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The National Health Service (Performers Lists) (Wales) Regulations 2026

Type Welsh-Statutory-Instrument

Publication 2026-03-03

State In force

Jurisdiction Wales

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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Made: 3 March 2026

Coming into force: 28 March 2026

The Welsh Minsters, in exercise of the powers conferred by sections 49, 63, 115(9), and 203(9) and (10) of the National Health Service (Wales) Act 2006[^f00001], make the following Regulations.

Part 1 — General

Title and coming into force

1

The title of these Regulations is the National Health Service (Performers Lists) (Wales) Regulations 2026 and they come into force on 28 March 2026.

Interpretation

2

In these Regulations—

“the 1983 Act” (“Deddf 1983”) means the Medical Act 1983[^f00002];

“the 2006 Act” (“Deddf 2006”) means the National Health Service (Wales) Act 2006;

“the 2004 Regulations” (“Rheoliadau 2004”) means the National Health Service (Performers Lists) (Wales) Regulations 2004 (S.I. 2004/1020)[^f00003];

“armed forces” (“lluoedd arfog”) means the regular forces within the meaning of the Armed Forces Act 2006[^f00004] or the reserve forces within the meaning of that Act;

“CCT” (“TCH”) means Certificate of Completion of Training awarded under section 34L(1) of the 1983 Act[^f00005] (award and withdrawal of a Certificate of Completion of Training);

“dental list” (“rhestr ddeintyddol”) means a list prepared by a Local Health Board under regulation 4(1) of the National Health Service (General Dental Services) Regulations 1992[^f00006];

“dental performers list” (“rhestr cyflawnwyr deintyddol”) means the list prepared, maintained and published under regulation 3(1)(b);

“dental practitioner” (“ymarferydd deintyddol”) means a person who is registered in the dentists register;

“dentists register” (“cofrestr deintyddion”) means the register referred to in section 14(1) of the Dentists Act 1984[^f00007];

“director” (“cyfarwyddwr”) means— a director of a body corporate, or a member of the body of persons controlling a body corporate (whether or not a limited liability partnership);

“director of a body corporate” (“cyfarwyddwr corff corfforedig”) includes a member of the body of persons controlling a body corporate (whether or not a limited liability partnership);

“Disclosure and Barring Service” (“Gwasanaeth Datgelu a Gwahardd”) means the body established by section 87(1) of the Protection of Freedoms Act 2012[^f00008];

“emergency registered practitioner” (“ymarferydd sydd wedi ei gofrestru mewn argyfwng”) means a medical practitioner— who is registered as a registered medical practitioner under section 18A of the 1983 Act[^f00009] (temporary registration with regard to emergencies involving loss of human life or human illness etc.), who within the period of 5 years prior to being so registered, had been included in a medical performers list, a previous medical performers list, or an equivalent list, and who was subsequently removed from the list referred to in paragraph (b)— in accordance with regulation 16(5) or regulation 10(6) of the 2004 Regulations (removal from performers list) or an equivalent provision in relation to an equivalent list, or on some other ground unconnected with impairment of fitness to practise (for these purposes, impairment is construed in accordance with section 35C(2) of the 1983 Act[^f00010] (functions of the Investigation Committee));

“employment” (“cyflogaeth”) means any employment, whether paid or unpaid, and, except in relation to the definition of a Type 1 armed forces GP, includes— the provision of services under a contract for services, or membership of a partnership;

“equivalent body” (“corff cyfatebol”) means— in relation to Wales, prior to 1 April 2003, a Health Authority; in relation to England— NHS England, prior to 1 April 2013 and after 30 September 2002, a Primary Care Trust, or prior to 1 October 2002, a Health Authority in England, or in relation to Northern Ireland— a Health and Social Care Board, or prior to 1 April 2009, a Health and Social Services Board; in relation to Scotland, a Health Board;

“equivalent list” (“rhestr gyfatebol”) means any list kept by an equivalent body which serves an equivalent function to a health service list;

“equivalent performers list” (“rhestr cyflawnwyr gyfatebol”) means any list kept by a primary care organisation which serves an equivalent function to the relevant performers list;

“the First-tier Tribunal” (“y Tribiwnlys Haen Gyntaf”) means the First-tier Tribunal established under section 3(1) of the Tribunal, Courts and Enforcement Act 2007[^f00011];

“general medical practitioner” (“ymarferydd meddygol cyffredinol”) means a medical practitioner— who is a GP Registrar, or whose name is included in the GP Register;

“GP Register” (“Cofrestr Ymarferwyr Cyffredinol”) means the register kept by virtue of section 34C of the 1983 Act (the General Practitioner Register)[^f00012];

“GP Registrar” (“Cofrestrydd Ymarfer Cyffredinol”) means a medical practitioner who is being trained in general practice by a GP Trainer, whether as part of training leading to a CCT or otherwise;

“GP Trainer” (“Hyfforddwr Ymarfer Cyffredinol”) means a general medical practitioner, other than a GP Registrar, who is approved by the General Medical Council under section 34I(1)(c) of the 1983 Act (postgraduate medical education and training: approvals)[^f00013] for the purposes of providing training to a GP Registrar;

“health service list” (“rhestr gwasanaeth iechyd”) means— a list referred to in section 115(1) of the 2006 Act[^f00014] (national disqualification), a dental list or a medical list, a supplementary list, a services list, or a performers list;

“holder of a list” (“deiliad rhestr”) means the body which keeps a list;

“indemnity arrangement” (“trefniant indemniad”) means an arrangement which may comprise— a policy of insurance, an arrangement made for the purposes of indemnifying a person, or a combination of a policy of insurance and an arrangement made for the purposes of indemnifying a person;

“list” (“rhestr”) means a health service list or an equivalent list;

“medical list” (“rhestr feddygol”) means the list prepared by the Local Health Board under regulation 4 of the National Health Service (General Medical Services) Regulations 1992[^f00015];

“medical performers list” (“rhestr cyflawnwyr meddygol”) means a list of medical performers prepared, maintained and published under regulation 3(1)(a);

“medical practitioner” (“ymarferydd meddygol”) has the meaning given by section 206(1) of the 2006 Act;

“a national disqualification” (“anghymhwysiad cenedlaethol”) means— a decision made by the First-tier Tribunal under section 115(1) of the 2006 Act[^f00016] (national disqualification); a decision made under provisions in force in England, Scotland or Northern Ireland corresponding to section 115 of the 2006 Act;

“the NHS Business Services Authority” (“Awdurdod Gwasanaethau Busnes y GIG”) means the NHS Business Services Authority (Awdurdod Gwasanaethau Busnes y GIG) established as a Special Health Authority by the NHS Business Services Authority (Awdurdod Gwasanaethau Busnes y GIG) (Establishment and Constitution) Order 2005[^f00017];

“the NHS Counter Fraud Authority” (“Awdurdod Gwrth-dwyll y GIG”) means the NHS Counter Fraud Authority established as a Special Health Authority by the NHS Counter Fraud Authority (Establishment, Constitution, and Staff and Other Transfer Provisions) Order 2017[^f00018];

“NHS Resolution” (“NHS Resolution”) means the National Health Service Litigation Authority established as a Special Health Authority by the National Health Service Litigation Authority (Establishment and Constitution) Order 1995[^f00019];

“notice” (“hysbysiad”) means a notice in writing (including electronically);

