Regulation 4 Application for inclusion in a performers list

(1)

An application by a practitioner for inclusion in a performers list must be made by sending the Local Health Board 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 a medical performers list, satisfy the requirements of regulation 29, and

(b)

in relation to an application for inclusion in a dental performers list, satisfy the requirements of regulation 37.

(2)

The practitioner must provide the following information, subject to paragraphs (9) and (10), which set out modified requirements for certain practitioners—

(a)

the practitioner’s full name;

(b)

the practitioner’s date of birth;

(c)

the practitioner’s residential address and telephone number;

(d)

chronological details of the practitioner’s professional experience (including the starting and finishing dates of each appointment) with any additional supporting particulars, and, if the practitioner has been dismissed from any post, the reasons for that dismissal;

(e)

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 3 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;

(f)

where the practitioner has one, a copy of the practitioner’s most recent appraisal;

(g)

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;

(h)

confirmation of whether the practitioner is, or was at any time, included in any 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 was removed,

(ii)

in relation to which the practitioner was refused inclusion,

(iii)

in which the practitioner was 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 address of the registered office of that body corporate and details of that list (including the holder of the list);

(l)

where the practitioner is, was in the preceding 6 months, or was at the time of the originating event, a director of a body corporate, details of any list (including the holder of the list)—

(i)

from which that body has been removed,

(ii)

in relation to which that body has been refused inclusion,

(iii)

in which it has been included subject to conditions, or

(iv)

from which it is currently suspended,

together with an explanation as to why;

(m)

an enhanced criminal record certificate under section 113B of the Police Act 1997^f1 (enhanced criminal record certificates) which—

(i)

is dated within 6 months immediately preceding the date upon which the practitioner makes the application under this regulation, and

(ii)

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^f2;

(n)

if the practitioner has never resided in the United Kingdom—

(i)

a certificate issued by an authority of the country in which they are currently residing 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, if applicable, required by regulation 11,

(b)

to notify the Local Health Board within 7 days of any material changes to the information provided in or with the application whether such change occurs—

(i)

before the Local Health Board’s determination of the practitioner’s application, or

(ii)

at any time when the practitioner’s name is included in that list, including during any periods of suspension,

(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 the Local Health Board on request,

(d)

to notify the Local Health Board if the practitioner is included, or applies to be included, in any other list,

(e)

to co-operate with an assessment by NHS Resolution when requested to do so by the Local Health Board,

(f)

to participate in any appraisal system provided on behalf of the Local Health Board except where the relevant provision provides otherwise, and

(g)

to consent to the disclosure of information in accordance with regulation 11(8).

(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 the Local Health Board with a copy of any annual appraisal of the practitioner relating to the practitioner’s provision of medical services as a Type 1 armed forces GP.

(5)

The practitioner must send with the application a declaration as to whether the practitioner—

(a)

has any criminal convictions in the United Kingdom (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 (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^f3 (fixed penalty: conditional offer by procurator fiscal) or a compensation offer under section 302A of that Act^f4 (compensation offer by procurator fiscal) or agreed to pay a penalty under section 115A of the Social Security Administration Act 1992^f5 (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^f6 (admonition and absolute discharge) discharging the practitioner absolutely,

(e)

has been convicted elsewhere of an offence which would constitute a criminal offence if committed in England and Wales (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 which is adverse to the practitioner,

(h)

is currently the subject of any investigation by any regulatory or other body,

(i)

has been or is involved in an inquest, as an interested person within the meaning of section 47(2)(f) of the Coroners and Justice Act 2009^f7 (a person who may by any act or omission have caused or contributed to the death of the deceased, or whose employee or agent may have done so),

(j)

has been the subject of any investigation by the NHS Business Services Authority or the NHS Counter Fraud Authority in relation to fraud which included a finding adverse to the practitioner,

(k)

is currently to the practitioner’s knowledge the subject of any investigation by the 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 give details of any investigation or proceedings which were or are to be brought, including the nature of the investigation or proceedings, where and approximately when that investigation or those proceedings took place or are to take place, and any outcome.

(7)

If a practitioner is, has in the preceding 6 months been, or was at the time of the originating event, a director of a body corporate, the practitioner must make a declaration to the Local Health Board as to whether the body corporate—

(a)

has any criminal convictions 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 or the NHS Counter Fraud Authority in relation to fraud which included a finding adverse to the body corporate,

(g)

is currently to the practitioner’s knowledge the subject of any investigation by the 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)

was removed or is currently suspended from, or was refused inclusion in or included subject to conditions in, any list, or

(j)

is, or ever was, subject to a national disqualification.

