PART I GENERAL

Citation and commencement _I1

1. These Regulations may be cited as the National Health Service (Service Committees and Tribunal) Regulations 1992 and shall come into force on 1st April 1992.

Interpretation _E1

2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Interpretation _I29E2

2.—(1) In these Regulations, unless the context otherwise requires—

^F169...

“the Act” means the National Health Service Act 1977 ( 3 );

“appliance” means an appliance which is included in a list for the time being approved by the Secretary of State for the purposes of section 41 of the Act;

^F170...

[^F171 “appropriate Health Authority [^F172 or Primary Care Trust ^F172] ” has the meaning given by regulation 4(5); ^F171]

^F169...

^F169...

“chemist” has the same meaning as [^F173 NHS appliance contractor and NHS pharmacist ^F173] in the Pharmaceutical Regulations;

[^F174 “complaint” except in regulation 20 and Part III means a complaint made in accordance with directions concerning the establishment and operation of procedures for dealing with complaints against practitioners providing [^F175 a relevant service ^F175] given under section 17 of the Act or in accordance with the provisions of the regulations specified in paragraph (4); ^F174]

^F170...

^F169...

^F169...

^F169...

^F169...

^F169...

^F170...

“dentist” means a registered dental practitioner;

^F169...

^F170...

^F169...

[^F171 “disciplinary matter” means a matter referred under regulation 5(1); ^F171]

[^F171 “discipline committee” has the meaning given by regulation 3(2); ^F171]

“doctor” means a registered medical practitioner, other than one acting in the capacity of an ophthalmic medical practitioner;

^F176...

“drug” includes medicine;

^F169...

^F177...

^F170...

[^F171 “joint discipline committee” means a committee referred to in regulation 3(1)(e); ^F171]

^F170...

[^F178 “Local Optical Committee” and “Local Pharmaceutical Committee” mean the committees of those names recognised by the Local Health Board in relation to its locality under section 44 of the Act, and “Local Representative Committee” means either of those committees ^F178] ;

^F176...

^F176...

^F176...

^F176...

^F176...

^F170...

[^F171 “ophthalmic discipline committee” means a committee referred to in regulation 3(1)(c); ^F171]

“ophthalmic list” has the same meaning as in the Ophthalmic Regulations;

“ophthalmic medical practitioner” has the same meaning as in the Ophthalmic Regulations;

[^F179 “ Ophthalmic Regulations ” means the National Health Service (Ophthalmic Services) (Wales) Regulations 2023 ; ^F179]

^F170...

[^F180 “optician” means—

^F182...

^F170...

“patient”, except in Part III, means any person who is or who claims to be, entitled to the provision of a [^F183 relevant service ^F183] ;

^F176...

[^F171 “pharmaceutical discipline committee” means a committee referred to in regulation 3(1)(d); ^F171]

“pharmaceutical list” has the same meaning as in the Pharmaceutical Regulations;

“Pharmaceutical Regulations” means the [^F184 National Health Service (Pharmaceutical Services) (Wales) Regulations 2020 ^F184] ;

^F170...

“pharmacist” means a registered pharmacist;

^F176...

^F176...

“practitioner” means [^F185 an ^F185] ophthalmic medical practitioner, optician or chemist against whom a complaint has been made or in respect of whom a matter has been referred under [^F186 regulation 5(1) ^F186] ;

“prescription form” has the same meaning as in the Pharmaceutical Regulations;

[^F187 “ primary ophthalmic services ” has the meaning given in regulation 4 of the Ophthalmic Regulations; ^F187]

^F169...

“relevant local representative committee” means—

recognised in relation to the locality in question;

[^F171 “relevant professional body” has the meaning given by regulation 37(4); ^F171]

[^F187 “ relevant service ” means pharmaceutical services provided under the National Health Service (Wales) Act 2006 or primary ophthalmic services; ^F187]

^F170...

^F169...

^F170...

[^F171 “statement of case” means a statement sent by the appropriate Health Authority [^F172 or Primary Care Trust ^F172] to the practitioner and the discipline committee in accordance with paragraph 1 of Schedule 4; ^F171]

^F169...

“terms of service” has the same meaning—

^F169...

“the Tribunal” means the Tribunal constituted under section 46 of the Act.

