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

Application for inclusion in a performers list E+W

4.—(1) An application by a Practitioner for inclusion in a performers list must be made by sending [F1 NHS England] an application in writing, which must include the information and documentation required by this regulation, and—

(a) in relation to an application for inclusion in the medical performers list, satisfy the requirements of regulation 26;

(b) in relation to an application for inclusion in the dental performers list, satisfy the requirements of regulation 33; and

(c) in relation to an application for inclusion in the ophthalmic performers list, satisfy the requirements of regulation 39.

(2) The Practitioner must provide the following [F2 , subject to paragraph (9)]—

(a) the Practitioner's full name;

F3 (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c) the Practitioner's date of birth;

(d) the Practitioner's residential address and telephone number;

(e) chronological details of the Practitioner's professional experience (including the starting and finishing dates of each appointment F4 ...) and evidence of each post, and, if the Practitioner has been dismissed from any post, the reasons for that dismissal;

(f) names and addresses of two referees, who are willing to provide clinical references relating to two recent posts (which may include any current post) each of which lasted at least three months without a significant break, or, where this is not possible, a full explanation as to why that is the case and the names and addresses of two alternative referees;

(g) where the Practitioner has one, a copy of the Practitioner's most recent appraisal;

(h) evidence that the Practitioner has in force an appropriate indemnity arrangement which provides the Practitioner with cover in respect of liabilities that may be incurred in carrying out the Practitioner's work;

[F5 (ha) confirmation of whether the Practitioner is or at any time has been included in an equivalent list;]

(i) confirmation of whether the Practitioner has any outstanding application, including a deferred application, to be included in any list and if so, particulars of that application;

(j) details of any list—

(i) from which the Practitioner has been removed,

(ii) in which the Practitioner has been refused inclusion,

(iii) in which the Practitioner has been included subject to conditions, or

(iv) from which the Practitioner is currently suspended,

together with an explanation as to why;

(k) if the Practitioner is the director of a body corporate that is included in any list or which has an outstanding application (including a deferred application) for inclusion in any such list, the name and registered office of that body corporate and details of that list (including the holder of the list);

(l) where 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, details of any list—

(i) in which that body has been refused inclusion,

(ii) in which it has been included subject to conditions,

(iii) from which it has been removed, or

(iv) from which it is currently suspended,

together with an explanation as to why; F6 ...

(m) 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 [F7 ; and

(n) 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) while over the age of 18 years during the period of 5 years immediately before making the application—

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

(ii) 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.]

(3) The Practitioner must provide the following undertakings—

(a) to provide any declaration or document required by regulation 9;

(b) to notify [F1 NHS England] within 7 days of any material change to the information provided in [F8 or with] the application, whether such change occurs before [F1 NHS England’s] determination of the Practitioner's application or subsequently;

(c) to maintain an appropriate indemnity arrangement which provides cover in respect of liabilities that may be incurred in carrying out work as a Practitioner at all times and to provide evidence of such an indemnity arrangement to [F1 NHS England] on request;

(d) to notify [F1 NHS England] if the Practitioner is included, or applies to be included, in any other list;

(e) to co-operate with an assessment by the NHSLA where appropriate and when requested to do so by [F1 NHS England]; and

(f) to participate in any appraisal system established by [F1 NHS England].

(4) A Type 1 armed forces GP is not required to provide the undertaking referred to in paragraph (3)(f) but is to give an undertaking to provide [F1 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.