“originating event” (“digwyddiad cychwynnol”) means the event or events which give rise to— a conviction, investigation or proceedings, or a suspension or disqualification, or removal from, refusal to include in or conditional inclusion in a list;

“performers list” (“rhestr cyflawnwyr”) means a list prepared, maintained and published under regulation 3(1);

“period of emergency” (“cyfnod o argyfwng”) means the period— beginning when the Secretary of State advises the Registrar of the General Medical Council (“the Registrar”) that an emergency of the type described in section 1 of the Civil Contingencies Act 2004[^f00020] (meaning of “emergency”), has occurred, is occurring or is about to occur, and ending when the Secretary of State advises the Registrar that the circumstances that led the Secretary of State to advise the Registrar as mentioned in paragraph (a) no longer exist;

“practitioner” (“ymarferydd”) means a medical practitioner or a dental practitioner;

“previous dental performers list” (“rhestr cyflawnwyr deintyddol flaenorol”) means a list prepared and published under regulation 3(1)(b) of the 2004 Regulations[^f00021];

“previous medical performers list” (“rhestr cyflawnwyr meddygol flaenorol”) means a list prepared and published under regulation 3(1)(a) of the 2004 Regulations;

“previous performers list” (“rhestr cyflawnwyr flaenorol”) means a list prepared and published under regulation 3 of the 2004 Regulations;

“primary care organisation” (“sefydliad gofal sylfaenol”) means— in respect of Wales a Local Health Board, in respect of England NHS England, in respect of Scotland a Health Board, in respect of Northern Ireland a Health and Social Care Board, or such successor bodies to those primary care organisations as may exist;

“primary dental services” (“gwasanaethau deintyddol sylfaenol”) means dental services provided under a contract or agreement to which Part 5 of the 2006 Act[^f00022] (dental services) applies;

“primary medical services” (“gwasanaethau meddygol sylfaenol”) means medical services provided under a contract or an agreement to which Part 4 of the 2006 Act[^f00023] (medical services) applies;

“primary services” (“gwasanaethau sylfaenol”) means, in respect of a medical practitioner, primary medical services and, in respect of a dental practitioner, primary dental services;

“professional conduct” (“ymddygiad proffesiynol”) includes matters relating both to professional conduct and professional performance;

“professional registration number” (“rhif cofrestru proffesiynol”) means— in relation to a medical practitioner, the number against the medical practitioner’s name in the register of medical practitioners, and in relation to a dental practitioner, the number against the dental practitioner’s name in the dentists register;

“register of medical practitioners” (“cofrestr o ymarferwyr meddygol”) has the meaning given to it by section 2(2) of the 1983 Act[^f00024] (registration of medical practitioners);

“regulatory body” (“corff rheoleiddio”) means a body anywhere in the world which regulates or licenses any profession of which the practitioner is or has been a member and includes a body which regulates or licenses the education, training or qualifications of that profession;

“relevant body” (“corff perthnasol”) means, in relation to a practitioner, the body mentioned in section 25(3) of the National Health Service Reform and Health Care Professions Act 2002[^f00025] (regulatory bodies), which regulates the profession of the practitioner;

“relevant performers list” (“rhestr cyflawnwyr berthnasol”) means— in the case of a medical practitioner, a medical performers list, and in the case of a dental practitioner, a dental performers list;

“returning practitioner” (“ymarferydd sy’n dychwelyd”) means a practitioner who was included in a performers list or a previous performers list at any time before making an application for inclusion in a performers list;

“services list” (“rhestr gwasanaethau”) means a list prepared by a Primary Care Trust under regulation 3 of the National Health Service (Personal Medical Services) (Services List) and the (General Medical Services Supplementary List) and (General Medical Services) Amendment Regulations 2003[^f00026];

“Special Health Authority” (“Awdurdod Iechyd Arbennig”) has the meaning given under sections 22 and 206 of the 2006 Act[^f00027];

“supplementary list” (“rhestr atodol”) means a list prepared by a Local Health Board under regulation 3 of the National Health Service (General Medical Services Supplementary List) (Wales) Regulations 2002[^f00028];

“Type 1 armed forces GP” (“ymarferydd cyffredinol Math 1 i’r lluoedd arfog”) means a medical practitioner— who is a member of the armed forces or employed by the Ministry of Defence, and whose name is included in the GP Register;

“Type 2 armed forces GP” (“ymarferydd cyffredinol Math 2 i’r lluoedd arfog”) means a medical practitioner— who is not a Type 1 armed forces GP, whose name is included in the GP Register, and who is engaged under a contract for services specifically for the provision of medical services to members of the armed forces.

Part 2 — General Provisions as to Performers Lists

Performers lists

3

(1) A Local Health Board must prepare, maintain and publish, in accordance with this Part, as modified or supplemented by the relevant Part—

(a) a medical performers list, and

(b) a dental performers list.

(2) Performers lists must be made available for public inspection.

(3) In this regulation, “the relevant Part” means, in relation to medical performers lists, Part 3, and in relation to dental performers lists, Part 4.

Application for inclusion in a performers list

4

(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;

(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[^f00029] (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[^f00030];

(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[^f00031] (fixed penalty: conditional offer by procurator fiscal) or a compensation offer under section 302A of that Act[^f00032] (compensation offer by procurator fiscal) or agreed to pay a penalty under section 115A of the Social Security Administration Act 1992[^f00033] (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[^f00034] (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[^f00035] (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,

(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[^f00036], 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.

Application for inclusion in a performers list by a practitioner already listed in a performers list or an equivalent performers list

5

(1) An application by a practitioner already included in a performers list or an equivalent performers list must be made by sending the Local Health Board an application in writing, which must include the information, undertakings, consents and documentation required by this regulation, and—

(a) in relation to application for inclusion in a medical performers list, satisfy the requirements of regulation 30, and

(b) in relation to an application for inclusion in a dental performers list, satisfy the requirements of regulation 38.

(2) The practitioner must provide the information required by paragraph (2)(a), (b), (c), (g), (i), (j), (k) and (l) of regulation 4.

(3) The practitioner must provide the information and undertakings required by paragraph (3) of regulation 4.

(4) The practitioner must provide the information as required by regulation 4(2)(d) and (e) unless paragraph (6) applies, and the practitioner may instead give their consent under that paragraph.

(5) The practitioner must provide an enhanced criminal record certificate as required by paragraph (2)(m) of regulation 4 unless—

(a) the practitioner is registered with the Disclosure and Barring Service update service and has provided—

(i) all necessary authority and information to allow the Local Health Board to view the practitioner’s online Disclosure and Barring Service certificate status at any time, and

(ii) an undertaking that if the Local Health Board’s Disclosure and Barring Service status check indicates that the practitioner’s enhanced criminal record certificate is no longer current, that the practitioner will provide the Local Health Board with a new enhanced criminal record certificate under section 113B of the Police Act 1997, or

(b) the practitioner has provided a certificate to the primary care organisation with which the practitioner is listed which is dated within 3 years immediately preceding the date upon which the practitioner makes the application under this regulation to the Local Health Board, in which case—

(i) the practitioner must provide the Local Health Board with a certified copy of the original by the primary care organisation on whose list the practitioner is listed, or

(ii) where the practitioner is listed with another Local Health Board, give all necessary authority to enable the Local Health Board to make a request to the Local Health Board the practitioner is listed with to obtain a certified copy of the certificate.

