The National Health Service (Service Committees and Tribunal) (Scotland) Amendment Regulations 1996
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NATIONAL HEALTH SERVICE, SCOTLAND The National Health Service (Service Committees and Tribunal) (Scotland) Amendment Regulations 1996
1.(1) These Regulations may be cited as the National Health Service (Service Committees and Tribunal) (Scotland) Amendment Regulations 1996 and shall come into force on 1st April 1996. (2) In these Regulations "the principal Regulations" means the National Health Service (Service Committees and Tribunal) (Scotland) Regulations 1992[3].
2.(1) In regulation 1(2) of the principal Regulations
"complaint" means a complaint made in accordance with directions concerning the establishment and operation of procedures for dealing with complaints against practitioners providing Part II services given under section 2(5) of the Act[4] or in accordance with the provisions specified in paragraph (4); "dental discipline committee" means a committee referred to in regulation 2(1)(b); "dentists' panel" means the panel of dentists who are, or who have been, engaged in the provision of general dental services and who have been nominated to the panel for the purposes of these Regulations by a body which is, in the Secretary of State's opinion, representative of the dental profession; "disciplinary matter" means a matter referred under regulation 4(1); "discipline committee" has the meaning it bears in regulation 2(2); "doctors' panel" means the panel of doctors who are, or who have been, engaged in the provision of general medical services and who have been nominated to the panel for the purposes of these Regulations by a body which is, in the Secretary of State's opinion, representative of doctors engaged in the provision of general medical services; "joint discipline committee" means a committee referred to in regulation 2(1)(e); "medical discipline committee" means a committee referred to in regulation 2(1)(a); "ophthalmic discipline committee" means a committee referred to in regulation 2(1)(c); "Part II Services" means services provided under Part II of the Act; "pharmaceutical discipline committee" means a committee referred to in regulation 2(1)(d); "pharmacist contractor" means a contractor who provides pharmaceutical services, or a person lawfully conducting a retail pharmacy business in accordance with section 69 of the Medicines Act 1968[5]; "Practice Board" means the Scottish Dental Practice Board constituted under section 4 of the Act[6]; "relevant professional body" means
"statement of case" means a statement sent by the appropriate Health Board to the practitioner and the discipline committee in accordance with paragraph 1 of Schedule 1A;" ; and
(2) The following paragraph shall be added after regulation 1(3) of the principal Regulations
3. For regulations 2 to 15 of the principal Regulations there shall be substituted the following regulations: "Establishment of committees 2.(1) Subject to paragraph (3), every Health Board shall have
(2) The committees mentioned in paragraph (1) shall be known as discipline committees. (3) Three or more Health Boards may appoint discipline committees jointly and in these Regulations a reference to a discipline committee of a Health Board includes a reference to a discipline committee jointly appointed by three or more Health Boards. (4) A Health Board may have a reference committee which shall include one member who is both an officer and a member of that Health Board and which may exercise the Health Board's functions under these Regulations with respect to the referral of disciplinary matters. (5) Schedule 1 shall have effect with respect to the committees mentioned in paragraph (1). Provisions relating to the start of disciplinary proceedings 3.(1) Where an appropriate Health Board 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). (2) The courses of action referred to in paragraph (1) are
(3) The appropriate Health Board 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. (4) For the purposes of these Regulations an allegation remains the subject of a complaint which is being investigated until
(5) In these Regulations "appropriate Health Board" in relation to a practitioner is the Health Board
(6) An allegation made against either
(7) Where a Health Board considers that a payment has been made to a practitioner which was not due and the practitioner does not admit that overpayment, the Health Board may refer the overpayment under regulation 4(1). (8) In this regulation "the relevant time" means the time of the event, treatment or other matter giving rise to the allegation. Referral to discipline committee 4.(1) Where an appropriate Health Board decides to proceed under regulation 3(2)(a) or (7) it shall, subject to paragraph (2), refer the matter to another Health Board for investigation by that Health Board's appropriate discipline committee. (2) The appropriate Health Board shall not refer the matter to another Health Board which has appointed any discipline committee jointly with the appropriate Health Board. (3) Subject to paragraph (6), the appropriate discipline committee referred to in paragraph (1) is
