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The Appointments Commission Regulations 2006

S.I. 2006/2380 · Made 4 September 2006

Original text. legislation.gov.uk does not revise statutory instruments, so later amendments are not shown here. Changes made to it are listed under each provision when known.

public health

national health service, england

social care

Made 4th September 2006

Laid before Parliament 5th September 2006

Coming into force 1st October 2006

The Secretary of State for Health makes the following Regulations in exercise of the powers conferred by sections 65 and 79(3) of, and paragraphs 2(b) and (d), 3(3)(b), 7(1) and (2), 10(3)(c), (5) and (6), and 18(2)(b) of Schedule 4 to, the Health Act 2006f1:

Annotations to the whole text

Footnotes

f1

2006 c. 28.

Contents

  1. 1Citation, commencement and interpretation
  2. 2Membership of the Commission
  3. 3Membership of the Health and Social Care Appointments Committee
  4. 4Period of office of chairman, non-executive members and commissioners
  5. 5Disqualification for appointment
  6. 6Cessation of disqualification
  7. 7Termination of office of chairman, non-executive members and commissioners
  8. 8Suspension of chairman, non-executive members and commissioners
  9. 9Remuneration and allowances of chairman, non-executive members and commissioners
  10. 10Functions of the Commission
  11. 11Payments by Secretary of State
  12. 12Revocation
  13. Signature
  14. Explanatory note

1Citation, commencement and interpretation

(1)

These Regulations may be cited as the Appointments Commission Regulations 2006 and shall come into force on 1st October 2006.

(2)

In these Regulations—

  • “the 1977 Act” means the National Health Service Act 1977f1;

  • “the Act” means the Health Act 2006;

  • “the Commission” means the Appointments Commissionf2;

  • “commissioner” means a health and social care commissionerf3;

  • “the chairman” means the chairman of the Commission;

  • “executive member” means an executive member of the Commissionf4;

  • “Executive Committee” means a committee of a Primary Care Trust appointed under regulation 9(1) of the Primary Care Trusts (Membership and Procedure) Regulations 2000f5;

  • “the FHSAA” means the Family Health Service Appeal Authority constituted under section 49S of the 1977 Act;

  • “health service body” means—

    1. (a)

      a Strategic Health Authorityf6, Special Health Authorityf7, Primary Care Trustf8, Local Health Boardf9, NHS trustf10 or NHS foundation trustf11,

    2. (b)

      a Health Board or Special Health Board constituted under section 2 of the National Health Service (Scotland) Act 1978f12, or the Scottish Dental Practice Board, the Common Service Agency for the Scottish Health Service or an NHS trust constituted under, respectively, sections 4, 10 or 12A of that Actf13,

    3. (c)

      the Secretary of State,

    4. (d)

      the Commission for Healthcare Audit and Inspectionf14,

    5. (e)

      the Dental Practice Board constituted under section 37(1) of the 1977 Actf15,

    6. (f)

      the Health Protection Agencyf16,

    7. (g)

      the Independent Regulator of NHS Foundation Trustsf17,

    8. (h)

      the National Assembly for Wales,

    9. (i)

      the Wales Centre for Healthf18,

    10. (j)

      the Northern Ireland Central Services Agency for Health and Social Services established under the Health and Personal Social Services (Northern Ireland) Order 1972f19,

    11. (k)

      a special health and social services agency established under the Health and Personal Services (Special Agencies) (Northern Ireland) Order 1990f20,

    12. (l)

      a Health and Social Services Board established under the Health and Personal Social Services (Northern Ireland) Order 1972,

    13. (m)

      a Health and Social Services trust established under the Health and Personal Social Services (Northern Ireland) Order 1991f21,

    14. (n)

      the Department of Health, Social Services and Public Safety for Northern Ireland,

    15. (o)

      a body in relation to which a direction has been given under section 58, 60 or 61 of the Actf22, or

    16. (p)

      a body which falls within paragraph (3);

