22. In this Part “the Supplementary List Regulations” means the National Health Service (General Medical Services Supplementary List) Regulations 2001(1).
23.—(1) Regulation 2 (interpretation) of the Supplementary List Regulations shall be amended in accordance with the following provisions of this regulation.
(2) For the definitions of “equivalent body”, “licensing or regulatory body”, “professional registration number” and “services list” there shall be substituted respectively the following—
““equivalent body” means a Local Health Board in Wales, a Health Board or an NHS trust in Scotland, a Health and Social Services Board in Northern Ireland, in relation to any time prior to 1st October 2002, a Health Authority in England or, in relation to any time prior to 1st April 2003, a Health Authority in Wales;”;
““licensing or regulatory body” means a body that licenses or regulates any profession of which the doctor is, or has been a member, including a body regulating or licensing the education, training or qualifications of that profession, and includes any body which licences or regulates any such profession, its education, training or qualifications, outside the United Kingdom;”;
““professional registration number” means the number against the doctor’s name in the register of medical practitioners;”; and
““services list” means the list prepared by a Primary Care Trust under regulation 3 of the Services List Regulations;”.
(3) The following definitions shall be inserted at the appropriate alphabetical place—
““General Practice Registrar” means—
a doctor, or
a medical practitioner whose name appears in the register of medical practitioners with limited registration,
who is being trained in general practice by a GP trainer,”;
““GP trainer” means a doctor who falls within regulation 7(1) of the Vocational Training Regulations;”;
““list” means a list referred to in section 49N(1)(a) to (c)(2);”;
““medical list” means the list prepared by a Primary Care Trust under regulation 4 of the Medical Regulations(3);”;
““Medical Regulations” means the National Health Service (General Medical Services) Regulations 1992(4);”;
““the NHS Counter Fraud and Security Management Service” means the service with responsibility for policy and operational matters relating to the prevention, detection and investigation of fraud or corruption and the management of security in the National Health Service, established by the Counter Fraud Management Service Establishment and Constitution Order 2002(5);”;
““Services List Regulations” means the National Health Service (Personal Medical Services) (Services List) and the (General Medical Services) and (General Medical Services Supplementary List) Amendment Regulations 2003(6);”;
““the Vocational Training Regulations” means the National Health Service (Vocational Training for General Medical Practice) Regulations 1997(7);”; and
““vocational training scheme” means a pre-arranged programme of training which is designed for the purpose of enabling a doctor to gain the medical experience prescribed by regulation 6(1) of the Vocational Training Regulations.”.
(4) The definitions of “General Practice (GP) Registrar” and “National Health Service Counter Fraud Service” shall be omitted.
24.—(1) Regulation 3 (supplementary list) of the Supplementary List Regulations shall be amended in accordance with the following provisions of this regulation.
(2) After paragraph (1) there shall be inserted the following paragraph—
“(1A) A doctor may not assist in the provision of general medical services unless—
(a)his name is included in a supplementary list, a medical list or a services list; or
(b)pursuant to regulation 21 of the Services List Regulations (transitional provisions).”.
(3) In paragraph (2)—
(a)for sub-paragraph (b) there shall be substituted—
“(b) his professional registration number with, suffixed to it, the organisational code given by the Secretary of State to the Primary Care Trust;”;and
(b)at the end there shall be added the following sub-paragraph—
“and
(e)whether he is a General Practice Registrar;”.
25.—(1) Regulation 4 (application for inclusion in the supplementary list) of the Supplementary List Regulations shall be amended in accordance with the following provisions of this regulation.
(2) For paragraph (1) there shall be substituted the following paragraph—
“(1) Subject to paragraphs (7) and (8), an application by a doctor for the inclusion of his name in the supplementary list shall be made by sending the Primary Care Trust an application in writing, which shall include the information mentioned in paragraph (2), the undertakings and consents required by paragraphs (3) and (6) and any declaration required under paragraph (2), (4) or (5).”.
(3) In paragraph (2)—
(a)in sub-paragraph (f) there shall be inserted, at the beginning, “subject to sub-paragraph (n)”;
(b)in sub-paragraph (l) “to his knowledge” shall be deleted and, at the end, there shall be added “and details of the Primary Care Trust or equivalent body concerned”; and
(c)for sub-paragraph (m) there shall be substituted—
“(m)whether he has any outstanding application, including a deferred application, to be included in a list or an equivalent list, and if so, particulars of that application; and
(n)if he is a General Practice Registrar, the name and practice address of his GP trainer and, if he is not a fully registered doctor included in the register of medical practitioners, a declaration that he is registered in that register with limited registration with details of the limits of that registration, as defined in the direction by virtue of which he is registered.”.
