement Information

I33 Sch. 5 para. 6 in force at 1.4.1992, see reg. 1

7.  The Secretary of State shall also appoint a doctor who satisfies the requirements of subparagraphs (a) and (b) of paragraph 5 to act as deputy to the chairman. E+W

Commencement Information

I34 Sch. 5 para. 7 in force at 1.4.1992, see reg. 1

8.  The quorum for the Medical Advisory Committee shall comprise the chairman or, in his absence, the deputy chairman and— E+W

(a) two of the members appointed in accordance with paragraph 6(a); and

(b) one of the members appointed in accordance with paragraph 6(b).

Commencement Information

I35 Sch. 5 para. 8 in force at 1.4.1992, see reg. 1

9.  In the event of an equality of voting among members of the Medical Advisory Committee, the chairman or, as the case may be, the deputy chairman shall have a second or casting vote. E+W

Commencement Information

I36 Sch. 5 para. 9 in force at 1.4.1992, see reg. 1

PART III E+W THE DENTAL ADVISORY COMMITTEE

10.  The committee (in these Regulations referred to as the Dental Advisory Committee) which is to advise the Secretary of State on questions referred to it under regulations 13(2) or (4) or 14(3) in relation to dentists shall be constituted in accordance with the following provisions of this Part. E+W

Commencement Information

I37 Sch. 5 para. 10 in force at 1.4.1992, see reg. 1

11.  The Dental Advisory Committee shall have six members who shall be appointed by the Secretary of State in accordance with paragraphs 12 and 13. E+W

Commencement Information

I38 Sch. 5 para. 11 in force at 1.4.1992, see reg. 1

12.  The chairman shall be a dentist selected after consultation with a body which is, in the opinion of the Secretary of State, representative of dentists. E+W

Commencement Information

I39 Sch. 5 para. 12 in force at 1.4.1992, see reg. 1

13.  The remaining five members shall be dentists, three of whom shall be selected from the dentists' panel. E+W

Commencement Information

I40 Sch. 5 para. 13 in force at 1.4.1992, see reg. 1

14.  The Secretary of State shall also appoint a dental officer to act as deputy to the chairman. E+W

Commencement Information

I41 Sch. 5 para. 14 in force at 1.4.1992, see reg. 1

15.  The quorum for the Dental Advisory Committee shall comprise the chairman or, in his absence, the deputy chairman and— E+W

(a) two of the members selected from the dentists' panel; and

(b) one of the members who is not on that panel.

Commencement Information

I42 Sch. 5 para. 15 in force at 1.4.1992, see reg. 1

16.  In the event of an equality of voting among members of the Dental Advisory Committee, the chairman or, as the case may be, the deputy chairman shall have a second or casting vote. E+W

Commencement Information

I43 Sch. 5 para. 16 in force at 1.4.1992, see reg. 1

regulations 13(9) and 14(9)

SCHEDULE 6 E+W ORAL REPRESENTATIONS

1.—(1) Of the three persons to be appointed under regulation 13(8) or 14(8) for the purpose of hearing oral representations— E+W

(a) one shall be a barrister or a solicitor, who shall act as chairman; and

(b) subject to sub-paragraphs (2) and (3), the remaining two shall be—

(i) where the practitioner is a doctor, doctors,

(ii) where the practitioner is a dentist, dentists,

(iii) where the practitioner is an ophthalmic medical practitioner, ophthalmic medical practitioners,

(iv) where the practitioner is an optician, opticians,

(v) where the practitioner is a chemist, registered pharmacists.

(2) In any case to which sub-paragraph (1)(b)(i) applies, one of the doctors shall be selected from the doctors' panel.

(3) In any case to which sub-paragraph (1)(b)(ii) applies, one of the dentists shall be selected from the dentists' panel.

Commencement Information

I44 Sch. 6 para. 1 in force at 1.4.1992, see reg. 1

2.  The Secretary of State shall, not later than 21 days before the date on which the oral representations are to be heard, give notice in writing to the practitioner and the FHSA of the date, time and place fixed for the hearing. E+W

Commencement Information

I45 Sch. 6 para. 2 in force at 1.4.1992, see reg. 1

3.  At any hearing— E+W

(a) the practitioner may attend in person and may be represented by counsel, solicitor or any other person, and

(b) the FHSA may—

(i) be represented by one of its members or officers, and

(ii) take such part in the hearing as the persons appointed to hold the hearing may think proper.