  • “health service hospital” has the meaning given by section 128(1) of the 1977 Act;

  • “non-executive member” means a non-executive member of the Commissionf23;

  • “national NHS disqualification” means—

    1. (a)

      a decision made by the FHSAA under section 49N of the 1977 Actf24 or under regulations corresponding to that section made under section 28X(4) of that Actf25 (persons performing primary medical and dental services), or

    2. (b)

      a decision by the NHS Tribunal which is treated as a national disqualification by the FHSAA by virtue of regulation 6(4)(b) of the Abolition of the NHS Tribunal (Consequential Provisions) Regulations 2001f26 or regulation 6(4)(b) of the Abolition of the NHS Tribunal (Consequential Provisions) Regulations 2002f27;

  • “the NHS Tribunal” means the Tribunal constituted under section 46 of the 1977 Act for England and Wales;

  • “primary care list” means—

    1. (a)

      a list referred to in section 49N(1)(a) to (c) of the 1977 Act;

    2. (b)

      a list of persons undertaking to provide general medical services prepared in accordance with regulations under section 29 of the 1977 Actf28 as the list existed on or before 31st March 2004,

    3. (c)

      a list of persons undertaking to provide general dental services prepared in accordance with regulations under section 36 of the 1977 Actf29 as the list existed on or before 31st March 2006,

    4. (d)

      a list of persons approved by a Primary Care Trust for the purpose of assisting in the provision of general medical services prepared in accordance with regulations under section 43D(1) of the 1977 Actf30 as the list existed on or before 31st March 2004,

    5. (e)

      a list of persons approved by a Primary Care Trust for the purpose of assisting in the provision of general dental services prepared in accordance with regulations under section 43D(1) of the 1977 Act as the list existed on or before 31st March 2006, or

    6. (f)

      a services list referred to in section 8ZA(1)(a) of the National Health Service (Primary Care) Act 1997f31 as the list existed on or before 31st March 2004;

  • “sentence of imprisonment” does not include a committal—

    1. (a)

      in default of payment of any sum of money,

    2. (b)

      for want of sufficient distress to satisfy any sum of money, or

    3. (c)

      for failure to do or abstain from doing anything required to be done or left undone.

(3)

A body falls within this paragraph if arrangements providing for the Commission to assist in the exercise of any power relating to appointment of the body’s chairman, or any non-executive member of the body, have been entered into under section 63(4) of the Act and remain in force.

2Membership of the Commission

(1)

For the purposes of paragraph 2(b) of Schedule 4 to the Act, the prescribed number of non-executive members is five.

(2)

For the purposes of paragraph 2(d) of Schedule 4 to the Act, the prescribed number of executive members is four.

3Membership of the Health and Social Care Appointments Committee

The prescribed maximum number of persons to be appointed to the Health and Social Care Appointments Committeef1 for the purposes of paragraph 10(3)(c) of Schedule 4 to the Act is ninef2.

4Period of office of chairman, non-executive members and commissioners

(1)

Subject to regulation 7 (termination of office of chairman, non-executive members and commissioners), the period of office of the chairman, non-executive members and commissioners shall be such period, not exceeding four years, as the Secretary of State shall specify on making the appointment.

(2)

Where the chairman or a non-executive member ceases to hold office on the expiry of his period of office, or under regulation 7, he shall cease to be a member of the Commission.

(3)

Subject to regulation 5 (disqualification for appointment), the chairman and any non-executive member or commissioner shall, on the expiry of his period of office, be eligible for re-appointment.