(4) In paragraph (3)—
(a)in sub-paragraph (a), after “the declarations”, there shall be inserted “and, if applicable, document”;
(b)after sub-paragraph (a) there shall be inserted the following sub-paragraph —
“(aa)undertaking to assist in the provision of general medical services when employed or engaged as an assistant;”;
(c)for sub-paragraph (b) there shall be substituted—
“(b)undertaking not to provide or assist in the provision of general medical services, or to perform personal medical services in the area of another Primary Care Trust or equivalent body from whose supplementary, medical or services list he has been removed, except where that removal was at the request of the practitioner or in accordance with regulation 10(7) of these regulations, regulation 10(6) of the Services List Regulations or regulation 7(2) or (11) of the Medical Regulations”; and
(d)at the end there shall be added—
“and
(g)if he is a General Practice Registrar, unless he is suitably experienced within the meaning of section 31(8), or has an acquired right under regulation 5(1)(d) of the Vocational Training for General Medical Practice (European Requirements) Regulations 1994(9), an undertaking—
(i)only to assist in providing general medical services, or to perform personal medical services, when acting for and under the supervision of, his GP trainer,
(ii)to withdraw from the supplementary list if any of the events listed in paragraph (3A) takes place, and
(iii)to apply for a certificate of prescribed experience under regulation 10 of the Vocational Training Regulations or a certificate of equivalent experience under regulation 11 of those Regulations as soon as he is eligible to do so, and to provide the Primary Care Trust with a copy of any such certificate.”.
(5) After paragraph (3) there shall be inserted the following paragraph—
“(3A) The events to which this paragraph applies are—
(a)the conclusion of any period of training prescribed by regulation 6(3) of the Vocational Training Regulations, unless it forms part of a vocational training scheme which has not yet been concluded, or the doctor provides the Primary Care Trust with a certificate of prescribed experience under regulation 10 of the Vocational Training Regulations or a certificate of equivalent experience under regulation 11 of those Regulations;
(b)the failure satisfactorily to complete any period of training within the meaning of regulation 9 of the Vocational Training Regulations; and
(c)the completion of a vocational training scheme, unless the doctor provides the Primary Care Trust with a certificate of prescribed experience under regulation 10 of the Vocational Training Regulations or a certificate of equivalent experience under regulation 11 of those Regulations.”.
(6) In paragraph (4), there shall be—
(a)inserted after sub-paragraph (c) the following sub-paragraphs—
“(cc)has accepted and agreed to pay either a procurator fiscal fine under section 302 of the Criminal Procedure (Scotland) Act 1995(10) or a penalty under section 115A of the Social Security Administration Act 1992(11);
(cd)has, in summary proceedings in Scotland in respect of an offence, been the subject of an order discharging him absolutely (without proceeding to conviction);”;
(b)substituted for sub-paragraph (h) the following—
“(h)is to his knowledge, or has been where the outcome was adverse, the subject of any investigation by the NHS Counter Fraud and Security Management Service in relation to fraud;”;
(c)added, at the end of sub-paragraph (k), “, and if so, why and the name of that Primary Care Trust or equivalent body”; and
(d)inserted, after sub-paragraph (k), the following—
“or
(l)is, or has ever been, the subject of a national disqualification,”.
(7) In paragraph (5) “to his knowledge”, in the first place where it occurs, shall be deleted.
(8) At the end there shall be added the following paragraphs—
“(7) If, in the case of any application, the Primary Care Trust finds that the information, references or documentation supplied by the doctor are not sufficient for it to decide his application, it shall seek from that doctor such further information, references or documentation as it may reasonably require in order to make a decision and that doctor shall supply the material so sought to the Trust.
(8) In the case of an application to a Primary Care Trust by a doctor, who is included in the medical list or the services list of that Trust, seeking to withdraw from that list and to include his name in its supplementary list, that doctor shall only be required to provide the information required by paragraph (2) in so far as—
(a)he has not already supplied it to that Trust; or
(b)it has changed since it was provided.”.
26. Regulation 5 (readmission) of the Supplementary List Regulations shall be re-numbered as regulation 5(1) and to it there shall be added the following paragraph—
“(2) In a case to which paragraph (1) applies, if the conviction is reinstated on a further appeal, the previous determination of the Primary Care Trust to remove that doctor from its supplementary list shall once again have effect.”.
27.—(1) Regulation 6 (grounds for refusal) of the Supplementary List Regulations shall be amended in accordance with the following provisions of this regulation.