(2) Unless the context otherwise requires—

(a)any reference in these Regulations—

(i)to a numbered regulation is a reference to the regulation bearing that number in these Regulations,

(ii)to a numbered Part or Schedule is a reference to the Part of, or Schedule to, these Regulations bearing that number;

(b)any reference in a regulation in, or in a Schedule to, these Regulations to a numbered paragraph is a reference to the paragraph bearing that number in that regulation or Schedule;

(c)any reference, in a paragraph in a Schedule to these Regulations, to a numbered sub-paragraph is a reference to the sub-paragraph bearing that number in that paragraph.

(3) Where, by virtue of directions given under section 13 of the Act, or by virtue of any arrangements made pursuant to Regulations made under the Act(4), a function of the Secretary of State is exercisable by some other person or body, a reference in these Regulations in relation to that function—

(a)to the Secretary of State includes a reference to the person or body exercising that function on behalf of the Secretary of State; and

(b)to the principal office of the Secretary of State includes a reference to the principal office of that person or body.

[^F193 (4) The provisions referred to in the definition of “complaint” in paragraph (1) are—

^F194(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F195(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)[^F196 paragraph 33 of Schedule 5 to, or paragraph 22 of Schedule 6 to^F196] ;

[^F197 (d)paragraphs 19 and 20 of Schedule 4 to the National Health Service (Ophthalmic Services) (Wales) Regulations 2023.^F197,F193]]

PART II PROVISIONS RELATING TO INVESTIGATIONS, DISPUTES, APPEALS, ETC. _cross-notes

[^F2Establishment of committees

3.—(1) Subject to paragraph (2) every Health Authority [^F3 or Primary Care Trust^F3] shall have—

^F4(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F5(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)an ophthalmic discipline committee;

(d)a pharmaceutical discipline committee; and

(e)a joint discipline committee,

and may, where it sees fit, have two 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 Authorities [^F3 or Primary Care Trusts^F3] may appoint discipline committees jointly and in these Regulations a reference to a discipline committee of a Health Authority [^F3 or Primary Care Trust^F3] includes a reference to a discipline committee jointly appointed by three or more Health Authorities [^F3 or Primary Care Trusts^F3] .

(4) A Health Authority [^F3 or Primary Care Trust^F3] may have a reference committee which shall include one member who is both an officer and a member of that Health Authority [^F3 or Primary Care Trust^F3] and which may exercise the Health Authority’s [^F3 or Primary Care Trust's^F3] functions under these Regulations with respect to the referral of disciplinary matters.

(5) Schedule 2 shall have effect with respect to the committees mentioned in paragraph (1).^F2]

[^F2Provisions relating to the start of disciplinary proceedings

4.—(1) Where an appropriate Health Authority [^F6 or Primary Care Trust^F6] receives information which it considers could amount to an allegation that a practitioner has failed to comply with his terms of service it shall decide either to take no action or to take one or both of the courses of action set out in paragraph (2).

(2) The courses of action referred to in paragraph (1) are—

(a)to refer the matter to another Health Authority [^F6 or Primary Care Trust^F6] 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 local police authority.

(3) The appropriate Health Authority [^F6 or Primary Care Trust^F6] shall not proceed under paragraph 2(a) in any case where the allegation and information on which it is based is the subject of a complaint which is being investigated.

(4) For the purposes of these Regulations an allegation remains the subject of a complaint which is being investigated until—

(a)the procedure for investigating the complaint is completed by the delivery of a report of the investigation to a Health Authority [^F6 or Primary Care Trust^F6] by a panel appointed in accordance with directions given under section 17 of the Act; or

(b)the complaint is withdrawn or abandoned by the person bringing it.

(5) In these Regulations “appropriate Health Authority [^F6 or Primary Care Trust ^F6] ” in relation to a practitioner is the Health Authority [^F6 or Primary Care Trust ^F6] —

(a)in whose ^F7... ^F8... ophthalmic or pharmaceutical list the name of the practitioner was included; or

^F9(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F9(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

at the relevant time or, where the practitioner referred to in sub-paragraph (a) ^F10... was at that time on more than one such list, the Health Authority [^F6 or Primary Care Trust^F6] by arrangement with which the [^F11 relevant services^F11] giving rise to the allegation were provided.

^F12(6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(7) Where a Health Authority [^F6 or Primary Care Trust^F6] considers that a payment has been made to a practitioner which was not due and the practitioner does not admit that overpayment, the Health Authority [^F6 or Primary Care Trust^F6] may refer the overpayment under regulation 5(1).