5Disqualification for appointment

(1)

Subject to regulation 6 (cessation of disqualification), a person shall be disqualified for appointment as the chairman or as a non-executive member or commissioner if—

(a)

he has, within the preceding 5 years—

(i)

been convicted in the United Kingdom of any offence or been convicted elsewhere of any offence which, if committed in any part of the United Kingdom would constitute a criminal offence; and

(ii)

been sentenced to a sentence of imprisonment (whether suspended or not), and

neither the conviction has been quashed nor the sentence reduced to a sentence other than a sentence of imprisonment (whether suspended or not) on appeal;

(b)

he is the subject of a bankruptcy restrictions orderf1 or interim bankruptcy restrictions order;

(c)

he has had a sequestration of his estate awarded and has not been discharged;

(d)

he has been dismissed, otherwise than by reason of redundancy, from any paid employment with a health service body;

(e)

he—

(i)

is the subject of a national NHS disqualification,

(ii)

was refused nomination or approval to fill a vacancy for a medical practitioner pursuant to regulations made under section 29B(2A) of the 1977 Actf2 and was not subsequently nominated or approved or included in a primary care list,

(iii)

has been refused admission to a primary care list under section 49F of the 1977 Actf3, or on grounds corresponding to any of the conditions referred to in section 49F(2), (3) or (4) of the 1977 Act, and has not subsequently been included in a primary care list,

(iv)

is conditionally included in a primary care listf4,

(v)

has been removed from a primary care list under section 49F of the 1977 Act, or on grounds corresponding to any of the conditions referred to in section 49F(2), (3) or (4) of the 1977 Act, or by a direction of the NHS Tribunal, and has not subsequently been included in such a list,

(vi)

is contingently removed from a primary care listf5, or

(vii)

is suspended from a primary care listf6 or treated as so suspended by virtue of regulation 6(2) of the Abolition of the NHS Tribunal (Consequential Provisions) Regulations 2001 or regulation 6(2) of the Abolition of the NHS Tribunal (Consequential Provisions) Regulations 2002,

and in this sub-paragraph any reference to a provision in the 1977 Act includes a reference to the provision corresponding to that provision in legislation relating to Scotland or Northern Ireland;

(f)

he is a chairman or a member of—

(i)

a Strategic Health Authority,

(ii)

a Special Health Authority,

(iii)

a Primary Care Trust, or

(iv)

a Local Health Board;

(g)

he is a chairman or a director of an NHS trust;

(h)

he is a chairman or a non-executive director of an NHS foundation trust;

(i)

he is a chairman or a member of an Executive Committee;

(j)

he is a person whose tenure of office as the chairman or as a member, director or governor of a health service body has been terminated on the grounds that—

(i)

it was not in the interests of, or conducive to the good management, of the health service body or the health service that he should continue to hold that office,

(ii)

he failed, without reasonable cause, to attend any meeting of that health service body for a period of three months or more,

(iii)

he failed to declare a pecuniary interest or withdraw from consideration of any matter in respect of which he had a pecuniary interest;

(k)

he holds any paid appointment or office with a health service body;

(l)

he holds an appointment as—

(i)

a special trustee for a health service hospital,

(ii)

a trustee for an NHS trust or NHS foundation trust, or

(iii)

a trustee for a Primary Care Trust;

(m)

he is the chairman or another member of the Independent Regulator of NHS Foundation Trusts;

(n)

he is subject to a disqualification order under the Company Directors Disqualification Act 1986f7, the Companies (Northern Ireland) Order 1989f8 or the Company Directors Disqualification (Northern Ireland) Order 2002f9 or to an order made under section 429(2)(b) of the Insolvency Act 1986f10 (disabilities on revocation of administration order against an individual);

(o)

he has been—

(i)

removed from the office of charity trustee or trustee for a charity by an order made by the Charity Commissioners or the High Court on the grounds of any misconduct or mismanagement in the administration of the charity for which he was responsible or to which he was privy, or which he, by his conduct, contributed to or facilitated, or

(ii)

removed under section 7 of the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990f11 (powers of Court of Session to deal with management of charities) from being concerned in the management or control of any body;

(iii)

removed as a director, trustee or committee member of a registered social landlordf12.