(6) Where the practitioner is already included in the performers list of a Local Health Board, instead of providing the information required by paragraph (4), the practitioner may consent to the release of that information by the Local Health Board the practitioner is currently listed with to the Local Health Board to which the application is being made under this regulation.

(7) The practitioner must send with the application a declaration as required by regulation 4(5) and, where applicable, regulation 4(7) and any requisite details as set out in regulation 4(6) and (8).

(8) Upon receipt of a practitioner’s application made in accordance with this regulation, a Local Health Board must consider the application and notify the practitioner of its decision as to whether—

(a) the practitioner is provisionally included in its performers list (with or without conditions);

(b) the decision on the application is deferred until the Local Health Board has received and considered all the information required under this regulation, or

(9) A practitioner who is provisionally included in a Local Health Board’s performers list under this regulation may perform primary services until the first of the following events arises—

(a) the Local Health Board, after considering the practitioner’s online Disclosure and Barring Service certificate status, or the certified copy of the enhanced criminal record certificate required by paragraph (5), the information and clinical references required by paragraph (4), and the information relating to a general medical practitioner’s medical qualifications required by regulation 30(2) or a dental practitioner’s dental qualifications required by regulation 38(2), notifies the practitioner of its decision to—

(i) include the practitioner in its performers list;

(ii) include the practitioner in its performers list subject to conditions, or

(iii) remove the practitioner from its performers list, or

(b) the end of a period of 3 months, starting on the date on which the Local Health Board receives the application under this regulation from the practitioner.

(10) If the Local Health Board defers their decision under paragraph (8)(b) the Local Health Board must notify the practitioner of the reasons for the deferral within 10 working days of the decision to defer.

(11) The Local Health Board may only defer a decision under paragraph (8)(b) until such time as the Local Health Board receives and considers the practitioner’s online Disclosure and Barring Service certificate status or the certified copy of the enhanced criminal record certificate as required by paragraph (5), the information and clinical references required by paragraph (4), and the information relating to a general medical practitioner’s medical qualifications required by regulation 30(2) or a dental practitioner’s dental qualifications required by regulation 38(2), as appropriate.

(12) The Local Health Board must notify the practitioner as soon as possible that—

(a) the practitioner’s application to be included in its performers list has been successful, or

(b) the Local Health Board has decided to refuse the application or impose conditions on the practitioner’s inclusion and the reasons for that (including any facts relied upon), and any right of appeal under regulation 19.

(13) A practitioner may not withdraw an application made under this regulation whilst a Local Health Board is deciding that application.

Consideration of applications

6

(1) In considering a practitioner’s application for inclusion in a performers list the Local Health Board must—

(a) check all the information and all documents the practitioner has provided under these Regulations;

(b) if the practitioner is not a returning practitioner, check with the NHS Counter Fraud Authority whether it has any record of fraud relating to the practitioner, which information that authority must supply;

(c) if the practitioner is not a returning practitioner, check with NHS Resolution whether it holds any information set out in paragraph (5) relating to the practitioner, which information NHS Resolution must supply;

(d) obtain and consider references from the referees named by the practitioner, where the practitioner is required to name referees under regulation 4(2)(e).

(2) If the Local Health Board cannot reach a decision on a practitioner’s application based on the information or documentation provided by the practitioner, it may seek from the practitioner such further information, references or other documentation as it may reasonably require in order to make a decision and the practitioner must provide that material.

(3) Where it appears to the Local Health Board that it may assist its consideration of any information or documentation provided under regulation 4(2) or any declaration made under paragraph (5) or (7) of that regulation, the Local Health Board may request further information from any of the following—

(a) any current employer or former employer of the practitioner;

(b) any body corporate;

(d) any regulatory or other body;

provided that person is involved in the matter which is the subject of the information, declaration or other documentation provided by the practitioner.

(4) Where the Local Health Board has made a request under paragraph (3), the practitioner must consent to the provision of information in response to that request.

(5) The information referred to in paragraph (1)(c) is—

(a) any information received by NHS Resolution following a notification by a Local Health Board under regulation 21(1) (notification),

(b) any finding made by NHS Resolution about the standard of practice or professional conduct of the relevant practitioner, other than a finding that relates only to a compensation claim, and

(c) any information held by NHS Resolution relating to a Health Professional Alert Notice that has been issued in respect of the relevant practitioner and has not been revoked.

(6) In paragraph (5)(c) a “Health Professional Alert Notice” means a notice issued in accordance with the National Health Service Litigation Authority Directions 2013[^f00037] stating that a named individual poses a significant risk of harm to patients, staff or the public and is likely to seek work in the NHS.

Readmission

7

(1) Where a practitioner has been removed from a performers list by a Local Health Board on the grounds that the practitioner has been convicted of a criminal offence, and that conviction is overturned on appeal, that Local Health Board may agree to include the practitioner in its performers list without the need for the practitioner to provide an application that complies with all, or any particular provision, of regulation 4 and, as the case may be, regulation 29, 30, 37 or 38, if the Local Health Board—

(a) is satisfied that there are no other matters that need to be considered, and

(b) has received an undertaking from the practitioner to comply with the requirements of these regulations.

(2) In a case to which paragraph (1) applies, if the conviction is reinstated on a further appeal, the previous determination of the Local Health Board to remove that practitioner from its performers list will once again have effect.

Decisions and grounds for refusal

8

(1) A Local Health Board—

(a) may refuse to include a practitioner in a performers list on the grounds set out in paragraph (2);

(b) must refuse to include a practitioner in a performers list on the grounds set out in paragraph (4).

(2) The grounds on which the Local Health Board may refuse to include a practitioner in a performers list are, in addition to those prescribed in the relevant Part, that—

(a) it considers the practitioner is unsuitable to be included in its performers list having considered the information and documentation provided under regulation 4(2) and—

(i) in the case of a medical practitioner, regulations 29 and 30, and

(ii) in the case of a dental practitioner, regulations 37 and 38,

(b) having considered any declaration required by regulation 4(5) and (if applicable) regulation 4(7), and any information provided under regulation 4(6) or (8) in connection with any such declaration, and any other information or documents in its possession relating to the practitioner, it considers that the practitioner is unsuitable to be included in a performers list,

(c) having obtained references from the referees named by the practitioner, where the practitioner is required to name referees under regulation 4(2)(e), it is not satisfied with those references,

(d) having checked with the NHS Counter Fraud Authority for any facts that the Local Health Board considers relevant relating to past or current fraud investigations involving or relating to the practitioner, and having considered these and any other facts in its possession relating to such matters, it considers that the practitioner is unsuitable to be included in a performers list,

(e) the practitioner has been convicted in the United Kingdom of any criminal offence (other than murder), committed on or after the date prescribed in the relevant Part, and has been sentenced to a term of imprisonment (whether suspended or not) of over 6 months,

(f) having checked with NHS Resolution for any facts that the Local Health Board considers relevant relating to past or current investigations or proceedings involving or related to the practitioner and, having considered these and any other facts in its possession involving or relating to the practitioner, the Local Health Board considers that the practitioner is unsuitable to be included in a performers list, or

(g) it considers that there are reasonable grounds for concluding that including the practitioner in a performers list would be prejudicial to the efficiency of the services, which those included in that performers list perform.