(4) A matter which, under paragraph (1), is required to be investigated by two discipline committees, may instead be referred for investigation by a joint discipline committee. (5) If, in the opinion of a discipline committee, a matter referred to it includes allegations which are required, by virtue of paragraph (1), to be investigated also by another discipline committee, it shall refer the matter to the joint discipline committee instead of dealing with the matter itself. (6) Where a matter is referred for investigation by a joint discipline committee under paragraph (4) or paragraph (5), that committee shall be the appropriate discipline committee instead of any other committee. Time limits 5.(1) Where the disciplinary matter concerns an allegation which has been the subject of a complaint, the appropriate Health Board shall refer it under regulation 4(1) within 28 days of the allegation having ceased to be the subject of a complaint which is being investigated. (2) Where the disciplinary matter does not concern an allegation which has been the subject of a complaint, the appropriate Health Board shall refer it under regulation 4(1) within the time limits specified in paragraph (3). (3) The time limits referred to in paragraph (2) are
(4) Where the Board reports a matter to the appropriate Health Board in circumstances in which the time limits mentioned in paragraph (3)(b)(i) or (ii) would otherwise expire within 28 days of the date on which the Health Board received the report, the relevant time limit shall be extended so that it expires on the 28th day after the date on which the Health Board received the report. (5) For the purposes of paragraph (3), "treatment" has the same meaning as in regulation 2(1) of the National Health Service (General Dental Services) (Scotland) Regulations 1996. Investigations by discipline committees 6.(1) A discipline committee shall investigate any matter which is referred to it. (2) Schedule 1A shall have effect with respect to the procedure for investigating disciplinary matters under this Part. (3) Where the disciplinary matter concerns an alleged overpayment made to a practitioner pursuant to regulation 3(7), the appropriate Health Board may refer it under regulation 4(1) at any time. Determination of appropriate Health Board 7.(1) The appropriate Health Board, after due consideration of a report presented to it by the discipline committee pursuant to paragraph 7(1) of Schedule 1A, shall
(2) If the appropriate Health Board decides either not to adopt the recommendation of the discipline committee or to take any action not recommended by that committee, it shall record in writing its reasons for that decision. (3) Where, in the case of any doctor to whom a report of a discipline committee relates, the appropriate Health Board is satisfied, after consultation with the Area Medical Committee, that, because of the number of persons included in his list, the doctor is unable to give adequate treatment to all those persons, it may impose a special limit on the number of persons for whom the doctor may undertake to provide treatment. (4) Where, pursuant to paragraph (3), the appropriate Health Board imposes a special limit on the number of persons for whom a doctor may undertake to provide treatment, paragraphs (7), (8) and (12) of regulation 21 of the National Health Service (General Medical Services) (Scotland) Regulations 1995 (limitation of number of persons in doctors' lists) shall have effect in his case with suitable modifications and, in particular, as if references in those paragraphs
(5) Where it has been determined that a practitioner to whom the report of the discipline committee relates has failed to comply with any of his terms of service, the appropriate Health Board may
(6) In acting under paragraph (5), the appropriate Health Board may take into consideration
(7) The appropriate Health Board shall give notice in writing of its determination under paragraph (1) and any determination under paragraph (5) to the practitioner, any person who is treated as a party pursuant to paragraph 2(3) of Schedule 1A, the discipline committee, and the Secretary of State, and shall include with the notice