(2)

For the purposes of paragraph (1)(a), the date of conviction shall be deemed to be the date on which the ordinary period allowed for making an appeal or application with respect to the conviction expires or, if such an appeal or application is made, the date on which the appeal or application is finally disposed of or abandoned or fails by reason of its not being prosecuted.

(3)

For the purposes of paragraph (1)(d), a person shall not be treated as having been in paid employment by reason only of his having been—

(a)

the chairman or a non-executive director of an NHS trust;

(b)

the chairman, or a governor or non-executive director, of an NHS foundation trust; or

(c)

in the case of any other health service body, the chairman or a non-officer member of the body.

6Cessation of disqualification

(1)

Subject to paragraph (2), a person who is disqualified under regulation 5(1)(d) or (o) may, after the expiry of two years beginning on the date on which he was dismissed or removed, apply in writing to the Secretary of State to remove the disqualification, and the Secretary of State may direct that the disqualification shall cease.

(2)

Where the Secretary of State refuses an application to remove a disqualification, no further application may be made by that person until the expiry of the period of two years beginning with the date of the application, and this paragraph shall apply to any subsequent application.

(3)

Where a person is disqualified under regulation 5(1)(j), the disqualification shall cease on the expiry of the period of two years beginning on the date of the termination of his tenure of office or such longer period as the Secretary of State specifies when terminating his period of office, but the Secretary of State may, on application being made to him by that person, reduce the period of disqualification.

7Termination of office of chairman, non-executive members and commissioners

(1)

The chairman or a non-executive member or commissioner may resign his office at any time during his period of office by giving notice in writing to the Secretary of State.

(2)

Where the Secretary of State is of the opinion that it is not in the interests of, or conducive to the good management of, the Commission or of the health service that the chairman or a non-executive member or commissioner should continue to hold office, the Secretary of State may immediately remove that person from the office of chairman, non-executive member or commissioner (as the case may be) by giving him notice in writing to that effect.

(3)

If the chairman or a non-executive member fails to attend any meeting of the Commission for a period of three months the Secretary of State shall immediately remove him from office unless satisfied that—

(a)

the absence was due to a reasonable cause; and

(b)

the person in question will be able to attend meetings of the Commission within such a period as the Secretary of State considers reasonable.

(4)

If a commissioner fails to attend any meeting of the Health and Social Care Appointments Committee for a period of three months the Secretary of State shall immediately remove him from office unless satisfied that—

(a)

the absence was due to a reasonable cause; and

(b)

the person in question will be able to attend meetings of that committee within such a period as the Secretary of State considers reasonable.

(5)

Where a person has been appointed to be the chairman or a non-executive member or commissioner, and he becomes disqualified for appointment under regulation 5, he shall notify the Secretary of State in writing of such disqualification.

(6)

Where a person has been appointed to be the chairman or a non-executive member or commissioner, and it comes to the notice of the Secretary of State (whether under paragraph (5) or otherwise) that at the time of his appointment or later he was disqualified for appointment under regulation 5—

(a)

the Secretary of State shall declare that the person in question was not duly appointed or (as the case may be) became disqualified after appointment;

(b)

the Secretary of State shall remove him from office by notifying him in writing to that effect; and

(c)

upon receipt of such notification, he shall cease to act as chairman, non-executive member or commissioner.

(7)

This paragraph applies to any provision made by the Commission under paragraph 11 of Schedule 4 to the Act that requires the chairman or a non-executive member or commissioner—

(a)

to disclose any pecuniary interest in any contract, proposed contract or other matter that is the subject of consideration of any meeting of the Commission, or of a committee or sub-committee of the Commission; or

(b)

not to take part in the consideration or discussion of the contract or other matter or vote on any question with respect to it.

(8)

Where it appears to the Secretary of State that the chairman or a non-executive member or commissioner has failed to comply with a provision to which paragraph (7) applies, the Secretary of State may immediately remove him from office by giving him notice in writing to that effect.