(3) Where a Local Health Board is considering a refusal of a practitioner’s application under a ground contained in paragraph (2) it must, in particular, take into consideration—

(a) the nature of any matter in question,

(b) the length of time since that matter and the events giving rise to it occurred,

(d) the relevance of that matter to the practitioner’s performance of the services which those included in the relevant performers list perform, and any likely risk to the practitioner’s patients or to public finances,

(e) whether any offence was a sexual offence for the purposes of Part 2 of the Sexual Offences Act 2003[^f00038] (sexual offences), or which if it had been committed in England and Wales, would have been such an offence,

(f) whether, in respect of any list, the practitioner—

(i) was refused inclusion in it,

(ii) was included subject to conditions,

(iii) was removed from it, or

(iv) is currently suspended from it,

and, if so, the facts relating to the matter which led to such action together with the reasons given by the holder of the list, and

(g) whether, in respect of any list, the practitioner was at the time of the originating event or in the 6 months preceding that event, a director of a body corporate, which—

(i) was refused inclusion in it,

(ii) was included in it subject to conditions,

(iii) was removed from it, or

(iv) is currently suspended from it,

and, if so, the facts relating to that event and the reasons given for such action by the holder of the list.

(4) The grounds on which a Local Health Board must refuse to include a practitioner in its performers list are, in addition to any prescribed in the relevant Part, that—

(a) the practitioner has not provided satisfactory evidence that the practitioner intends to perform the services which those included in that performers list perform, in its area;

(b) it is not satisfied that the practitioner has sufficient knowledge of the English language necessary for the work which those included in that performers list perform;

(d) the practitioner is subject to a national disqualification which disqualifies the practitioner from inclusion in that performers list;

(e) in a case to which regulation 10(4) applies, the practitioner has not updated the practitioner’s application in accordance with the requirements of that regulation;

(f) in a case to which regulation 12(5) applies, the practitioner has not given the notification and undertaking required by that regulation;

(g) in a case to which regulation 19(5) applies, the practitioner has not notified the Local Health Board under that regulation that the practitioner wishes to be included in its performers list subject to its conditions.

(5) Paragraph (4)(a) does not apply in the case of a Type 1 armed forces GP or a Type 2 armed forces GP.

(6) Where a Local Health Board has made a decision on a practitioner’s application for inclusion in a performers list, it must notify the practitioner within 7 days of—

(a) its decision, and

(b) if it has decided not to include the practitioner, the reasons for that decision (including any facts relied upon) and the practitioner’s right of appeal under regulation 19.

(7) Where a Local Health Board notifies a practitioner under paragraph (6)(b), it must—

(a) notify the practitioner that the right of appeal must be exercised within the period of 28 days beginning with the date of the notification of that decision, and

(b) tell the practitioner how to exercise that right.

Removal of a returning practitioner after delayed checks

9

(1) This regulation applies where a Local Health Board has decided to include a returning practitioner in a performers list.

(2) A Local Health Board must remove the returning practitioner from its performers list at the end of the period of 3 months beginning with the date of the decision to include them in the list, unless a Local Health Board has before the end of that period—

(a) carried out the checks referred to in regulation 6(1)(b) and (c) that would apply to any other practitioner, and

(b) obtained from the returning practitioner any further information it has sought under regulation 6(2).

(3) A Local Health Board must remove the returning practitioner from its performers list—

(a) if the checks and information referred to in paragraph (2) lead to the disclosure of new information to a Local Health Board, and

(b) if a Local Health Board, if it had received that information before deciding to include the returning practitioner in its performers list, it would have refused to include the returning practitioner in its performers list in accordance with regulation 8.

Deferment of decision on application

10

(1) A Local Health Board may defer a decision on a practitioner’s application to be included in a performers list, where—

(a) there are, in respect of the practitioner—

(i) criminal proceedings in the United Kingdom, or

(ii) proceedings elsewhere in the world relating to conduct, which, if it had occurred in the United Kingdom, would constitute a criminal offence and if those proceedings resulted in a conviction or the equivalent of a conviction that would, if the practitioner were at that time included in a performers list, be likely to lead to the practitioner’s removal from it;

(b) there are, in respect of a body corporate of which the practitioner is, has in the preceding 6 months been, or was at the time of the originating event, a director—

(i) criminal proceedings in the United Kingdom, or

(ii) proceedings elsewhere in the world relating to conduct, which, if it had occurred in the United Kingdom, would constitute a criminal offence and, if those proceedings resulted in a conviction or the equivalent of a conviction that would, if the practitioner were at that time included in a performers list, be likely to lead to the practitioner’s removal from it;

(c) there is any investigation anywhere in the world by any regulatory or other body relating to the practitioner which, if adverse to the practitioner, would, if the practitioner were at that time included in a performers list, be likely to lead to the practitioner’s removal from it;

(d) the practitioner is suspended from any list;

(e) a body corporate of which the practitioner is, has in the preceding 6 months been, or was at the time of the originating event, a director, is suspended from any list;

(f) the practitioner has appealed to the First-tier Tribunal against a decision to refuse to include the practitioner, or to include the practitioner subject to conditions in any list, or to remove the practitioner from any list, and if that appeal is unsuccessful it would, if the practitioner were at that time included in a performers list, be likely to lead to the practitioner’s removal from it;

(g) a body corporate of which the practitioner is, has in the preceding 6 months been, or was at the time of the originating event, a director, has appealed to the First-tier Tribunal against a decision to refuse to include the body corporate or to include it subject to conditions in any list or to remove it from any list, and if that appeal is unsuccessful, it would, if the practitioner were at that time included in a performers list, be likely to lead to the practitioner’s removal from it;

(h) the practitioner is being investigated by the NHS Counter Fraud Authority in relation to fraud, where, if the result included a finding adverse to the practitioner it would, if the practitioner were at that time included in a performers list, be likely to lead to the practitioner’s removal from it;

(i) a body corporate, of which the practitioner is, has in the preceding 6 months been, or was at the time of the originating event a director, is being investigated in relation to any fraud, where if the result included a finding adverse to the body corporate it would, if the practitioner were at that time included in a performers list, be likely to lead to the practitioner’s removal from it;

(j) the First-tier Tribunal is considering an application from a Local Health Board for a national disqualification of the practitioner or a body corporate of which the practitioner is, has in the preceding 6 months been, or was at the time of the originating event, a director.

(2) Within 7 days of the date of a decision under paragraph (1), a Local Health Board must notify the practitioner in writing of that decision and the reasons for it.

(3) The Local Health Board may only defer a decision under paragraph (1) until the outcome of the matter in question is known or any suspension under sub-paragraph (d) or (e) of that paragraph has ended.

(4) Once the outcome of the matter in question is known or any suspension has ended (as the case may be), the Local Health Board must notify the practitioner that the practitioner must, within 28 days of the date of the notification—

(a) confirm in writing that the practitioner wishes to proceed with the practitioner’s application, and

(b) if the practitioner wishes to proceed, provide any additional information required.

(5) Provided any confirmation and additional information has been received within the period of 28 days referred to in paragraph (4), the Local Health Board must—

(a) make a decision in accordance with regulation 8 and regulation 31(1) or 39(1) or (2) (as the case may be) as to whether or not to grant the practitioner’s application to be included in its performers list; or

(b) consider whether to impose conditions on the practitioner’s inclusion in its performers list in accordance with regulation 12.

