{
  "url": "https://openlegislation.uk/national-health-service-service-committees-and-tribunal-regulations-1992/regulation-4",
  "json_url": "https://openlegislation.uk/national-health-service-service-committees-and-tribunal-regulations-1992/regulation-4.json",
  "legislation": "uksi/1992/664",
  "legislation_title": "The National Health Service (Service Committees and Tribunal) Regulations 1992",
  "legislation_url": "https://openlegislation.uk/national-health-service-service-committees-and-tribunal-regulations-1992",
  "path": "regulation/4",
  "kind": "regulation",
  "number": "4",
  "heading": "Provisions relating to the start of disciplinary proceedings",
  "text": "(1) Where an appropriate Health Authority or Primary Care Trust receives information which it considers could amount to an allegation that a practitioner has failed to comply with his terms of service it shall decide either to take no action or to take one or both of the courses of action set out in paragraph (2).\n(2) The courses of action referred to in paragraph (1) are—\n(a) to refer the matter to another Health Authority or Primary Care Trust for investigation in accordance with regulation 5(1);\n(b) to refer the information to, as it considers appropriate, the Tribunal, the relevant professional body or the local police authority.\n(3) The appropriate Health Authority or Primary Care Trust shall not proceed under paragraph 2(a) in any case where the allegation and information on which it is based is the subject of a complaint which is being investigated.\n(4) For the purposes of these Regulations an allegation remains the subject of a complaint which is being investigated until—\n(a) the procedure for investigating the complaint is completed by the delivery of a report of the investigation to a Health Authority or Primary Care Trust by a panel appointed in accordance with directions given under section 17 of the Act; or\n(b) the complaint is withdrawn or abandoned by the person bringing it.\n(5) In these Regulations “appropriate Health Authority or Primary Care Trust” in relation to a practitioner is the Health Authority or Primary Care Trust—\n(a) in whose ... ... ophthalmic or pharmaceutical list the name of the practitioner was included; or\n(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .\n(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .\nat the relevant time or, where the practitioner referred to in sub-paragraph (a) ... was at that time on more than one such list, the Health Authority or Primary Care Trust by arrangement with which the relevant services giving rise to the allegation were provided.\n(6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .\n(7) Where a Health Authority or Primary Care Trust considers that a payment has been made to a practitioner which was not due and the practitioner does not admit that overpayment, the Health Authority or Primary Care Trust may refer the overpayment under regulation 5(1).\n(8) In this regulation “the relevant time” means the time of the event, treatment, or other matter giving rise to the allegation.",
  "extent": "E+W",
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "F",
      "label": "F1",
      "text": "Regulations revoked (E.) by The National Health Service (Pharmaceutical Services) Regulations 2012 (S.I. 2012/1909), reg. 1, Sch. 8 para. 1(1)(a)"
    },
    {
      "type": "F",
      "label": "F2",
      "text": "Regs. 3-13 substituted for regs. 3-14 (1.4.1996) by The National Health Service (Service Committees and Tribunal) Amendment Regulations 1996 (S.I. 1996/703), regs. 1, 4 (with reg. 15)"
    },
    {
      "type": "F",
      "label": "F3",
      "text": "Words in reg. 4 inserted (1.10.2002) by The National Health Service Reform and Health Care Professions Act 2002 (Supplementary, Consequential etc. Provisions) Regulations 2002 (S.I. 2002/2469), regs. 1, 8, Sch. 5 (with Sch. 12 Pts. 1, 2)"
    },
    {
      "type": "F",
      "label": "F4",
      "text": "Word in reg. 4(5)(a) omitted (E.) (1.4.2004) by virtue of The General Medical Services and Personal Medical Services Transitional and Consequential Provisions Order 2004 (S.I. 2004/865), art. 1(1), Sch. 1 para. 10(c)(ii) (with arts. 94-104); and omitted (W.) (1.4.2004) by virtue of The General Medical Services Transitional and Consequential Provisions (Wales) (No. 2) Order 2004 (S.I. 2004/1016), art. 1(1), Sch. 1 para. 10(1)(c)(ii) (with arts. 71, 72)"
    },
    {
      "type": "F",
      "label": "F5",
      "text": "Word in reg. 4(5)(a) omitted (E.) (1.4.2006) by virtue of The General Dental Services, Personal Dental Services and Abolition of the Dental Practice Board Transitional and Consequential Provisions Order 2006 (S.I. 2006/562), art. 1(1), Sch. 1 para. 3(4) (with arts. 31-37); and word in reg. 4(5)(a) omitted (W.) (1.4.2006) by virtue of The General Dental Services and Personal Dental Services Transitional and Consequential Provisions (Wales) Order 2006 (S.I. 2006/946), art. 1(1), Sch. 1 para. 2(4) (with arts. 31-37)"
    },
    {
      "type": "F",
      "label": "F6",
      "text": "Reg. 4(5)(b)(c) omitted (E.) (1.4.2004) by virtue of The General Medical Services and Personal Medical Services Transitional and Consequential Provisions Order 2004 (S.I. 2004/865), art. 1(1), Sch. 1 para. 10(c)(i) (with arts. 94-104); and omitted (W.) (1.4.2004) by virtue of The General Medical Services Transitional and Consequential Provisions (Wales) (No. 2) Order 2004 (S.I. 2004/1016), art. 1(1), Sch. 1 para. 10(1)(c)(i) (with arts. 71, 72)"
    },
    {
      "type": "F",
      "label": "F7",
      "text": "Words in reg. 4(5) omitted (E.) (1.4.2004) by virtue of The General Medical Services and Personal Medical Services Transitional and Consequential Provisions Order 2004 (S.I. 2004/865), art. 1(1), Sch. 1 para. 10(c)(ii) (with arts. 94-104); and omitted (W.) (1.4.2004) by virtue of The General Medical Services Transitional and Consequential Provisions (Wales) (No. 2) Order 2004 (S.I. 2004/1016), art. 1(1), Sch. 1 para. 10(1)(c)(ii) (with arts. 71, 72)"
    },
    {
      "type": "F",
      "label": "F8",
      "text": "Words in reg. 4(5) substituted (W.) (20.10.2023) by The National Health Service (Ophthalmic Services) (Wales) Regulations 2023 (S.I. 2023/1053), reg. 1(2), Sch. 6 para. 1(4)"
    },
    {
      "type": "F",
      "label": "F9",
      "text": "Reg. 4(6) omitted (E.) (1.4.2004) by virtue of The General Medical Services and Personal Medical Services Transitional and Consequential Provisions Order 2004 (S.I. 2004/865), art. 1(1), Sch. 1 para. 10(c)(i) (with arts. 94-104); and omitted (W.) (1.4.2004) by virtue of The General Medical Services Transitional and Consequential Provisions (Wales) (No. 2) Order 2004 (S.I. 2004/1016), art. 1(1), Sch. 1 para. 10(1)(c)(i) (with arts. 71, 72)"
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/uksi/1992/664/regulation/4",
    "retrieved_at": "2026-10-29T14:25:31.699231+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}