(8) In this regulation “the relevant time” means the time of the event, treatment, or other matter giving rise to the allegation. ^F2]

[^F2Referral to investigating discipline committee

5.—(1) Where an appropriate Health Authority [^F13 or Primary Care Trust^F13] decides to proceed under regulation 4(2)(a) or (7) it shall, subject to paragraph (2), refer the matter to another Health Authority [^F13 or Primary Care Trust^F13] , for investigation by that Health Authority’s [^F13 or Primary Care Trust's^F13] appropriate discipline committee.

(2) The appropriate Health Authority [^F13 or Primary Care Trust^F13] shall not refer the matter to another Health Authority [^F13 or Primary Care Trust^F13] which has appointed any discipline committee jointly with the appropriate Health Authority [^F13 or Primary Care Trust^F13] .

(3) Subject to paragraph (6) the appropriate discipline committee referred to in paragraph (1) is—

^F14(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F15(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

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

(4) A matter which, under paragraph (1), is required to be investigated by two discipline committees, may instead be referred for investigation by a joint discipline committee.

(5) If, in the opinion of a discipline committee, a matter referred to it includes allegations which are required, by virtue of paragraph (1), to be investigated also by another discipline committee, it shall refer the matter to the joint discipline committee instead of dealing with the matter itself.

(6) Where a matter is referred for investigation by a joint discipline committee under paragraph (4) or paragraph (5), that committee shall be the appropriate discipline committee instead of any other committee.^F2]

[^F2Time limits

6.—(1) Where the disciplinary matter concerns an allegation which has been the subject of a complaint the appropriate Health Authority [^F16 or Primary Care Trust^F16] shall refer it under regulation 5(1) within 28 days of the allegation having ceased to be the subject of a complaint which is being investigated.

(2) Where the disciplinary matter does not concern an allegation which has been the subject of a complaint the appropriate Health Authority [^F16 or Primary Care Trust^F16] shall refer it under regulation 5(1) within the time limits specified in paragraph (3).

(3) The time limits referred to in paragraph (2) are—

(a)in the case of a ^F17... ophthalmic medical practitioner, optician or chemist, 13 weeks after the event or matter which is the subject of the allegation;

^F18(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F19(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F19(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .^F2]

[^F2Investigations by discipline committees

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

(2) Schedule 4 shall have effect with respect to the procedure for investigating disciplinary matters under this Part.

(3) Where the disciplinary matter concerns an alleged overpayment made to a practitioner pursuant to regulation 4(7) the appropriate Health Authority [^F20 or Primary Care Trust^F20] may refer it under regulation 5(1) at any time.^F2]

[^F2Determination of appropriate Health Authority [^F21or Primary Care Trust^F21]

8.—(1) The appropriate Health Authority [^F21 or Primary Care Trust^F21] , after due consideration of a report presented to it by the discipline committee pursuant to paragraph 7(1) of Schedule 4, shall—

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

(b)accept as conclusive the inferences from those findings of fact which that committee considered could properly be drawn from those findings as to whether the practitioner has failed to comply with any of the terms of service detailed in the appropriate Health Authority’s [^F21 or Primary Care Trust's^F21] statement of case;

(c)determine, having regard to any recommendation made by the discipline committee pursuant to paragraph 7(1)(e) of Schedule 4 either—

(i)that no further action should be taken in relation to the report, or

(ii)that action should be taken in relation to the practitioner, in accordance with any one or more of the provisions of paragraphs (3) and (5).

(2) If the appropriate Health Authority [^F21 or Primary Care Trust^F21] decides either not to adopt the recommendation of the discipline committee or to take any action not recommended by that committee it shall record in writing its reasons for that decision.

^F22(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F22(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) Where it has been determined that a practitioner to whom the report of the discipline committee relates has failed to comply with any of his terms of service the appropriate Health Authority [^F21 or Primary Care Trust^F21] may—

(a)determine that an amount shall be recovered from the practitioner, whether by way of deduction from his remuneration or otherwise;

^F23(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)determine that the practitioner should be warned to comply more closely with his terms of service in future.

(6) In acting under sub-paragraphs (a) to (c) the appropriate Health Authority [^F21 or Primary Care Trust^F21] may take into consideration any determination made by any FHSA before 1st April 1996 under these Regulations as they were in force prior to that date, or any determination, finding or inference under paragraph (1) since 1st April 1996, so long as such a determination, finding or inference has not been overturned on appeal and was not made more than 6 years prior to the date of the referral under regulation 5(1), that the practitioner had, on some other occasion, failed to comply with his terms of service.