(6) Where, under paragraph (5), the Local Health Board decides to grant or refuse the practitioner’s application, paragraphs (6) and (7) of regulation 8 apply as if there had been no deferment.

Requirements with which a practitioner included in a performers list must comply

11

(1) Where a practitioner is included in a performers list, the practitioner must comply with the requirements applicable to the practitioner under this regulation.

(2) A practitioner must make a declaration to the Local Health Board during each reporting period confirming that they continue to perform services that are regulated under regulation 27 or regulation 35, as the case may be.

(3) The reporting periods in paragraph (2) are—

(a) the period beginning with 1 April 2026 and ending with 31 March 2027, and

(b) each subsequent period of 12 months.

(4) The practitioner must make a declaration to the Local Health Board if the practitioner—

(a) is convicted of a criminal offence in the United Kingdom,

(b) is bound over following a criminal conviction in the United Kingdom,

(d) has accepted a conditional offer under section 302 of the Criminal Procedure (Scotland) Act 1995 (fixed penalty: conditional offer by procurator fiscal) or a compensation offer under section 302A of that Act (compensation offer by procurator fiscal) or agreed to pay a penalty under section 115A of the Social Security Administration Act 1992 (penalty as alternative to prosecution),

(e) 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 (admonition and absolute discharge) discharging the practitioner absolutely,

(f) is convicted elsewhere of an offence which would constitute a criminal offence if committed in England and Wales,

(g) is charged in the United Kingdom with a criminal offence, or is charged elsewhere with an offence which, if committed in England and Wales, would constitute a criminal offence,

(h) is involved in an inquest as an interested person within the meaning of section 47(2)(f) (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) of the Coroners and Justice Act 2009,

(i) is informed by any regulatory or other body of the outcome of any investigation which includes a finding adverse to the practitioner,

(j) becomes the subject of any investigation by any regulatory or other body,

(k) becomes the subject of any investigation in respect of any current or previous employment, or is informed of the outcome of any such investigation, which includes a finding adverse to the practitioner,

(l) becomes to the practitioner’s knowledge the subject of any investigation by the NHS Counter Fraud Authority in relation to fraud, or is informed of the outcome of such an investigation which includes a finding adverse to the practitioner,

(m) becomes the subject of any investigation by the holder of any list which could lead to the practitioner’s removal from the list,

(n) is removed or suspended from, refused inclusion in, or included subject to conditions in, any list, or

(o) becomes subject to a national disqualification.

(5) A declaration regarding any matter under paragraph (4) is to be in writing, given within 7 days of its occurrence and is to include—

(a) an explanation of the facts giving rise to that matter, including 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, and

(b) copies of any relevant documents.

(6) A practitioner must make a declaration to the Local Health Board if the practitioner is, has in the preceding 6 months been, or was at the time of the originating event, a director of a body corporate that—

(a) is convicted of a criminal offence in the United Kingdom,

(b) is convicted elsewhere of an offence which would constitute a criminal offence if committed in England and Wales,

(c) is charged in the United Kingdom with a criminal offence, or is charged elsewhere with an offence which, if committed in England and Wales, would constitute a criminal offence,

(d) is informed by any regulatory or other body of the outcome of any investigation which includes a finding adverse to the body corporate,

(e) becomes the subject of any investigation by any regulatory or other body,

(f) becomes the subject of any investigation in relation to fraud, or is informed of the outcome of any such investigation, which includes a finding adverse to the body corporate,

(g) becomes the subject of any investigation by the holder of any list which might lead to its removal from that list,

(h) is removed or suspended from, refused inclusion in or included subject to conditions in, any list,

(i) is involved in an inquest as an interested person within the meaning of section 47(2)(f) (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) of the Coroners and Justice Act 2009, or

(j) becomes subject to a national disqualification.

(7) A declaration regarding any matter under paragraph (6) is to be in writing, given within 7 days of its occurrence and is to include—

(a) the name and registered address of the body corporate,

(b) an explanation of the facts giving rise to that matter, including 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, and

(8) Where it appears to the Local Health Board that it may assist its consideration of any declaration made under paragraph (4) or (6) to do so, the Local Health Board may request further information from any of the following—

(a) any current or former employer of the practitioner;

(b) any body corporate;

(d) any regulatory or other body

provided that person is involved in the matter which is the subject of the declaration.

(9) Where a Local Health Board has made a request under paragraph (8), the practitioner must consent to the provision of information in response to that request.

(10) Where a Local Health Board reasonably requests it, a practitioner must supply that Local Health Board with an enhanced criminal record certificate under section 113B of the Police Act 1997 (enhanced criminal record certificates) which includes suitability information relating to children and suitability information relating to vulnerable adults under sections 113BA and 113BB of that Act respectively and which is dated after the date of the Local Health Board’s request.

(11) Where a Local Health Board reasonably requests it, if the practitioner has never resided in the United Kingdom, the practitioner must supply—

(a) a certificate issued by an authority of the country in which they are currently residing which is equivalent to an enhanced criminal record certificate, or

(b) 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.

(12) A practitioner must comply with any undertaking given pursuant to the practitioner’s application for inclusion in any performers list, previous performers list, or any list from which the practitioner has transferred under Schedule 1 to the 2004 Regulations[^f00039] or the Schedule to the National Health Service (Performers Lists) (Wales) (Amendment) Regulations 2006[^f00040].

(13) A practitioner must participate in any appraisal system provided on behalf of the Local Health Board with which they are listed, except where the relevant provision provides otherwise, and send the Local Health Board a copy of the statement summarising that appraisal.

(14) The requirement in paragraph (13) does not apply in the case of a Type 1 armed forces GP, but a Type 1 armed forces GP 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.

(15) A practitioner must comply with any conditions imposed by the Local Health Board or the First-tier Tribunal on the practitioner’s inclusion in a performers list under regulation 12, 13, 14, 18 or 19.

Conditions

12

(1) Where the Local Health Board considers it appropriate for the purpose of preventing any prejudice to the efficiency of the services which those included in a performers list perform or for the purpose of preventing fraud, it may impose conditions on a practitioner’s—

(a) initial inclusion in a performers list, or

(b) continued inclusion in such a list.

(2) Where the Local Health Board is considering imposing conditions under paragraph (1)(b) it must give the practitioner—

(a) notice of any allegation against the practitioner,

(b) notice of what action it is considering and on what grounds,

(c) the opportunity to make representations to it within a period of 28 days of the date of the notification under sub-paragraph (b), and

(d) the opportunity to put the practitioner’s case at an oral hearing before it, if the practitioner so requests, within the 28 day period mentioned in sub-paragraph (c).

(3) After consideration of any representations made under paragraph (2)(c) and any oral hearing held under paragraph (2)(d), the Local Health Board must—

(a) decide whether or not to impose conditions on the practitioner’s inclusion in its performers list, and

(b) within 7 days of making that decision, notify the practitioner of—

(i) that decision and the reasons for it (including any facts relied upon),

(ii) any right of review under regulation 18, and

(iii) any right of appeal under regulation 19.

(4) Where the Local Health Board notifies a practitioner under paragraph (3)(b)(iii) it must also inform the practitioner—

(a) that the right of appeal must be exercised within the period of 28 days beginning with the date of the notification of that decision, and

(b) how to exercise any such right.

