The National Health Service (Discipline Committees) (Scotland) Regulations 2006

Made: 7th June 2006

Laid before the Scottish Parliament: 8th June 2006

Coming into force: 1st July 2006

The Scottish Ministers, in exercise of the powers conferred by sections 17P, 25(2), 26(2), 27(2), 29(1), 105(7), 106(a) and 108(1) of the National Health Service (Scotland) Act 1978[^f00001]and section 17 of the Health and Medicines Act 1988[^f00002]and of all other powers enabling them in that behalf and after consulting the Council on Tribunals and its Scottish Committee in accordance with section 8(1) and (3) of the Tribunals and Inquiries Act 1992[^f00003], hereby make the following Regulations:

PART I — GENERAL

Citation, commencement and extent

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• (1) These Regulations may be cited as the National Health Service (Discipline Committees) (Scotland) Regulations 2006 and shall come into force on 1st July 2006.

• (2) These Regulations extend to Scotland only.

Interpretation

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• (1) In these Regulations–

• “the Act” means the National Health Service (Scotland) Act 1978[^f00004];

• “the Agency” means the Common Services Agency for the Scottish Health Service constituted under section 10 of the Act[^f00005];

• “appropriate Health Board” means;in relation to a doctor–a Health Board in whose primary medical services performers' list the name of the doctor was included at the relevant time; orwhere the doctor was at the relevant time on more than 1 such list, the Health Board which was, under section 2C(1) of the Act[^f00006]under a duty to provide or secure the provision of the primary medical services giving rise to the allegation;in relation to any other practitioner–the Health Board in whose dental, ophthalmic or pharmaceutical list the name of the practitioner was included at the relevant time; orwhere the practitioner was at the relevant time on more than one such list, one of the Health Boards by arrangement with which the Part II services giving rise to the allegation were provided.

• “area dental committee” means the committee of that name for the area of a Health Board recognised under section 9 of the Act[^f00007];

• “area medical committee” means the committee of that name for the area of a Health Board recognised under section 9 of the Act;

• “area optical committee” means the committee of that name for the area of a Health Board recognised under section 9 of the Act;

• “area pharmaceutical committee” means the committee of that name for the area of a Health Board recognised under section 9 of the Act;

• “area professional committee” means an area dental committee, area medical committee, area optical committee or area pharmaceutical committee, as appropriate;

• “chairperson” includes a deputy chairperson acting in his or her place;

• “Chief Executive” means the Chief Executive of a Health Board, or some other officer of the Health Board duly authorised to act on behalf of the Chief Executive;

• ...

• “dental body corporate” means a body corporate entitled by virtue of section 43 of the Dentists Act 1984(1) to carry on the business of dentistry;

• “dental discipline committee” means a committee referred to in regulation 3(1)(b);

• “dentist” means a registered dental practitioner;

• “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 Scottish Ministers' opinion, representative of the dental profession;

• “disciplinary matter” means a matter referred under regulation 5(1);

• “discipline committee” has the meaning given in regulation 3(2);

• “doctor” means a registered medical practitioner excluding an ophthalmic medical practitioner unless performing primary medical services;

• “doctors' panel” means the panel of doctors who are, or who have been, engaged in the performance of primary medical services and who have been nominated to the panel for the purposes of these Regulations by a body which is, in the Scottish Ministers' opinion, representative of doctors engaged in the performance of primary medical services;

• “him or her” includes “it” when referring to a practitioner who is a dental body corporate;

• “his or her” includes “its” when referring to a practitioner who is a dental body corporate;

• “General Dental Services Regulations” means, in respect of the period to 1st July 2010, the National Health Service (General Dental Services) (Scotland) Regulations 1996 and, in respect of the period from 2nd July 2010, the National Health Service (General Dental Services) (Scotland) Regulations 2010;

• “General Ophthalmic Services Regulations” means in respect of the period prior to 1st April 2006 the National Health Service (General Ophthalmic Services) (Scotland) Regulations 1986[^f00010]and in respect of the period from 1st April 2006 the National Health Service (General Ophthalmic Services) (Scotland) Regulations 2006[^f00011];

• “Health Board” means a Health Board constituted under section 2 of the Act[^f00012];