(7) The appropriate Health Authority [^F21 or Primary Care Trust^F21] shall give notice in writing of its determination under paragraph (1) and any determination under paragraph (5), to the practitioner, any person who is treated as a party pursuant to paragraph 2(3) of Schedule 4, the discipline committee and the Secretary of State, and shall include with the notice—

(a)a copy of the report of the discipline committee;

(b)a statement of any reasons recorded by the Health Authority [^F21 or Primary Care Trust^F21] under paragraph (2); and

(c)a statement as to the rights of appeal to the Secretary of State under regulation 9.

(8) Subject to paragraph (9), where an appropriate Health Authority [^F21 or Primary Care Trust^F21] determines under this regulation that action should be taken in accordance with any of the provisions of [^F24 paragraph^F24] (5)(a) ^F25... or (c) that action shall be taken by the appropriate Health Authority [^F21 or Primary Care Trust^F21] except that where, at the time when such action falls to be taken, the practitioner’s name is no longer included in that Health Authority’s [^F21 or Primary Care Trust's^F21] list but is included in the list of some other Health Authority [^F21 or Primary Care Trust^F21] , that action shall be taken by that other Health Authority [^F21 or Primary Care Trust^F21] .

^F23(9) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(10) Any amount determined under paragraph (5)(a) as being recoverable shall, to the extent that it is not recovered from the practitioner’s remuneration, be a debt owed by the practitioner to the Health Authority [^F21 or Primary Care Trust^F21] by which it is recoverable.

(11) Where the appropriate Health Authority [^F21 or Primary Care Trust^F21] makes a determination under the provisions of paragraph (5)(a) ^F25... or (c) no action shall be taken in consequence of that determination—

(a)if no appeal is brought, before the end of the period specified in regulation 9(2) for bringing an appeal; or

(b)if an appeal is brought, before it has received notice—

(i)that the appeal has been withdrawn, or

(ii)of the Secretary of State’s determination of the appeal.^F2]

[^F2Appeal to the Secretary of State

9.—(1) An appeal may be made to the Secretary of State by a practitioner—

(a)against a finding of fact, or an inference drawn from a finding of fact which (in either case) is adverse to him pursuant to regulation 8(1)(a) or (b);

(b)against any determination by a Health Authority [^F26 or Primary Care Trust^F26] under regulation 8(1)(c)(ii) to take action in accordance with any one or more of paragraphs ^F27..., (5)(a) ^F28... and (c) of that regulation;

(c)in respect of a determination by a Health Authority [^F26 or Primary Care Trust^F26] that an overpayment has or has not been made in respect of his remuneration;

by giving notice of appeal in accordance with paragraph (2).

(2) A notice of an appeal under this regulation shall be in writing and sent to the Secretary of State within 30 days beginning on the date on which notice of the appropriate Health Authority’s [^F26 or Primary Care Trust's^F26] decision was given to the practitioner under regulation 8(7), and shall contain a concise statement of the grounds of appeal upon which the practitioner intends to rely in respect of each ground of appeal.

(3) Subject to paragraph (6), on an appeal to which paragraph (1)(a) or (c) applies, the Secretary of State shall consider the appeal on the basis of such evidence as was available to the discipline committee and of such further evidence as shall have been adduced on the appeal, and shall—

(a)make such findings of fact as he sees fit; and

(b)draw such inferences from those findings as he sees fit; and

(c)in the case of an appeal to which paragraph (1)(a) applies—

(i)determine whether or not the practitioner has failed to comply with any one or more of the terms of service detailed in the appropriate Health Authority’s [^F26 or Primary Care Trust's^F26] statement of case, and

(ii)determine in accordance with any one or more of the following provisions that is, [^F29 paragraph^F29] (5)(a) ^F28... and (c), (as modified in accordance with paragraph (5) of this regulation) of regulation 8 or [^F30 regulation 11^F30] whether any, and if so what, action should be taken in relation to that practitioner; or

(d)in the case of an appeal to which paragraph (1)(c) applies, determine whether there has been an overpayment and, if so, of what amount.