(5) Where the Local Health Board decides to impose conditions under paragraph (1)(a), the practitioner must, within 28 days of the date of notification of the decision—

(a) notify the Local Health Board whether the practitioner wishes to be included in the performers list subject to those conditions, and

(b) provide an undertaking that the practitioner will comply with the conditions specified (if the practitioner does so wish).

Failure to comply with conditions

13

(1) If the Local Health Board determines that a practitioner has failed to comply with any conditions imposed under regulation 12, it may—

(a) vary all or any of the conditions imposed,

(b) impose new conditions, or

(2) Where the Local Health Board makes a decision under paragraph (1)(a) or (b) it must notify the practitioner of—

(a) that decision and the reasons for it (including any facts relied upon),

(b) the right of review under regulation 18, and

Suspension

14

(1) If a Local Health Board is satisfied that it is necessary to do so for the protection of patients or members of the public or that it is otherwise in the public interest, it may suspend a practitioner from its performers list—

(a) while the Local Health Board decides whether or not to exercise its powers to—

(i) impose conditions on the practitioner’s inclusion in a performers list under regulation 12, or

(ii) remove the practitioner under regulation 13(1)(c), 16(3) or (5), 18(3)(c), (4)(c) or (5)(c), or 19(7)(b),

(b) while it awaits—

(i) the outcome of any criminal or regulatory investigation affecting the practitioner;

(ii) a decision of a court anywhere in the world, or of any regulatory body, affecting the practitioner,

(d) pending an appeal under these Regulations.

(2) The Local Health Board must suspend a practitioner from a performers list if the practitioner’s registration—

(a) in the register of medical practitioners is subject to an interim suspension order made under section 41A of the 1983 Act[^f00041];

(b) in the dentists register is subject to an interim suspension order made under section 32 of the Dentists Act 1984[^f00042].

(3) A suspension under paragraph (2) will cease to have effect on the date that the interim suspension order referred to in that paragraph ends.

(4) Where the Local Health Board suspends a practitioner under paragraph (2) it must notify the practitioner of the suspension and the reason for it.

(5) Where the Local Health Board is considering suspending a practitioner under paragraph (1), unless paragraph (9) applies (suspension with immediate effect) it must give the practitioner—

(a) notice of any allegation against the practitioner;

(b) notice of what action it is considering and on what grounds, and

(c) the opportunity to put the practitioner’s case at an oral hearing before it, on a specified day, provided that at least 2 working days’ notice of the hearing is given (beginning with the day on which the notice is given).

(6) Where a practitioner does not wish to have an oral hearing under paragraph (5)(c) or does not attend one, the Local Health Board may suspend the practitioner with immediate effect.

(7) If an oral hearing does take place, the Local Health Board must take into account any representations made before it reaches its decision, and the Local Health Board may—

(a) suspend the practitioner with immediate effect, or

(b) if the practitioner agrees to conditions proposed by the Local Health Board which are to apply during a period described in paragraph (1), allow the practitioner to resume practice subject to those conditions until that period ends.

(8) Where the Local Health Board suspends a practitioner in a case falling within paragraph (1)(a) or (b), it must notify the practitioner of the right of review under regulation 18.

(9) Where the Local Health Board considers it necessary to do so for the protection of patients or members of the public or that it is otherwise in the public interest, it may determine that a suspension under paragraph (1) is to have immediate effect without undertaking the steps specified in paragraph (5).

(10) When a practitioner is suspended in accordance with paragraph (9)—

(a) the Local Health Board must immediately notify the practitioner of its decision, the reasons for it and the allegations against the practitioner;

(b) the Local Health Board must review its decision before the end of the next working day following the day on which its decision was made;

(i) notice of what further action it is considering and on what grounds, and

(ii) the opportunity to put the practitioner’s case at an oral hearing before it, on a specified day, provided that at least 2 working days’ notice of the hearing is given (beginning with the day on which the notice is given).

(11) If a decision to suspend a practitioner in accordance with paragraph (9) is not reviewed in accordance with paragraph (10)(b), the suspension will cease to have effect on the expiry of the period mentioned in that paragraph.

(12) Where a practitioner does not wish to have an oral hearing under paragraph (10)(c)(ii) or does not attend one, the Local Health Board may confirm or revoke the suspension.

(13) If an oral hearing under paragraph (10)(c)(ii) does take place, the Local Health Board must take into account any representations made before it reaches its decision, and the Local Health Board may—

(a) confirm or revoke the suspension, or

(b) if the practitioner agrees to conditions proposed by the Local Health Board which are to apply during a period described in paragraph (1), allow the practitioner to resume practice subject to those conditions until that period ends.

(14) Where the Local Health Board decides to confirm a suspension under paragraph (12) or (13)(a) the Local Health Board must notify the practitioner of—

(a) its decision and the right of review under regulation 18, immediately, and

(b) the reasons for it (including any facts relied upon) within 7 days of the decision.

(15) Subject to paragraph (22), in a case falling within paragraph (1)(a) or (b), the Local Health Board must specify a period, not exceeding 6 months, as the period of suspension (“the initial period of suspension”).

(16) In a case falling within—

(a) paragraph (1)(b)(i), after the outcome of the investigation referred to in that paragraph is known, the Local Health Board may specify that the practitioner remains suspended for an additional period of time so long as the aggregate of the initial and additional period of suspension does not exceed 6 months;

(b) paragraph (1)(b)(ii), after the decision referred to in that paragraph has been made, the Local Health Board may specify that the practitioner remains suspended for an additional period so long as the aggregate of the initial and additional period of suspension does not exceed 6 months.

(17) Where the Local Health Board specifies under paragraph (16) that the practitioner should remain suspended for an additional period, it must immediately notify the practitioner of this.

(18) Subject to paragraph (22), the Local Health Board may extend the initial period of suspension under paragraph (15) or impose a further period of suspension under paragraph (16), so long as the aggregate does not exceed 6 months.

(19) Any period of suspension referred to in paragraph (16)(a) or (b) may be extended beyond 6 months if—

(a) on the application of the Local Health Board, the First-tier Tribunal so orders, or

(b) the Local Health Board has applied to the First-tier Tribunal under sub-paragraph (a) before the expiry of the initial period of suspension but the First-tier Tribunal has not made an order by the time that initial period expires, in which case the period of suspension continues until the First-tier Tribunal makes an order.

(20) If the First-tier Tribunal makes an order in accordance with paragraph (19)(a), it must specify—

(a) a date on which the period of suspension is to end,

(b) an event beyond which it is not to continue, or

(21) The First-tier Tribunal may, on the application of the Local Health Board, make a further order (complying with paragraph (20)) at any time while the period of suspension pursuant to its earlier order is continuing.

(22) A suspension under paragraph (1)(a) remains effective after the Local Health Board has made a decision to exercise its powers to remove the practitioner from a performers list under regulation 13(1)(c), 16(3) or (5), 18(3)(c), (4)(c) or (5)(c) or 19(7)(b) until the decision for the removal of the practitioner takes effect.

(23) If the Local Health Board suspends a practitioner in a case falling within paragraph (1)(c) or (d), the suspension has effect until—

(a) in a case falling within paragraph (1)(c), the decision takes effect, or

(b) in a case falling within paragraph (1)(d), the First-tier Tribunal has disposed of the appeal.