(5) The Practitioner must send with the application a declaration as to whether the Practitioner—

(a) has a criminal conviction in the United Kingdom [F9 (but the Practitioner need not declare a protected conviction)], including one in respect of which the Practitioner has been bound over;

(b) has accepted a police caution in the United Kingdom [F10 (but the Practitioner need not declare a protected caution)];

(c) has accepted a conditional offer under section 302 of the Criminal Procedure (Scotland) Act 1995 M3 (fixed penalty: conditional offer by procurator fiscal) or a compensation offer under section 302A of that Act M4 (compensation offer by procurator fiscal) or agreed to pay a penalty under section 115A of the Social Security Administration Act 1992 M5 (penalty as alternative to prosecution);

(d) 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) M6 discharging the Practitioner absolutely;

(e) has been convicted elsewhere of an offence which would constitute a criminal offence if committed in England and Wales [F11 (but the Practitioner need not declare such an offence if the offence would constitute a protected conviction if committed in England and Wales)];

(f) is currently the subject of any proceedings (which includes arrest, charge or bail) which might lead to a conviction;

(g) has been the subject of any investigation by any regulatory or other body which included a finding adverse to the Practitioner;

(h) is currently the subject of any investigation by any regulatory or other body;

(i) is involved in an inquest [F12 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];

(j) has been the subject of any investigation by the NHS Business Services Authority [F13 or the NHS Counter Fraud Authority] in relation to fraud which included a finding adverse to the Practitioner;

(k) is currently the subject of any investigation by the [F14 NHS Counter Fraud Authority] in relation to fraud;

(l) is the subject of any investigation by the holder of any list which might lead to the Practitioner's removal from the list;

(m) is the subject of any investigation in respect of any current or previous employment;

(n) has been the subject of any investigation in respect of any current or previous employment which included a finding adverse to the Practitioner;

(o) has been removed or is currently suspended from, or has been refused inclusion in or included subject to conditions in, any list; or

(p) is, or has ever been, subject to a national disqualification.

(6) Where a Practitioner makes a declaration regarding any matter under paragraph (5), the Practitioner must provide an explanation of the facts giving rise to that matter, including those concerned, relevant dates and any outcome.

(7) If a Practitioner is, has in the preceding six months been, or was at the time of the originating event, a director of a body corporate, the Practitioner must make a declaration as to whether the body corporate—

(a) has a criminal conviction in the United Kingdom;

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

(c) is currently the subject of any proceedings (which includes a charge) which might lead to a conviction;

(d) has been the subject of any investigation by any regulatory or other body which included a finding adverse to the body corporate;

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

(f) has been the subject of any investigation by the NHS Business Services Authority [F15 or the NHS Counter Fraud Authority] in relation to fraud which included a finding adverse to the body corporate;

(g) is currently the subject of any investigation by the [F16 NHS Counter Fraud Authority] in relation to fraud;

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

(i) has been removed or is currently suspended from, or has been refused inclusion in or included subject to conditions in, any list; or

(j) is, or has ever been, subject to a national disqualification.

(8) Where the Practitioner makes a declaration regarding any matter under paragraph (7), the Practitioner must provide the name and registered office of the body corporate in question and an explanation of the facts giving rise to that matter, including those concerned, relevant dates and any outcome.

[F17 (9) This regulation applies to—

(a) a returning practitioner as if paragraph (2)(c), (e), (f) and (h) were omitted;

(b) a GP Registrar to whom paragraph (10) applies as if paragraph (2)(c), (e), (f), (g) and (h) were omitted; and

(c) a dental practitioner undertaking foundation training as if—

(i) paragraph (2)(c), (e) and (g) were omitted; and

(ii) paragraph (2)(f) required the name and address of one referee who is willing to provide a clinical reference relating to one recent post (which may include any current post), which lasted at least three months without a significant break, or, where this is not possible, a full explanation as to why that is the case and the name and address of one alternative referee.

(10) This paragraph applies to a GP Registrar who makes an application for inclusion in the medical performers list during the period of 6 months ending with the date on which they are expected to be awarded a CCT.

(11) For the purposes of—

(a) paragraphs 9(b) and (10), “GP Registrar” and “CCT” have the meanings given in regulation 23 (medical performers list: interpretation);

(b) paragraph 9(c), “foundation training” has the meaning given in regulation 30 (interpretation: foundation training).]