(4) On an appeal to which paragraph (1)(b) alone applies, the Secretary of State shall—

(a)accept as conclusive—

(i)those findings of fact made by the discipline committee which were necessary for the purpose of the Health Authority’s [^F26 or Primary Care Trust's^F26] determination under regulation 8(1)(c)(ii), and

(ii)the inferences specified in the discipline committee’s report pursuant to paragraph 7(1)(c) of Schedule 4;

(b)determine in accordance with any one or more of the following provisions, that is, [^F31 paragraph^F31] (5)(a) ^F28... and (c), (as modified in accordance with paragraph (5) of this regulation) of regulation 8, or [^F30 regulation 11^F30] , whether any, and if so what, action should be taken in relation to the practitioner.

(5) For the purposes of paragraphs (3)(c)(ii) and (4)(b) of this regulation, paragraphs ^F32 ... [^F33 (5) (a) ^F33] and (c) and (6), of regulation 8 shall have effect as if for any reference to “the appropriate Health Authority [^F26 or Primary Care Trust ^F26] ” there were substituted a reference to “the Secretary of State”.

(6) The practitioner may withdraw his appeal, at any time before it is determined—

(a)by giving written notice to the Secretary of State of his intention to do so; and

(b)with the consent of the Secretary of State.^F2]

[^F2Procedure on appeal

10.—(1) Subject to paragraph (5), if the Secretary of State, after considering a notice of appeal and any further particulars furnished by the practitioner, is of the opinion that the notice and particulars disclose no reasonable grounds of appeal or that the appeal is otherwise vexatious or frivolous, he may determine the appeal by dismissing it forthwith.

(2) The Secretary of State shall, unless he dismisses the appeal under paragraph (1), send a copy of the notice of appeal and of any further particulars furnished by the practitioner to the appropriate Health Authority [^F34 or Primary Care Trust^F34] , and shall invite that Authority [^F35 or Trust^F35] to submit its observations on the appeal within 28 days of being sent the copy of the notice of appeal.

(3) Where observations are made under paragraph (2), the Secretary of State shall send a copy of those observations to the practitioner and shall invite him to submit his comments on the observations within 21 days of his being sent that copy.

(4) The Secretary of State shall hold an oral hearing to determine the appeal except in the circumstances described in paragraph (5).

(5) Where a practitioner who is not appealing under regulation 9(1)(a), appeals under regulation 9(1)(b) against a decision in which the appropriate Health Authority [^F34 or Primary Care Trust^F34] has determined to take action under paragraph ^F36..., [^F37 (5)(a)^F37] or (c) of regulation 8 his appeal may be dismissed without an oral hearing if the practitioner has stated in writing that he does not want such a hearing.

(6) Where there is to be an oral hearing the Secretary of State shall appoint three persons to hear the appeal, of whom—

(a)one shall be a barrister or a solicitor, and shall act as chairman; and

(b)two shall be selected in accordance with [^F38 paragraph (7)^F38] .

(7) The persons appointed under paragraph (6)(b) shall be—

^F39(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F40(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)where the practitioner is an ophthalmic medical practitioner, two ophthalmic medical practitioners;

(d)where the practitioner is an optician, two opticians;

(e)where the practitioner is a chemist, two registered pharmacists.

^F40(8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(9) The Secretary of State shall appoint a day for the hearing and shall give the practitioner and the appropriate Health Authority [^F34 or Primary Care Trust^F34] not less than 21 days' notice in writing of the day, time and place of the hearing.

(10)^F41 ... No person shall, without the consent of the practitioner, and the persons appointed under paragraph (6), be admitted to a hearing before those persons unless he is—

(a)the practitioner;

(b)a representative of the appropriate Health Authority [^F34 or Primary Care Trust^F34] who is an officer or a member of it;

(c)a person (who may be a barrister, a solicitor or any other person) engaged by a person or body mentioned in sub-paragraph (a) or (b) of this paragraph to represent them before the persons appointed under paragraph (6); or

(d)a person whose attendance is required for the purpose of giving evidence to the persons so appointed.

(11) The practitioner and the appropriate Health Authority [^F34 or Primary Care Trust^F34] shall not rely on any facts or contentions which do not appear to the Secretary of State or the persons hearing the appeal to have been raised in the course of the proceedings before the discipline committee unless—

(a)not less than seven days before the hearing, notice in writing was given to the Secretary of State of such facts or contentions; and

(b)the Secretary of State or the persons hearing the appeal give their consent.