(24) If the Local Health Board is in possession of evidence that revoking a suspension imposed under paragraph (1) will not compromise the protection of patients or members of the public or the public interest, the Local Health Board may at any time revoke that suspension with immediate effect and notify the practitioner of its decision.

(25) Subject to paragraph (27), whilst suspended under these Regulations, a practitioner is to be treated as not being included in a performers list, even though the practitioner appears in it.

(26) Nothing in paragraph (25) prevents a practitioner from being removed from a performers list under regulation 13(1)(c), 16 or 19(7)(b).

(27) For the purpose of an application by a practitioner who is suspended under these Regulations to be included in another performers list, that practitioner is to be treated as still included in the list from which the practitioner is suspended, notwithstanding that suspension.

Payments during suspension

15

(1) A practitioner may apply to the Local Health Board before the end of the period of 90 days beginning with the date on which a decision to suspend them was made under regulation 14 for payments during the period of suspension.

(2) During a period of suspension under regulation 14, payments may be made by the Local Health Board to or in respect of a practitioner in accordance with a determination by the Welsh Ministers where the practitioner has made an application in accordance with paragraph (1).

(3) If such a payment is made but the practitioner was not entitled to receive all or any part of it, the amount to which the practitioner was not entitled (“the overpayment”) may be recovered by the Local Health Board as a civil debt.

(4) Where requested by a practitioner to do so, the Local Health Board must reconsider any decision—

(a) to refuse to make a payment to, or in respect of, the practitioner under paragraph (2),

(b) as to the amount of a payment to, or in respect of, the practitioner under paragraph (2), or

(5) A request by the practitioner under paragraph (4) must be made before the end of the period of 28 days beginning with the day on which the decision was notified to the practitioner.

(6) Following the reconsideration of such a decision the Local Health Board must notify the practitioner in writing of the outcome of its reconsideration (“the reconsidered decision”) together with the reasons for it.

(7) Following notification of the reconsidered decision, the practitioner may, within a period of 28 days beginning on the day on which the practitioner is notified of that reconsidered decision, give the Welsh Ministers a notice of appeal.

(8) A notice of appeal under paragraph (7) must include—

(a) the name and address of the practitioner,

(b) a contact name and address to be used by the Local Health Board for the purposes of the appeal,

(d) a brief statement of the grounds for appeal.

(9) The Welsh Ministers must thereafter send a written request to the practitioner and the Local Health Board (“the parties”) to make, in writing and within a specified period, any representations they may wish to make about the matter: the request to the Local Health Board must include a copy of the practitioner’s brief statement of the grounds for appeal.

(10) Once the period specified under paragraph (9) has elapsed, the Welsh Ministers must—

(a) give a copy of any representations received from each party to the other party, and

(b) request that each party make any written observations which that party wishes to make on the representations of the other party.

(11) The Welsh Ministers must, as soon as is reasonably practicable, having taken into account any such representations or observations as referred to in paragraphs (9) and (10) and such other evidence as the Welsh Ministers see fit—

(a) decide the appeal, and notify the parties of their decision and the reasons for it, and

(b) give the Local Health Board such directions in writing, if any, on the matter as the Welsh Ministers thinks fit.

Removal from a performers list

16

(1) The Local Health Board must remove a practitioner from its performers list where the grounds in regulations 32(1) or 40(1) apply or where it becomes aware that the practitioner—

(a) has been convicted in the United Kingdom of murder,

(b) has been convicted in the United Kingdom of a criminal offence, committed on or after the date prescribed in the relevant Part, and has been sentenced to a term of imprisonment (whether suspended or not) of over 12 months,

(c) is subject to a national disqualification which disqualifies the practitioner from inclusion in the performers list in question,

(d) has died, or

(e) is no longer registered with the practitioner’s relevant body.

(2) Where a Local Health Board is notified by the First-tier Tribunal that it has considered an appeal by a practitioner against conditions imposed under regulation 12 and has decided to remove the practitioner instead, the Local Health Board must—

(a) remove the practitioner from its performers list, and

(b) immediately notify the practitioner that it has done so.

(3) The Local Health Board may remove a practitioner from its performers list where any of the following is satisfied—

(a) the practitioner has been convicted in the United Kingdom of a criminal offence (other than murder), committed on or after the date prescribed in the relevant Part, and has been sentenced to a term of imprisonment (whether suspended or not) of between 6 and 12 months,

(b) the practitioner’s continued inclusion in that performers list would be prejudicial to the efficiency of the services which those included in that performers list perform (“an efficiency case”),

(i) has (whether on the practitioner’s own or together with another person) by an act or omission caused, or risked causing, detriment to any health scheme by securing or trying to secure for the practitioner or another person any financial or other benefit, and

(ii) knew that the practitioner or the other person was not entitled to the benefit (“a fraud case”), or

(d) the practitioner is unsuitable to be included in that performers list (“an unsuitability case”).

(4) For the purposes of paragraph (3)(c)—

(a) the following are “health schemes”—

(i) the services included in the definition of “health scheme” in section 107(7) of the 2006 Act (disqualification of practitioners),

(ii) health services, including medical and surgical treatment, provided by the armed forces,

(iii) services provided by Port Health Authorities constituted under the Public Health (Control of Disease) Act 1984[^f00043],

(iv) medical services provided to a prisoner in the care of the medical officer or other officer of a prison appointed for the purposes of section 7 of the Prison Act 1952[^f00044], and

(v) publicly-funded health services provided by or on behalf of any organisation anywhere in the world, and

(b) a practitioner must be treated as meeting the conditions referred to if—

(i) another person, because of an act or omission of that person in the course of providing on the practitioner’s behalf any services which those included in the relevant performers list perform, meets that condition, and

(ii) the practitioner failed to take all such steps as were reasonable to prevent acts or omissions falling within paragraph (3)(c)(i) occurring in the course of the provision of those services on the practitioner’s behalf.

(5) Where a practitioner cannot demonstrate that the practitioner has performed the services, which those included in the relevant performers list perform, within the area of the Local Health Board during the preceding 12 months, the Local Health Board may remove the practitioner from its performers list.

(6) Paragraph (5) does not apply in the case of a Type 1 armed forces GP or a Type 2 armed forces GP.

(7) In calculating the period of 12 months referred to in paragraph (5), the following periods, in addition to any periods disregarded under regulations 32(4) and 40(4), are to be disregarded—

(a) any period during which the practitioner was suspended under these Regulations;

(b) any period during which the practitioner was performing whole-time service in the armed forces in a national emergency (as a volunteer or otherwise), compulsory whole-time service in the armed forces (including service resulting from reserve liability), or any equivalent service, if liable for compulsory whole-time service in the armed forces, or

(8) Where a Local Health Board is considering removing a practitioner from its performers list under paragraph (3) or (5) or regulation 13(1)(c) or 19(7)(b), it must give the practitioner—

(a) notice of any allegation against the practitioner;

(b) notice of what action the Local Health Board is considering and on what grounds;

(c) the opportunity to make written representations to the Local Health Board within a period of 28 days of the date of the notification under sub-paragraph (b), and

(d) the opportunity to put the practitioner’s case at an oral hearing before the Local Health Board, if the practitioner so requests, within the 28 day period mentioned in sub-paragraph (c).