Textual Amendments

F1 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

F2 Words in reg. 4(2) inserted (18.9.2023) by The National Health Service (Performers Lists) (England) (Amendment) (No. 2) Regulations 2023 (S.I. 2023/828), regs. 1(1), 4(a)(i)

F3 Reg. 4(2)(b) omitted (18.9.2023) by virtue of The National Health Service (Performers Lists) (England) (Amendment) (No. 2) Regulations 2023 (S.I. 2023/828), regs. 1(1), 4(a)(ii)

F4 Words in reg. 4(2)(e) omitted (18.9.2023) by virtue of The National Health Service (Performers Lists) (England) (Amendment) (No. 2) Regulations 2023 (S.I. 2023/828), regs. 1(1), 4(a)(iii)

F5 Reg. 4(2)(ha) inserted (18.9.2023) by The National Health Service (Performers Lists) (England) (Amendment) (No. 2) Regulations 2023 (S.I. 2023/828), regs. 1(1), 4(a)(iv)

F6 Word in reg. 4(2)(l) omitted (18.9.2023) by virtue of The National Health Service (Performers Lists) (England) (Amendment) (No. 2) Regulations 2023 (S.I. 2023/828), regs. 1(1), 4(a)(v)

F7 Reg. 4(2)(n) and preceding word inserted (18.9.2023) by The National Health Service (Performers Lists) (England) (Amendment) (No. 2) Regulations 2023 (S.I. 2023/828), regs. 1(1), 4(a)(vi)

F8 Words in reg. 4(3)(b) inserted (18.9.2023) by The National Health Service (Performers Lists) (England) (Amendment) (No. 2) Regulations 2023 (S.I. 2023/828), regs. 1(1), 4(b)

F9 Words in reg. 4(5)(a) inserted (1.4.2015) by The National Health Service (Performers Lists) (England) (Amendment) Regulations 2015 (S.I. 2015/362), regs. 1(1), 4(a)

F10 Words in reg. 4(5)(b) inserted (1.4.2015) by The National Health Service (Performers Lists) (England) (Amendment) Regulations 2015 (S.I. 2015/362), regs. 1(1), 4(b)

F11 Words in reg. 4(5)(e) inserted (1.4.2015) by The National Health Service (Performers Lists) (England) (Amendment) Regulations 2015 (S.I. 2015/362), regs. 1(1), 4(c)

F12 Words in reg. 4(5)(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(2)

F13 Words in reg. 4(5)(j) inserted (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(3)

F14 Words in reg. 4(5)(k) 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)(a)

F15 Words in reg. 4(7)(f) inserted (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(3)

F16 Words in reg. 4(7)(g) 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)(a)

F17 Reg. 4(9)-(11) inserted (18.9.2023) by The National Health Service (Performers Lists) (England) (Amendment) (No. 2) Regulations 2023 (S.I. 2023/828), regs. 1(1), 4(c)

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 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 1995 c. 46. Section 302 has been amended by: the Communications Act 2003 (2003 c. 21), section 406 and Schedule 17, paragraph 133; the Wireless Telegraphy Act 2006 (2006 c. 36), section 123 and Schedule 7, paragraph 16; the Criminal Proceedings etc. (Reform) (Scotland) Act 2007 (2007 asp 6), section 50; and the Criminal Justice and Licensing (Scotland) Act 2010 (2010 asp 13), section 70.

M4 Section 302A was inserted by the Criminal Proceedings etc. (Reform) (Scotland) Act 2007 (2007 asp 6), section 50 and amended by the Criminal Justice and Licensing (Scotland) Act 2010 (2010 asp 13), section 70.

M5 1992 c. 5. Section 115A was inserted by the Social Security Administration (Fraud) Act 1997 (1997 c. 47), section 15. It was amended by the Social Security Fraud Act 2001 (2001 c. 11), sections 1 and 14 and the Welfare Reform Act 2012 (2012 c. 5), sections 113 and 115.

M6 1995 c. 46. Section 246 was amended by the Criminal Justice and Licensing (Scotland) Act 2010 (2010 asp 13), section 14 and Schedule 2, paragraph 26.