(8) Where an appropriate Health Board determines under this regulation that action should be taken in accordance with any of the provisions of paragraphs (3) or (5)(a), (b) or (c), that action shall be taken by the appropriate Health Board except that where, at the time when such action falls to be taken, the practitioner's name is no longer included in that Health Board's list but is included in the list of some other Health Board, that action shall be taken by that other Health Board. (9) Any amount determined under paragraph (5)(a) as being recoverable shall, to the extent that it is not recovered from the practitioner's remuneration, be a debt owed by the practitioner to the Health Board by which it is recoverable. (10) Where the appropriate Health Board makes a determination under the provisions of paragraph (5)(a), (b) or (c), no action shall be taken in consequence of that determination
Appeal to the Secretary of State 8.(1) An appeal may be made to the Secretary of State by a practitioner
(2) A notice of an appeal under this regulation shall be in writing and sent to the Secretary of State within 30 days beginning on the date on which notice of the appropriate Health Board's decision was given to the practitioner under regulation 7(7), and shall contain a concise statement of the grounds of appeal upon which the practitioner intends to rely in respect of each ground of appeal. (3) Subject to paragraph (6), on an appeal to which paragraph (1)(a) or (c) applies, the Secretary of State shall consider the appeal on the basis of such evidence as was available to the discipline committee and of such further evidence as shall have been adduced on the appeal, and shall
(4) On an appeal to which paragraph (1)(b) applies, the Secretary of State shall
(5) For the purposes of paragraphs (3)(c)(ii) and (4)(b) of this regulation, paragraphs (3), (5) and (6) of regulation 7 shall have effect as if for any reference to "the appropriate Health Board" there were substituted a reference to "the Secretary of State". (6) The practitioner may withdraw his appeal at any time before it is determined
Procedure on appeal 9.(1) Without prejudice to paragraph (5), if the Secretary of State, after considering a notice of appeal and any further particulars furnished by the practitioner, is of the opinion that the notice and particulars disclose no reasonable grounds of appeal or that the appeal is otherwise vexatious or frivolous, he may determine the appeal by dismissing it forthwith. (2) The Secretary of State shall, unless he dismisses the appeal under paragraph (1), send a copy of the notice of appeal and of any further particulars furnished by the practitioner to the appropriate Health Board, and shall invite that Board to submit its observations on the appeal within 28 days of being sent the copy of the notice of appeal. (3) Where observations are made under paragraph (2), the Secretary of State shall send a copy of those observations to the practitioner and shall invite him to submit his comments on the observations within 21 days of his being sent that copy. (4) The Secretary of State shall hold an oral hearing to determine the appeal except in the circumstances described in paragraph (5). (5) Where a practitioner who is not appealing under regulation 8(1)(a) appeals under regulation 8(1)(b), his appeal may be dismissed without an oral hearing if the practitioner has stated in writing that he does not want such a hearing. (6) Where there is to be an oral hearing the Secretary of State shall appoint three persons to hear the appeal, of whom
(7) The persons appointed under paragraph (6)(b) shall be
(8) In a case to which
(9) The Secretary of State shall appoint a day for the hearing and shall give the practitioner and the appropriate Health Board not less than 21 days' notice in writing of the day, time and place of the hearing. (10) Subject to the provisions of regulation 46 (attendance by member of Council on Tribunals) no person shall, without the consent of the practitioner and the persons appointed under paragraph (6), be admitted to a hearing before those persons unless he is
(11) The practitioner and appropriate Health Board shall not rely on any facts or contentions which do not appear to the Secretary of State or the persons hearing the appeal to have been raised in the course of the proceedings before the discipline committee unless
(12) The persons hearing the appeal shall draw up a report and present it to the Secretary of State who shall take it into consideration and determine the appeal. (13) Where a Health Board has made representations to the Tribunal following its consideration of a report of a discipline committee, the Secretary of State may, for the purpose of any appeal under regulation 8(1)(a), treat as conclusive any relevant findings of fact of the Tribunal. (14) The Secretary of State shall give notice in writing to the practitioner and the Health Board of his determination under paragraphs (1) or (12) of the matters mentioned in paragraphs (3)(c), (3)(d) or (4)(b) of regulation 8 and shall include with the notice a statement of his reasons for the determination. (15) The provisions of Schedule 2 shall have effect with regard to the hearing of an appeal. Recovery of amounts from practitioners following appeal 10.(1) Where