(9) After consideration of any representations made under paragraph (8)(c) and any oral hearing held under paragraph (8)(d), the Local Health Board must decide whether to remove the practitioner and, within 7 days of making that decision, notify the practitioner of—

(a) that decision and the reasons for it (including any facts relied upon), and

(b) any right of appeal under regulation 19;

(10) When the Local Health Board notifies a practitioner under paragraph (9)(b), it must—

(a) notify the practitioner that the right of appeal must be exercised within the period of 28 days beginning with the date of the issue of that notification, and

(b) tell the practitioner how to exercise any such right.

(11) Where the Local Health Board decides to remove a practitioner from its performers list under paragraph (3) or (5) or regulation 13(1)(c), 18(3)(c), (4)(c) or (5)(c), or 19(7)(b), the practitioner must not be removed from its performers list until the later of—

(a) the expiry of a period of 28 days starting with the day on which the Local Health Board reaches its decision, and

(b) the date on which any appeal is disposed of by the First-tier Tribunal.

Criteria for a decision on removal

17

(1) Where a Local Health Board is considering whether to remove a practitioner from its performers list under regulation 16(3)(b) (“an efficiency case”), it must consider—

(a) any information relating to the practitioner which it has received under regulation 11,

(b) any information held by the NHS Resolution about past or current investigations or proceedings involving or relating to that practitioner which information that authority must supply if the Local Health Board so requests, and

(2) The matters referred to in paragraph (1) are—

(a) the nature of any incident which was prejudicial to the efficiency of the services, which the practitioner performed,

(b) the length of time since the last incident occurred and since any investigation into it was concluded,

(c) any action taken by any regulatory or other body (including the police or the courts) as a result of any such incident,

(d) the relevance of the incident to the practitioner’s performance of the services which those included in the relevant performers list perform, and the likely risk to patients or to public finances,

(e) whether the practitioner has ever failed to comply with a request to undertake an assessment by NHS Resolution or any of its predecessor bodies,

(f) whether the practitioner has previously failed to supply information, make a declaration or comply with an undertaking required on inclusion in a performers list or previous performers list,

(g) whether, in respect of any list, the practitioner—

(i) was refused inclusion in it,

(ii) was included in it subject to conditions,

(iii) was removed from it, or

(iv) is currently suspended from it,

and, if so, the facts relating to the incident which led to such action and the reasons given for such action by the holder of the list and

(h) whether, in respect of any list, the practitioner was at the time of the originating event or in the 6 months preceding that event, a director of a body corporate, which—

(i) was refused inclusion in it,

(ii) was included in it subject to conditions,

(iii) was removed from it, or

(iv) is currently suspended from it,

and, if so, the facts relating to the incident which led to such action and the reasons given for such action by the holder of the list.

(3) Where a Local Health Board is considering whether to remove a practitioner from its performers list under regulation 16(3)(c) (a “fraud case”) it must consider—

(a) any information relating to the practitioner which it has received under regulation 11,

(b) any information held by NHS Resolution about past or current investigations or proceedings involving or related to that practitioner, which information that authority must supply if the Local Health Board so requests,

(c) any information held by the NHS Counter Fraud Authority about past or current investigations or proceedings involving or relating to that practitioner, which information that authority must supply if the Local Health Board so requests, and

(d) the matters set out in paragraph (4).

(4) Those matters are—

(a) the nature of any incident of fraud,

(b) the length of time since the last incident of fraud occurred, and since any investigation into it was concluded,

(d) the relevance of any investigation into an incident of fraud to the practitioner’s performance of the services which those included in the relevant performers list perform, and the likely risk to patients or to public finances,

(e) whether, in respect of any list, the practitioner—

(i) was refused inclusion in it,

(ii) was included in it subject to conditions,

(iii) was removed from it, or

(iv) is currently suspended from it;

and, if so, the facts relating to the incident which led to such action and the reasons given for such action by the holder of the list, and

(f) whether, in respect of any list, the practitioner was at the time of the originating event or in the 6 months preceding that event, a director of a body corporate, which—

(i) was refused inclusion in it,

(ii) was included in it subject to conditions,

(iii) was removed from it, or

(iv) is currently suspended from it,

and, if so, the facts relating to that event and the reasons given for such action by the holder of the list.

(5) Where a Local Health Board is considering whether to remove a practitioner from its performers list under regulation 16(3)(d) (an unsuitability case), it must consider—

(a) any information relating to that practitioner which it has received under regulation 11,

(b) any information held by NHS Resolution about past or current investigations or proceedings involving or related to that practitioner, which information that authority must supply if the Local Health Board so requests, and

(6) Those matters are—

(a) the nature of any event which gives rise to a question as to the suitability of the practitioner to be included in a performers list,

(b) the length of time since the event and the facts which gave rise to it occurred,

(d) the relevance of the incident to the practitioner’s performance of the services which those included in the relevant performers list perform, and the likely risk to patients or to public finances,

(e) whether any offence was a sexual offence for the purposes of Part 2 of the Sexual Offences Act 2003 (sexual offences), or if it had been committed in England and Wales, would have been such an offence,

(f) whether, in respect of any list, the practitioner—

(i) was refused inclusion in it,

(ii) was included in it subject to conditions,

(iii) was removed from it, or

(iv) is currently suspended from it,

and, if so, the facts relating to the event which led to such action and the reasons given for such action by the holder of the list, and

(g) whether, in respect of any list, the practitioner was at the time of the originating event or in the 6 months preceding that event, a director of a body corporate, which—

(i) was refused inclusion in it,

(ii) was included in it subject to conditions,

(iii) was removed from it, or

(iv) is currently suspended from it,

and, if so, the facts relating to that event and the reasons given for such action by the holder of the list.

Reviews

18

(1) Where a Local Health Board decides to—

(a) impose or vary conditions imposed under regulation 12, 13 or this regulation, or

(b) suspend the practitioner under regulation 14(1)(a) or (b) except where the suspension is continuing by order of the First-tier Tribunal,

it may, and if requested in writing to do so by the practitioner must, review its decision.

(2) Where a Local Health Board decides to—

(a) agree conditions with the practitioner under regulation 14(7)(b) or (13)(b), and

(b) allow the practitioner to resume practice subject to those conditions under those paragraphs,

it may, and if requested in writing to do so by a practitioner must, review its decision.

(3) On a review under paragraph (1)(a), the Local Health Board may—

(a) maintain, vary or remove the conditions,

(b) impose different conditions, or

(4) On a review under paragraph (1)(b), the Local Health Board may—

(a) maintain, vary or lift the suspension,

(b) allow the practitioner to resume practice during a period described in regulation 14(1) subject to conditions it has agreed with the practitioner, or

(5) On a review under paragraph (2), the Local Health Board may—

(a) agree the same or varied conditions with the practitioner,

(b) remove the conditions, or

(6) A practitioner may not request a review of a decision by the Local Health Board before the expiry of a 3 month period beginning with the date of that decision.

(7) After a review has taken place, the practitioner may not request a further review before the expiry of 6 months from the date of the decision of the last review.

(8) Before conducting a review under paragraph (1), the Local Health Board must give the practitioner—

(a) notice of any allegation against the practitioner,

(b) notice of what action the Local Health Board is considering and on what grounds,

(c) the opportunity to make written representations to the Local Health Board within a period of 28 days of the date of the notification under sub-paragraph (b), and

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