(2) In paragraph (1)—
(a)at the end of sub-paragraph (a), after “any other information”, there shall be added “or document”;
(b)for sub-paragraph (d) there shall be substituted—
“(d)having checked with the NHS Counter Fraud and Security Management Service for any facts that it considers relevant relating to past or current fraud investigations involving or related to the doctor and, having considered these and any other facts in its possession related to fraud involving or relating to the doctor, the Primary Care Trust considered these justify such refusal;”; and
(c)for sub-paragraph (f) there shall be substituted—
“(f)where his registration in the register of medical practitioners is subject to conditions imposed pursuant—
(i)to a direction, under section 36(1)(iii)(12) of the Medical Act, of the Professional Conduct Committee,
(ii)to a direction of the Health Committee under section 37(13) of that Act,
(iii)to a direction under section 36A of or paragraph 5A(3) of Schedule 4 to that Act(14) of the Committee on Professional Performance of the General Medical Council, referred to in section 1(3) of that Act, or
(iv)to an order, under section 41A(15) of that Act, of any of those committees or of the Interim Orders Committee of the General Medical Council, referred to in section 1(3) of that Act.”.
(3) In paragraph (2)—
(a)at the end of sub-paragraph (d) there shall be added “or is a General Practice Registrar”;
(b)in sub-paragraph (j), after “where”, there shall be inserted “, in a case to which regulation 15(4) applies,”.
(4) In paragraph (3)—
(a)for sub-paragraph (b) there shall be substituted—
“(b)check with the NHS Counter Fraud and Security Management Service whether the doctor has any record of fraud; and”; and
(b)at the end there shall be added the following sub-paragraph—
“(c)check with the Secretary of State as to any information held by him as to any record about past or current investigations or proceedings involving or related to that doctor;”.
(5) At the end of paragraph (4)(f) there shall be added “or, if it had been committed in England or Wales, would have applied; and”.
28.—(1) Regulation 7 (deferment of decision on application) of the Supplementary List Regulations shall be amended in accordance with the following provisions of this regulation.
(2) In paragraph (1)—
(a)for sub-paragraphs (a) and (b) there shall be substituted—
“(a)where there are, in respect of the doctor—
(i)criminal proceedings in the United Kingdom, or
(ii)proceedings elsewhere in the world relating to conduct, which, if it had occurred in the United Kingdom, would constitute a criminal offence,
which, if they resulted in a conviction, or the equivalent of a conviction, would be likely to lead to the removal of the doctor from the Primary Care Trust’s supplementary list, if he had been included in it;
(b)in respect of a body corporate of which the doctor is, has in the preceding 6 months been, or was at the time of the originating events, a director, there are—
(i)criminal proceedings in the United Kingdom, or
(ii)proceedings elsewhere in the world relating to conduct, which, if it had occurred in the United Kingdom, would constitute a criminal offence,
which, if they resulted in a conviction, or the equivalent of a conviction, would be likely to lead to the removal of the doctor from the Primary Care Trust’s supplementary list, if he had been included in it;”;
(b)in sub-paragraph (c) for “successful” there shall be substituted “adverse”;
(c)in sub-paragraph (h) for “the National Health Service Counter Fraud Service” there shall be substituted “the NHS Counter Fraud and Security Management Service”; and
(d)in sub-paragraph (i) “by the National Health Service Counter Fraud Service” shall be deleted.
(2) For paragraph (4) there shall be substituted—
“(4) Once the outcome of the relevant event mentioned in paragraph (1) is known, the Primary Care Trust shall notify the doctor in writing that he must within 28 days of the date of the notification (or such longer period as the Primary Care Trust may agree)—
(a)update his application; and
(b)confirm in writing that he wishes to proceed with his application.”.
29.—(1) Regulation 8 (conditional inclusion) of the Supplementary List Regulations shall be amended in accordance with the following provisions of this regulation.
(2) For paragraph (2) there shall be substituted—
“(2) If a doctor fails to comply with a condition which has been imposed by the Primary Care Trust it may remove him from its supplementary list.”.
(3) In paragraph (3)(c) there shall be omitted “calendar”.
(4) At the end of each of paragraphs (4), (5) and (6) there shall be added the words “within 7 days of making that decision”.
30.—(1) Regulation 9 (requirements with which a doctor on the supplementary list must comply) of the Supplementary List Regulations shall be amended in accordance with the following provisions of this regulation.