(2) The Secretary of State shall not consider the question of the recovery of an amount from a doctor or dentist whose failure to comply with his terms of service (as determined under these Regulations) is a failure specified in relation to him in Part I of Schedule 1B unless he has referred the question of recovery to the appropriate advisory committee and has received the advice of that committee. (3) Where the case is not one to which paragraph (2) applies, the Secretary of State, before considering the question of recovery of
(4) For the purposes of this regulation "the appropriate advisory committee" means
(5) The Secretary of State shall give notice in writing of his determination under paragraph (1) to the practitioner and the appropriate Health Board, and shall include with the notice a statement of the reasons for his determination. (6) Where the Secretary of State has determined under paragraph (1) that an amount shall be recovered from a practitioner, he shall direct the appropriate Health Board to recover that amount either by deduction from the practitioner's remuneration or otherwise and, subject to regulation 7(8) (as modified by paragraph (7) of this regulation), that Health Board shall comply with that direction. (7) For the purposes of paragraph (6), regulation 7(8) shall have effect as if for the words "an appropriate Health Board determines under this regulation that action should be taken in accordance with any of the provisions of paragraphs (3) or (5)(a), (b) or (c), that action shall be taken" there were substituted the words "the Secretary of State determines under regulation 10(1) that an amount should be recovered, that amount shall be recovered". (8) Any sum which falls by virtue of paragraph (6) to be recovered by a Health Board shall, to the extent that it is not recovered by deduction from the practitioner's remuneration, be a debt owed by the practitioner to that Health Board. Death of practitioner 11. Where, at any time after a disciplinary matter has been referred under regulation 4(1) but before the appropriate Health Board makes a determination under regulation 7 in relation to that matter, the practitioner to whom the matter relates dies, no further action shall be taken under these Regulations in relation to that practitioner." .
4. In regulation 46(d) of the principal Regulations for the words "regulation 13(9)" there shall be substituted the words "regulation 9(6)".
5. For Schedule 1 to the principal Regulations, there shall be substituted the Schedules set out in the Schedule to these Regulations.
6. The amendments made to the principal Regulations by these Regulations shall not have effect in relation to
7. Regulation 20 of the principal Regulations and the National Health Service (Service Committees and Tribunal) (Scotland) Amendment Regulations 1994[14] are hereby revoked.
Notes: [1] 1978 c. 29; section 19(2) was amended by the Health and Social Services and Social Security Adjudications Act 1983 (c. 41) ("the 1983 Act"), Schedule 7, paragraph 2, and was extended by the Health and Medicines Act 1988 (c. 49) ("the 1988 Act"), section 17; section 25(2) was extended by the 1988 Act, section 17 and was amended by the National Health Service and Community Care Act 1990 (c. 19) ("the 1990 Act"), section 40(2) and Schedule 9, paragraph 19(6); section 26(2) was amended by the Health and Social Security Act 1984 (c. 48), Schedule 1, Part II, paragraphs 2, 3 and 4 and Schedule 8, Part I and was extended by the 1988 Act, section 17; section 27(2) was amended by the National Health Service (Amendment) Act 1986 (c. 66), section 3(3) and by the 1990 Act, Schedule 9, paragraph 19(7)(b) and was extended by the 1988 Act, section 17; section 105(7), which was amended by the Health Services Act 1980 (c. 53), Schedule 6, paragraph 5 and Schedule 7 and by the 1983 Act, Schedule 9, paragraph 24 contains provisions relevant to the making of regulations; section 108(1) contains a definition of "regulations" relevant to the exercise of the statutory powers under which these Regulations are made. back [3] S.I. 1992/434, amended by S.I. 1994/3038 and 1995/3201. back [4] Section 2(5) was amended by the National Health Service and Community Care Act 1990, Schedule 9, paragraph 19(1). back [6] Section 4 was amended by the Health and Medicines Act 1988, section 12(3) and Schedule 3. back [7] See the Medical Act 1983 (c. 54), section 1. back [8] See the Dentists Act 1984 (c. 24), section 1. back [9] See the Opticians Act 1989 (c. 44), section 1. back [10] S.I. 1996/177; relevant amending instrument is S.I. 1996/841. back [11] S.I. 1995/416; relevant amending instrument is S.I. 1996/842. back [12] S.I. 1995/414; relevant amending instrument is S.I. 1996/840. back [13] S.I. 1986/965; relevant amending instrument is S.I. 1996/843. back |
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