• “in writing” does not include transmission by electronic means;

• “joint discipline committee” means a committee constituted in accordance with paragraph 2 of Schedule 1;

• “medical discipline committee” means a committee referred to in regulation 3(1)(a);

• “ophthalmic discipline committee” means a committee referred to in regulation 3(1)(c);

• “ophthalmic medical practitioner” means a doctor having the qualifications prescribed by regulation 3 of the General Ophthalmic Services Regulations;

• “ophthalmic officer” means an ophthalmic medical practitioner, ophthalmic optician or ophthalmologist in the service of the Agency;

• “optician” means an ophthalmic optician;

• “Part II Services” means services provided under Part II of the Act;

• “pharmaceutical discipline committee” means a committee referred to in regulation 3(1)(d);

• “Pharmaceutical Services Regulations” means the National Health Service (Pharmaceutical Services) (Scotland) Regulations 2009;

• “pharmacist” means a person registered with the Royal Pharmaceutical Society of Great Britain in the register of pharmaceutical chemists;

• “pharmacist contractor” means a contractor who provides pharmaceutical services, or a person lawfully conducting a retail pharmacy business in accordance with section 69 (general provisions) of the Medicines Act 1968[^f00014];

• “Practice Board” means the Scottish Dental Practice Board constituted under section 4 of the Act[^f00015];

• “practitioner” means, except in Schedule 1, a doctor, a dentist, a dental body corporate, an ophthalmic medical practitioner, an optician, a pharmacist or a pharmacist contractor, as the case may be;

• “primary medical services performers' list” means the list maintained by a Health Board under the Primary Medical Services Performers' Lists Regulations;

• “Primary Medical Services Performers' Lists Regulations” means the National Health Service (Primary Medical Services Performers' Lists) (Scotland) Regulations 2004[^f00016];

• “section 17C agreement” means an agreement under section 17C of the Act[^f00017];

• “statement of case” means a statement sent by the appropriate Health Board to a practitioner and the discipline committee in accordance with paragraph 1 of Schedule 2;

• “Statement of Dental Remuneration” means the statement published under regulation 22 (statement of dental remuneration) of the General Dental Services Regulations[^f00018];

• “supplements” means prisms, tints, photochromic lenses, small glasses and complex appliances;

• “terms of service” means–the requirements with which a doctor included in the primary medical services performers' list must comply under or by virtue of regulation 8 of the Primary Medical Services Performers' Lists Regulations;the terms of service for dentists or dental bodies corporate contained in Schedule 1 to the General Dental Services Regulations;the terms of service for ophthalmic medical practitioners and opticians contained in Schedule 1 to the General Ophthalmic Services Regulations;the terms of service for pharmacists contained in Schedule 1 to the Pharmaceutical Services Regulations; orthe terms under which additional pharmaceutical services are provided under arrangements made in accordance with directions under section 27A of the Act[^f00019],as the case may be;

• “treatment” in relation to general dental services, except in relation to regulation 6(7)(c), means care and treatment within the meaning of the General Dental Services Regulations;

• “the Tribunal” means the Tribunal constituted under section 29 of and Schedule 8 to, the Act[^f00020].

• (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

• (3) In these Regulations any reference to a numbered regulation or a numbered Schedule is, unless otherwise expressly provided, a reference to a regulation or a Schedule bearing that number in these Regulations.

PART II — INVESTIGATION OF DISCIPLINARY MATTERS

Establishment of committees

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• (1) Subject to paragraph (3), every Health Board shall have–

• (a) a medical discipline committee;

• (b) a dental discipline committee;

• (c) an ophthalmic discipline committee;

• (d) a pharmaceutical discipline committee; and

• (e) a joint discipline committee,

and may, where it sees fit, have 2 or more of any of those committees.

• (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 3 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 constitution of discipline committees.

Provisions relating to the start of disciplinary proceedings

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• (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 or her 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–

• (a) to refer the matter to another Health Board for investigation in accordance with regulation 5(1);

• (b) to refer the information to, as it considers appropriate, the Tribunal, the relevant professional body or the police.

• (3) Without prejudice to any other rights or remedies which it may have, where an appropriate 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 appropriate Health Board may refer the overpayment under regulation 5(1).