(2) In paragraph (1)—
(a)there shall be inserted, after sub-paragraph (c), the following sub-paragraphs—
“(cc)has accepted and agreed to pay either a procurator fiscal fine under section 302 of the Criminal Procedure (Scotland) Act 1995(16) or a penalty under section 115A of the Social Security Administration Act 1992(17);
(cd)has, in summary proceedings in Scotland in respect of an offence, been the subject of an order discharging him absolutely (without proceeding to conviction);”; and
(b)for sub-paragraph (i) there shall be substituted—
“(i)becomes to his knowledge the subject of any investigation by the NHS Counter Fraud and Security Management Service in relation to fraud, or is notified of the outcome of such an investigation, where it is adverse;”.
(3) In paragraph (2), in the first place where it occurs, “to his knowledge” shall be deleted and for sub-paragraph (f) there shall be substituted—
“(f)becomes to his knowledge the subject of any investigation in relation to fraud, or is notified of the outcome of such an investigation, where it is adverse;”.
(4) At the end there shall be added the following paragraph—
“(4) A doctor, who is included in the supplementary list of a Primary Care Trust, shall supply that Trust with an enhanced criminal record certificate under section 115 of the Police Act 1997(18) in relation to himself, if the Primary Care Trust at any time, for reasonable cause, requests him to provide such a certificate.”.
31.—(1) Regulation 10 (removal from supplementary list) of the Supplementary List Regulations shall be amended in accordance with the following provisions of this regulation.
(2) In paragraph (1) there shall be inserted, after sub-paragraph (g), the following—
“or
(h)in the case of a General Practice Registrar, the doctor is in breach of the undertaking provided in accordance with regulation 4(3)(g)(ii) and has failed to withdraw from the list after the Primary Care Trust has given him 28 days notice in writing requesting him to do so;”.
(3) In paragraph (2), after “shall remove the doctor”, there shall be inserted “from its supplementary list”.
(4) In paragraph (6), after “may also remove a doctor”, there shall be inserted “from its supplementary list”.
(5) For paragraph (8)(a) there shall be substituted—
“(a)his registration as a medical practitioner was suspended as mentioned in section 37 of the Medical Act (suspension by direction or order of the Health Committee)(19);”.
(6) At the end of each of paragraphs (11), (12) and (13) there shall be added “within 7 days of making that decision”.
32.—(1) Regulation 11 (criteria for removal) of the Supplementary List Regulations shall be amended in accordance with the following provisions of this regulation.
(2) For paragraph (1) there shall be substituted the following paragraph—
“(1) Where a Primary Care Trust is considering whether to remove a doctor from its supplementary list under regulation 10(3) and (4)(c) (an unsuitability case), it shall—
(a)consider any information relating to the doctor which it has received in accordance with regulation 9;
(b)consider any information held by the Secretary of State as to any record about past or current investigations or proceedings involving or relating to that doctor; and
(c)in reaching its decision, take into consideration the matters set out in paragraph (2).”.
(3) In paragraph (2)—
(a)for “criteria” there shall be substituted “matters”;
(b)for sub-paragraphs (b) to (f) there shall be substituted—
“(b)the length of time since any such offence, incident, conviction or investigation;
(c)whether there are other offences, incidents or investigations to be considered;
(d)any action taken or penalty imposed by any licensing or regulatory body, the police or the courts as a result of any such offence, incident or investigation;
(e)the relevance of any offence, incident or investigation to his assisting in providing general medical services and the likely risk to patients or to public finances; and
(f)whether any offence was a sexual offence to which Part I of the Sexual Offences Act 1997(20) applies, or if it had been committed in England and Wales, would have applied;”.
(4) For paragraph (3) there shall be substituted—
“(3) Where a Primary Care Trust is considering whether to remove a doctor from its supplementary list under regulation 10(3) and (4)(b), it shall—
(a)consider any information relating to the doctor which it has received in accordance with any provision of regulation 9;
(b)consider any information held by the Secretary of State as to any record about past or current investigations or proceedings involving or relating to that doctor; and
(c)in reaching its decision, take into consideration the matters set out in paragraph (4).”.
(5) In paragraph (4)—
(a)for “criteria” there shall be substituted “matters”;
(b)in sub-paragraph (a) for “any fraud cases” there shall be substituted “fraud”;
(c)for sub-paragraph (b) there shall be substituted—
“(b)the length of time since the last incident of fraud occurred, and since any investigation into it was concluded;”
(d)in sub-paragraph (c) “cases” shall be deleted; and
(e)in sub-paragraph (d) “the incident” shall be deleted and there shall be added at the end “any such offence, investigation or incident”.