(12) The persons hearing the appeal shall draw up a report and present it to the Secretary of State who shall take it into consideration and determine the appeal.

(13) Where a Health Authority [^F34 or Primary Care Trust^F34] has made representations to the Tribunal following its consideration of a report of a discipline committee, the Secretary of State may, for the purpose of any appeal under regulation 9(1)(a), treat as conclusive any relevant findings of fact of the Tribunal.

(14) The Secretary of State shall give notice in writing to the practitioner and the Health Authority [^F34 or Primary Care Trust^F34] of his determination under paragraph (1) or (12) of the matters mentioned in paragraphs (3)(c), (3)(d) or (4)(b) of regulation 9 and shall include with the notice a statement of his reasons for the determination.

(15) The provisions of subsections (2) and (3) of section 250 of the Local Government Act 1972 (which relate to the summoning of witnesses and other matters) shall apply to an appeal held under this regulation as if in that subsection (3) for the words the “person appointed to hold the inquiry” there were substituted the words “persons hearing the appeal”. ^F2]

[^F2Recovery of amounts from practitioners following appeal

11.—(1) Where—

(a)in the case of an appeal under regulation 9(1)(a), the Secretary of State determines that a practitioner has failed to comply with one or more of his terms of service; or

(b)an appeal is made under regulation 9(1)(b) or (c),

the Secretary of State shall, subject to the following provisions of this regulation, determine whether any, and if so what, amount shall be recovered from the practitioner, whether by way of deduction from his remuneration or otherwise.

^F42(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F42(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F42(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) The Secretary of State shall give notice in writing of his determination under paragraph (1) to the practitioner and the appropriate Health Authority [^F43 or Primary Care Trust^F43] , and shall include with the notice a statement of the reasons for his determination.

(6) Where the Secretary of State has determined under paragraph (1) that an amount shall be recovered from a practitioner, he shall direct the appropriate Health Authority [^F43 or Primary Care Trust^F43] to recover that amount either by deduction from the practitioner’s remuneration or otherwise and, subject to regulation 8(8) (as modified by paragraph (7) of this regulation), that Health Authority [^F43 or Primary Care Trust^F43] shall comply with that direction.

(7) For the purposes of paragraph (6) regulation 8(8) shall have effect as if for the words “an appropriate Health Authority [^F43 or Primary Care Trust ^F43] determines under this regulation that action should taken in accordance with any of the provisions of [^F44 paragraph ^F44] (5) (a) ^F45 ... or (c) that action shall be taken” there were substituted the words “the Secretary of State determines under regulation 11(1) that an amount should be recovered that amount shall be recovered”.

^F42(8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(9) Any sum which falls by virtue of paragraph (6) to be recovered by an Health Authority [^F43 or Primary Care Trust^F43] shall, to the extent that it is not recovered by deduction from the practitioner’s remuneration, be a debt owed by the practitioner to that Health Authority [^F43 or Primary Care Trust^F43] .^F2]

Prior approval in dental cases

^F4612. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[^F2Death of practitioner

13. Where, at any time after a disciplinary matter has been referred under regulation 5(1) but before the appropriate Health Authority [^F47 or Primary Care Trust^F47] makes a determination under regulation 8 in relation to that matter, the practitioner to whom the matter relates dies, no further action shall be taken under these Regulations in relation to that practitioner.^F2]

Prior approval in dental cases

^F214. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Excessive prescribing by doctors

^F4815. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Investigation of certification

^F4816. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Investigation of record keeping

^F4817. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Decision as to treatment for which fees may be charged by doctors

^F4818. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Appeals from decisions of the Board

^F4919. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Power of Local Representative Committees to consider complaints _I2

20.^F50—(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F51(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) A Local Optical Committee may consider any complaint made to it by any optician against an optician providing [^F52 primary ophthalmic services or other ophthalmic services pursuant to arrangements with Local Health Boards under the National Health Service (Wales) Act 2006^F52] in the relevant locality involving any question of the efficiency of such services in that locality.

(4) A Local Pharmaceutical Committee may consider any complaint made to it by any chemist against a chemist providing pharmaceutical services in the relevant locality involving any question of the efficiency of such services in that locality.

(5) In this regulation “the relevant locality” means the locality in respect of which the Local Representative Committee in question is recognised under section 44 of the Act ( 5 ) .