8Suspension of chairman, non-executive members and commissioners

(1)

The Secretary of State may suspend the chairman or a non-executive member or commissioner from office while the Secretary of State considers whether—

(a)

to remove him from office under regulation 7(2) or (8); or

(b)

the person is disqualified for appointment under regulation 5, or was so disqualified for the purposes of regulation 7(6).

(2)

The Secretary of State shall notify a person suspended under paragraph (1) of the decision to suspend him from office, and the decision shall take effect upon receipt of such notification.

(3)

Subject to paragraphs (4) and (5), a period of suspension under paragraph (1) shall not exceed 6 months.

(4)

The Secretary of State may at any time review a suspension and shall review a suspension after 3 months if so requested by the person who has been suspended.

(5)

Where the Secretary of State reviews a suspension he may—

(a)

revoke the suspension, in which case it shall cease to have effect, or

(b)

suspend the person from office for a further period of not more than 6 months from the expiry of the current period of suspension.

9Remuneration and allowances of chairman, non-executive members and commissioners

(1)

The Secretary of State may determine the amount of the remuneration and allowances that the Commission is to pay the chairman, non-executive members and commissioners.

(2)

Payments under this regulation shall be made at such times and in such manner and subject to such conditions as to the Secretary of State may determine.

10Functions of the Commission

(1)

The Commission may—

(a)

administer schemes relating to the payment, to chairmen and non-executive members of relevant bodies, of remuneration and allowances falling to be determined by the Secretary of State;

(b)

publish or otherwise make available information as to the terms and conditions applying to chairmen and non-executive members of relevant bodies, including information as to such remuneration and allowances;

(c)

assist the Secretary of State in connection with the implementation of decisions as to the payment of such remuneration and allowances;

(d)

advise the Secretary of State in connection with the payment of such allowances to such persons;

(e)

advise the Secretary of State generally on matters relating to appointments to—

(i)

relevant bodies;

(ii)

NHS foundation trusts; or

(iii)

bodies which fall within paragraph (3).

(2)

For the purposes of paragraph (1), “relevant body” means a body in relation to which a direction may be given under section 58, 60 or 61 of the Act.

(3)

A body falls within this paragraph if arrangements providing for the Commission to assist in the exercise of any power relating to appointment of the body’s chairman, or any non-executive member of the body, may be entered into under section 63(4) of the Act.

11Payments by Secretary of State

The functions that the Commission may exercise under regulation 10(1) are prescribed as functions for the purposes of paragraph 18(2)(b) of Schedule 4 to the Act (prescribed functions in respect of the performance of which the Secretary of State may make annual payments to the Commission under paragraph 18(1)(a) of that Schedule).

12Revocation

The National Health Service Appointments Commission Regulations 2001f1 are hereby revoked.

Signature

Signed by authority of the Secretary of State for Health

Andy Burnham

Minister of Health

Department of Health

4th September 2006

Explanatory note

(This note is not part of the Regulations)

These Regulations make provision concerning the membership and functions of the Appointments Commission, which is established under section 57 of the Health Act 2006.

The Regulations prescribe the number of members of the Commission (regulation 2) and of persons to be appointed to the Health and Social Care Appointments Committee of the Commission (regulation 3). They provide for the period of office of the chairman and non-executive members of the Commission and of persons appointed to the Health and Social Care Appointments Committee (regulation 4), for disqualification for appointment (regulations 5 and 6), termination of office (regulation 7) and suspension from office (regulation 8), and for the Secretary of State to determine their remuneration and allowances (regulation 9). The Regulations confer functions on the Commission (in addition to functions that may otherwise be conferred by or under the Act) in relation to appointments to certain bodies and matters relating to such appointments (regulation 10). They also make provision for payments by the Secretary of State to the Commission (in addition to provision made for such payments under the Act) (regulation 11).

The Regulations revoke certain regulations relating to the NHS Appointments Commission, which is abolished by section 57(4) of the Health Act 2006 (regulation 12).