(6) For paragraph (5) there shall be substituted the following paragraph—
“(5) Where a Primary Care Trust is considering whether to remove a doctor from its supplementary list under regulation 10(3) and (4)(a) (“an efficiency case”), it shall—
(a)consider any information relating to the doctor which it has received in accordance with any provision of regulation 9;
(b)consider any information held by the Secretary of State as to any record about past or current investigations or proceedings involving or relating to that doctor; and
(c)in reaching its decision, take into consideration the matters set out in paragraph (6).”.
(7) In paragraph (6)—
(a)for “criteria” there shall be substituted “matters”;
(b)for sub-paragraphs (a) and (b) there shall be substituted—
“(a)the nature of any incident which was prejudicial to the efficiency of the general medical services that the doctor assisted in providing;
(b)the length of time since the last incident occurred and since any investigation into it was concluded;”; and
(c)at the end of sub-paragraph (f) there shall be added “, the Medical Regulations or the Services List Regulations;”.
33. In regulation 13 of the Supplementary List Regulations (suspension)—
(a)at the end of paragraph (15) there shall be added “within 7 days of making that decision”; and
(b)for paragraph (17) there shall be substituted—
“(17) During a period of suspension payments may be made to or in respect of the doctor in accordance with a determination by the Secretary of State.”.
34. In regulation 14 (reviews) of the Supplementary List Regulations there shall be added—
(a)at the end of paragraph (7), “within 7 days of making that decision”; and
(b)at the end, the following paragraph—
“(11) A Primary Care Trust may not review its decision to suspend a doctor under regulation 13(1)(c) or (d).”.
35.—(1) Regulation 16 (notification) of the Supplementary List Regulations shall be amended in accordance with the following provisions of this regulation.
(2) In paragraph (2)—
(a)after sub-paragraph (f) there shall be inserted the following sub-paragraph—
“(ff)the NCAA”; and
(b)in sub-paragraph (i) for “the National Health Service Counter Fraud Service” there shall be substituted “the NHS Counter Fraud and Security Management Service”.
(3) For sub-paragraph (4)(a) there shall be substituted—
“(a)the name, address and date of birth of the doctor;”.
(4) At the end of paragraph (8) there shall be added “or the fact that that suspension has lapsed”.
36. For regulation 17(4)(c) of the Supplementary List Regulations (amendment or withdrawal from list) there shall be substituted—
“(c)pursuant to paragraph (3), remove the doctor’s name from its supplementary list as soon as it confirms that that doctor has been accepted on that other list.”.
37. At the end of the Supplementary List Regulations there shall be added the following regulation—
21. The Primary Care Trust may disclose information supplied to it or acquired by it pursuant to these Regulations to any of the following—
(a)the Secretary of State;
(b)any other Primary Care Trust or equivalent body, which—
(i)has a doctor to whom that information relates on any of its lists; or
(ii)is considering an application from such a doctor for inclusion on any of its lists;
(c)the Scottish Executive;
(d)the National Assembly for Wales;
(e)the Northern Ireland Executive;
(f)the NCAA;
(g)the General Medical Council or any other licensing or regulatory body;
(h)any organisation or employer that, to the knowledge of the Primary Care Trust, employs or uses the services of the doctor to whom that information relates in a professional capacity; and
(i)where an allegation of fraud is being considered, the NHS Counter Fraud and Security Management Service.”.
S.I. 2001/3740; amended by S.I. 2002/848, 1920 and 2469.
Section 49N was inserted by section 25 of the 2001 Act.
S.I. 2002/3039. The NHS Counter Fraud and Security Management Service replaces the National Health Service Counter Fraud Service.
S.I. 1997/2817, as amended by S.I. 1998/669.
Section 31 was amended by the 1997 Act, section 32(3).
S.I. 1994/3130, as amended by S.I. 1998/669.
1992 c. 5; section 115A was inserted by section 15 of the Social Security Administration (Fraud) Act 1997 (c. 47).
Section 36 was amended by the 1995 Act, section 4 and Schedule 1, paragraphs 1 and 5 and by S.I. 2000/1803, articles 2 and 5.
Section 37 was amended by the 1995 Act, section 4 and Schedule 1, paragraphs 1 and 6 and by S.I. 2000/1803, articles 2 and 7.
Section 36A was inserted by the 1995 Act, section 1 and amended by S.I. 2000/1803, articles 2 and 6 and paragraph 5A of Schedule 4 was added by the 1995 Act, section 4 and Schedule 1, paragraphs 1 and 20.
Section 41A was inserted by S.I. 2000/1803, articles 2 and 10.
1992 c. 5; section 115A was inserted by section 15 of the Social Security Administration (Fraud) Act 1997 (c. 47).
Section 37 was amended by paragraphs 1 and 6 of the Schedule to the 1995 Act and by S.I. 2000/1803, articles 2 and 7.