Commencement Information

I46 Sch. 6 para. 3 in force at 1.4.1992, see reg. 1

4.  The procedure at any hearing shall be such as the persons appointed to hold the hearing may determine. E+W

Commencement Information

I47 Sch. 6 para. 4 in force at 1.4.1992, see reg. 1

5.  Following the hearing the persons appointed shall report to the Secretary of State with their recommendations on the questions referred to them under regulation 13(8) or, as the case may be, regulation 14(8). E+W

Commencement Information

I48 Sch. 6 para. 5 in force at 1.4.1992, see reg. 1

regulation 18(6)

SCHEDULE 7 E+W RULES OF PROCEDURE UNDER REGULATION 18

1.—(1) The FHSA shall prepare and submit to the Local Medical Committee a written statement of the facts in connection with which the question has arisen and of the decision given by the FHSA and the grounds on which it is based. E+W

(2) The Local Medical Committee shall, as soon as may be after receipt of the statement mentioned in sub-paragraph (1)—

(b) furnish the FHSA with a written statement of the decision given by the Local Medical Committee and of the grounds on which the decision is based, and

(b) inform the FHSA whether it concurs in the statement of facts prepared by the FHSA and, if not, in what respect it does not concur in that statement.

(3) The FHSA shall send the statements prepared by itself and by the Local Medical Committee to the Secretary of State and he may, if he thinks fit, require both or either of those bodies to furnish him with further particulars regarding the facts of the case, or the decision, or the grounds for the decision.

Commencement Information

I49 Sch. 7 para. 1 in force at 1.4.1992, see reg. 1

2.—(1) Where the Secretary of State thinks fit to refer a matter under regulation 18(7), he may require either the FHSA or the Local Medical Committee to furnish written statements of the facts in connection with which the question has arisen and of its decision and the grounds on which the decision is based. E+W

(2) The Secretary of State shall inform any body which has furnished a statement under subparagraph (1)—

(a) whether he concurs in the statement of facts; and

(b) if he does not so concur, in what respects he does not concur; and

(c) where head (b) applies, of his grounds for disagreeing with the decision.

(3) The Secretary of State shall furnish copies of all documents mentioned in paragraphs (1) or (2) to each of the referees appointed by him under regulation 18(3).

(4) If, on consideration of the documents furnished under paragraph (3), the referees are of the opinion that the question referred to them is similar to a question previously determined by them under regulation 18, they may dispense with a hearing and determine the case summarily.

(5) Except in a case to which paragraph (4) applies, the Secretary of State shall fix the time and place of the hearing, and shall give not less than 21 days' notice in writing thereof to the FHSA and the Local Medical Committee.

(6) The FHSA and the Local Medical Committee shall be entitled to appear at the hearing by a member or officer duly appointed for the purpose, or by counsel or solicitor, and the Secretary of State may appear by one of his officers.

(7) Any person or body entitled by virtue of paragraph (6) to appear at the hearing may produce such evidence as, in the opinion of the referees, may be relevant to the matters in issue.

(8) The referees shall, as soon as may be after the hearing or after determining a case summarily, report to the Secretary of State the decision at which they have arrived.

Commencement Information

I50 Sch. 7 para. 2 in force at 1.4.1992, see reg. 1

regulation 24(4)

SCHEDULE 8 E+W FORMS FOR USE IN PROCEEDINGS BEFORE TRIBUNAL

Commencement Information

I51 Sch. 8 in force at 1.4.1992, see reg. 1

PART I E+W NOTICE TO THE RESPONDENT OF INTENTION TO HOLD INQUIRY

PART II E+W NOTICE TO COMPLAINANT OF INTENTION TO HOLD INQUIRY

regulations 26(1), 27(4), 29(5) and 30(3)

SCHEDULE 9 E+W HEARINGS UNDER PART III

1.  The person holding the inquiry shall appoint a day for the hearing and shall, not less than 14 days before that day, send notice to the parties of the date, time and place of the hearing. E+W

Commencement Information

I52 Sch. 9 para. 1 in force at 1.4.1992, see reg. 1

2.  Where the inquiry concerns representations, the person holding it may send to any FHSA which is not a party but in whose medical, dental, ophthalmic or pharmaceutical list the respondent’s name is included a notice of the date, time and place of the hearing. E+W

Commencement Information

I53 Sch. 9 para. 2 in force at 1.4.1992, see reg. 1

3.  The person holding the inquiry may, whether or not on an application by any party, postpone the date of the hearing, and the provisions of paragraphs 1 and 2 shall apply as respects the postponed inquiry. E+W

Commencement Information

I54 Sch. 9 para. 3 in force at 1.4.1992, see reg. 1

4.  The hearing shall be in public if— E+W

(a) in the case of representations, the respondent; or

(b) in the case of an application, the applicant,

so requests; otherwise, it shall be in private.

Commencement Information

I55 Sch. 9 para. 4 in force at 1.4.1992, see reg. 1

5.—(1) Subject to regulation 33 (attendance by member of Council on Tribunals), where the hearing is to be in private, no person shall be admitted to it unless he is— E+W

(a) a person entitled under sub-paragraph (2) to represent an FHSA which—

(i) is a party to the inquiry, or

(ii) is not a party to which a notice has been sent under paragraph 2;

(b) a party to the inquiry, other than an FHSA; or

(c) a person permitted under sub-paragraph (3) to represent a party referred to in head (b) of this sub-paragraph.