(8)

Where the practitioner makes a declaration regarding any matter under paragraph (7), the practitioner must give details of any investigation or proceedings which were or are to be brought, including the nature of the investigation or proceedings, where and approximately when that investigation or those proceedings took place or are to take place, and any outcome.

(9)

This regulation applies to—

(a)

a returning practitioner as if sub-paragraphs (b), (d), (e) and (g) of paragraph (2) were omitted, and

(b)

a GP Registrar to whom paragraph (10) applies as if sub-paragraphs (b), (d), (e), (f) and (g) of paragraph (2) were omitted.

(10)

This paragraph applies to a GP Registrar who makes an application for inclusion in a medical performers list within 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)

paragraph (3)(f), “the relevant provision” means—

(i)

in relation to Type 1 armed forces GPs, paragraph (4), and

(ii)

in relation to emergency registered practitioners, Schedule 1, sub-paragraph 2(1)(b),

(b)

paragraph (5)(a) and (e), “protected conviction” means a conviction of the kind described in article 2A(2) of the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975^f8, and

(c)

paragraph (5)(b), “protected caution” means a caution of the kind described in article 2A(1) of the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975.

Annotations

Footnotes

f1: 1997 c. 50. Section 113B was inserted by the Serious Organised Crime and Police Act 2005 (c. 15), Part 5, section 163(2) and amended by the Armed Forces Act 2006 (c. 52), section 378(1) and Schedule 16, paragraph 149, the Safeguarding Vulnerable Groups Act 2006 (c. 47), section 63(1), and Schedule 9, paragraph 14(1) and (3), the Policing and Crime Act 2009 (c. 26), sections 97(2) and 112(2) and Schedule 8, Part 8, the Protection of Freedoms Act 2012 (c. 9), sections 79(2)(b), 80(1), 82(1), (2) and (3), 115(1) and (2), Schedule 9, Part 6, paragraphs 35, 37, Schedule 10, Part 6, the Crime and Courts Act 2013 (c. 22), section 15(3) and Schedule 8, paragraphs 55 and 60, the Armed Forces Act 2021 (c. 35), section 12(5) and Schedule 5, paragraphs 6 and 10, S.I. 2009/203, S.I. 2010/1146, S.I. 2012/3006 and S.I. 2015/423.
f2: Sections 113BA and 113BB were inserted by the Safeguarding Vulnerable Groups Act 2006 (c. 47), section 63(1) and Schedule 9(2), paragraph 14(1) and (4). Section 113BA was amended by the Education and Inspections Act 2006 (c. 40), section 170(2), the Education and Skills Act 2008 (c. 25), section 169, Schedule 1, paragraph 12, and the Protection of Freedoms Act 2012 (c. 9), section 115(1) and (2), Schedule 9, paragraphs 35 and 38 and Schedule 10, Part 5. Section 113BB was amended by the Protection of Freedoms Act 2012 (c. 9), section 115(1) and (2), Schedule 9, paragraphs 35 and 39 and Schedule 10, Part 5.
f3: 1995 c. 46. Section 302 was amended by the Criminal Proceedings etc. (Reform) (Scotland) Act 2007 (asp 6), section 50(1) and the Criminal Justice and Licensing (Scotland) Act 2010 (asp 13), section 70(3).
f4: Section 302A was amended by the Criminal Proceedings etc. (Reform) (Scotland) Act 2007 (asp 6), section 50(2) and the Criminal Justice and Licensing (Scotland) Act 2010 (asp 13), section 70(4).
f5: 1992 c. 5. Section 115A was amended by the Social Security Administration (Fraud) Act 1997 (c. 47), section 15, the Social Security Fraud Act 2001 (c. 11), section 14, the Welfare Reform Act 2012 (c. 5), sections 105, 113, 114, 115 and paragraph 1 of Schedule 14(1) and S.I. 2015/202.
f6: Section 246 was amended by the Crime and Punishment (Scotland) Act 1997 (c. 48), paragraph 21(31) of Schedule 1 and the Criminal Justice and Licensing (Scotland) Act 2010 (asp 13), paragraph 26 of Schedule 2(1).
f7: 2009 c. 25.
f8: S.I. 1975/1023. Article 2A was inserted by S.I. 2013/1198, articles 2 and 4.