• (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

• (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

• (6) In this regulation–

• (a) “relevant professional body” means–

• (i) in relation to a doctor or an ophthalmic medical practitioner, the General Medical Council[^f00027];

• (ii) in relation to a dentist or a dental body corporate, the General Dental Council[^f00028];

• (iii) in relation to an optician, the General Optical Council[^f00029]; or

• (iv) in relation to a pharmacist, the General Pharmaceutical Council;

• (b) “the relevant time” means the time of the event, treatment or other matter giving rise to the allegation.

Referral to discipline committee

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• (1) Where an appropriate Health Board decides to proceed under regulation 4(2)(a) or (3) 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–

• (a) where the matter relates to a doctor, a medical discipline committee;

• (b) where the matter relates to a dentist or a dental body corporate, a dental discipline committee;

• (c) where the matter relates to an ophthalmic medical practitioner or optician, an ophthalmic discipline committee;

• (d) where the matter relates to a pharmacist, a pharmaceutical discipline committee.

• (4) A matter which, under paragraph (1), is required to be investigated by 2 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 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

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• (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

• (2) Where the disciplinary matter concerns an allegation which has been the subject of an investigation by the Agency, or of an investigation by any other person or body, the appropriate Health Board shall refer it under regulation 5(1) within 28 days of the Health Board having received the final report on the matter under investigation from the Agency or such other person or body.

• (3) Where the disciplinary matter relates to a matter which is the subject of an inquiry in terms of the Inquiries into Fatal Accidents and Sudden Deaths etc. (Scotland) Act 2016 the appropriate Health Board shall refer it under regulation 5 (1) within 28 days of the conclusion of that inquiry.

• (4) Where the disciplinary matter relates to a matter which is the subject of any other proceedings before a court or tribunal, (including any appeal procedures) the appropriate Health Board shall refer it under regulation 5(1) within 28 days of the final conclusion of those proceedings

• (5) Where none of paragraph (2), (3) or (4) applies, the appropriate Health Board shall refer the disciplinary matter under regulation 5(1) within the time limits specified in paragraph (7).

• (6) Where the disciplinary matter concerns an alleged overpayment made to a practitioner pursuant to regulation 4(3), the appropriate Health Board may refer it under regulation 5(1) at any time.

• (7) The time limits referred to in paragraph (5) are–

• (a) in the case of a doctor, pharmacist or pharmacist contractor, 13 weeks after the event or matter which is the subject of the allegation occurred, or 13 weeks after the latest in a series of events or matters which are the subject of the allegation occurred;

• (b) in the case of an ophthalmic medical practitioner or optician, 13 weeks after the event or matter which is the subject of the allegation occurred, or 13 weeks after the latest in a series of events or matters which are the subject matter of the allegation occurred;

• (c) in the case of a dentist or dental body corporate–

• (i) subject to paragraph (8), where the matter concerns the treatment of a patient, either 6 months after the last date of submission ... of the claim forms for that course of treatment to the Practice Board or the Agency on behalf of the Practice Board, or, where the allegation relates to a series of courses of treatment, 6 months after the last date of submission ... of claim forms for the latest course of treatment in that series;

• (ii) subject to paragraph (8), where the matter does not concern the treatment of a patient and is reported to the appropriate Health Board by the Practice Board, 13 weeks after the date on which the matter, or after the latest in a series of matters, came to the notice of the Practice Board;

• (iii) where the matter does not concern the treatment of a patient and comes to the notice of the appropriate Health Board other than by a report from the Practice Board, 13 weeks after the date on which the matter or after the latest in a series of matters came to the notice of the Health Board.

• (8) Where the Practice Board reports a matter to the appropriate Health Board in circumstances in which the time limits mentioned in paragraph (7)(c)(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.

• (9) For the purposes of paragraph (7)(c), “treatment” has the same meaning as in regulation 2(1) of the General Dental Services Regulations.

Investigations by discipline committees

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• (1) A discipline committee shall investigate any matter which is referred to it.

• (2) Schedule 2 shall have effect with respect to the procedure for investigating disciplinary matters under this Part.

Determination of appropriate Health Board

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• (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 2, shall–

• (a) accept as conclusive the findings of fact made by that committee;