(2) An FHSA referred to in sub-paragraph (1)(a) may be represented at the hearing by a member or an officer or by counsel or solicitor.

(3) Any party referred to in paragraph (1)(b) may be represented at the hearing by counsel or solicitor or by any other person.

Commencement Information

I56 Sch. 9 para. 5 in force at 1.4.1992, see reg. 1

6.  At any hearing either party may— E+W

(a) address the person holding the inquiry;

(b) call witnesses and produce other evidence, including evidence not produced prior to the inquiry; and

(c) put questions to any person giving evidence on behalf of the other party.

Commencement Information

I57 Sch. 9 para. 6 in force at 1.4.1992, see reg. 1

7.  An FHSA to whom notice has been sent under paragraph 2 may take such part in the proceedings as the person holding the inquiry thinks proper. E+W

Commencement Information

I58 Sch. 9 para. 7 in force at 1.4.1992, see reg. 1

8.—(1) Where any party to whom notice of the hearing has been given in accordance with paragraph 1 fails to appear at the hearing, either in person or by a representative, the person holding the inquiry may, after having regard to all the circumstances, including any explanation offered for the absence, proceed with the hearing notwithstanding that party’s absence. E+W

(2) Subject to the other provisions of this Schedule, the procedure at the hearing shall be for the person holding the inquiry to decide.

Commencement Information

I59 Sch. 9 para. 8 in force at 1.4.1992, see reg. 1

9.  The provisions of subsections (2), (3) and (5) of section 250 of the Local Government Act 1972(16) (summoning of witnesses, evidence, costs, etc.) shall apply to an inquiry under Part III of these Regulations as though the person holding the inquiry were a person appointed to hold a local inquiry under that section and as though the references in subsection (5) to the Minister causing the inquiry to be held under section 250 were to the Secretary of State or the person holding the inquiry. E+W

Commencement Information

I60 Sch. 9 para. 9 in force at 1.4.1992, see reg. 1

10.  For the purposes of this Schedule— E+W

(a) the parties to an inquiry are—

(i) in the case of representations, the complainant and the respondent,

(ii) in the case of an application, the applicant and the respondent; and

(b) the person holding the inquiry is—

(i) in the case of an inquiry as to representations under regulation 26 or as to an application made in accordance with regulation 29, the Tribunal,

(ii) in the case of an inquiry as to an appeal to the Secretary of State under regulation 27, the person appointed under regulation 27(2) to hear the appeal,

(iii) in the case of an application made in accordance with regulation 30, the person appointed under regulation 30(4) to hold the inquiry.

Commencement Information

I61 Sch. 9 para. 10 in force at 1.4.1992, see reg. 1

regulation 39

SCHEDULE 10 E+W REVOCATIONS

Commencement Information

I62 Sch. 10 in force at 1.4.1992, see reg. 1

(1)	(2)	(3)
Regulations revoked	References	Extent of revocation
The National Health Service (Service Committees and Tribunal) Regulations 1974	S.I. 1974/455	The whole Regulations
The National Health Service (Service Committees and Tribunal) Amendment Regulations 1974	S.I. 1974/907	The whole Regulations
The National Health Service (Service Committees and Tribunal) Amendment Regulations 1987	S.I. 1987/445	The whole Regulations
The National Health Service (Service Committees and Tribunal) Amendment Regulations 1989	S.I. 1989/1630	The whole Regulations
The National Health Service (Service Committees and Tribunal) Amendment Regulations 1990	S.I. 1990/538	The whole Regulations
The National Health Service (Service Committees and Tribunal) Amendment (No. 2) Regulations 1990	S.I. 1990/1752	The whole Regulations

(1)

1977 c. 49; see section 128(1) for the definitions of “prescribed” and “regulations”.

(2)

See section 17 of the Health and Medicines Act 1988 (c. 49) (“the 1988 Act”).

(3)

1980 c. 53.

(4)

1983 c. 41.

(5)

S.I. 1985/39.

(6)

S.I. 1981/432.

(7)

1984 c. 48.

(8)

1988 c. 49.

(9)

1990 c. 19.

(10)

Subsection (1B) was inserted in section 37 by section 12(3) of the 1988 Act.

(11)

1986 c. 66.

(12)

S.I. 1987/2202.

(13)

1989 c. 44.

(14)

See section 10(7) of the Nurses, Midwives and Health Visitors Act 1979 (c. 36).

(15)

Section 20 was amended by paragraph 40 of Schedule 1 to the Health Services Act 1980 (c. 53).

(16)

1972 c. 70, as amended by Part IV of Schedule 1 to the Statute Law (Repeals) Act 1989 (c. 43).