PART III INQUIRIES BY, AND APPEALS FROM, THE TRIBUNAL

Interpretation and forms _I3

21.—(1) In this Part—

^F53...

“applicant” means a person who has made an application;

“application” means an application for a direction under section 47 of the Act [^F54 or paragraph 5 of Schedule 1 to the 1997 Act ^F54] ;

“complainant” means a person who, or a body which, has made representations;

“inquiry” means an inquiry held under the provisions of this Part;

“representations” means representations made to the Tribunal under section 46(1) of the Act [^F55 or paragraph 3(1) or (2) of Schedule 1 to the 1997 Act ^F55] ;

“respondent” means—

[^F58 (1A) In this Part, references to “proceedings” before the Tribunal are to any such proceedings, whether relating to representations, applications, or suspension, and include inquiries, hearings and preliminary matters. ^F58]

(2) Any reference in this Part to a form prescribed in Schedule 8 includes a form substantially to like effect.

Tenure of office of chairman and member of the Tribunal _I4

22.—(1) The chairman [^F59 and deputy chairmen^F59] of the Tribunal shall hold office during the pleasure of the Lord Chancellor.

[^F60 (2) The other members of the Tribunal shall hold office during the pleasure of the Secretary of State.^F60]

Officers of the Tribunal _I5

23. The chairman of the Tribunal shall appoint [^F61 the following persons, who shall hold office during the pleasure of the chairman^F61] —

(a)a person approved by the Secretary of State to act as Clerk of the Tribunal; and

(b)such other officers as may be necessary.

[^F62Procedure of the Tribunal

23A. The chairman of the Tribunal may give practice directions applying generally to any Tribunal proceedings, and subject to any such directions, the person (being the chairman or a deputy chairman) presiding over any such proceedings may give procedural directions, order pre-hearing reviews, and generally determine the procedure to be followed.^F62]

Making of representations and preliminary matters _I6

24.—(1) Representations to the Tribunal—

(a)under section 46(1) of the Act that the continued inclusion of a person’s name in a medical list, dental list, ophthalmic list or list of persons providing pharmaceutical services would be prejudicial to the efficiency of the services in question; or

(b)under paragraph 3 of Schedule 1 to the 1997 Act that the inclusion of a person’s name in a medical list would be prejudicial to the efficiency of general medical services,

shall be made in accordance with this regulation.

(1A) Subject to paragraph (1B), the representations referred to in paragraph (1) shall—

(a)be made in writing;

(b)be signed by the complainant or on his behalf by some person authorised by him; and

(c)include a preliminary statement of the alleged facts and the grounds upon which he intends to rely,

and shall be sent to the Tribunal.

(1B) The representations referred to in paragraph (1)(b) shall be sent to the Tribunal before the end of the period of two weeks beginning with the date on which the Health Authority [^F64 or Primary Care Trust^F64] received the person’s application for his name to be included in the medical list.^F63]

(2) The complainant shall, if so required by the Tribunal, send to it, [^F65 before the end of [^F66 such period (being not less than 14 nor more than 28 days), beginning with the day on which the Tribunal sent him notice of its requirement, as the Tribunal shall specify in the notice^F66,F65]] , a further statement setting out—

(a)the alleged facts;

(b)the grounds on which the representations are made;

(c)where a fact is not within the personal knowledge of the person signing the representations, the source of the information and why it is considered to be true; and

(d)such further particulars as the Tribunal may require,

and shall, if so required by the Tribunal, verify the preliminary statement provided under [^F67 paragraph (1A)(c)^F67] by statutory declaration.

(3) Where the complainant is not [^F68 a Health Authority or Primary Care Trust^F68] the Tribunal shall consider the representations and any statement furnished under paragraph (2) and if it declines to inquire into the case, it shall so inform the complainant in writing.

(4) Where an inquiry is to be held, the Tribunal shall give—

(a)to the respondent notice in writing in the form set out in Part I of Schedule 8 that the Tribunal intends to hold an inquiry as to the representations made by the complainant;

(b)to the complainant notice in writing in the form set out in Part II of Schedule 8 that the Tribunal intends to hold an inquiry as to his representations and requiring him, within a time specified in the notice, to send to the Tribunal a copy of any document which he proposes to put in evidence.

(5) The complainant shall comply with any requirement of a notice given to him under paragraph (4)(b) within the time stated in it.

(6) The Tribunal shall send to the respondent—

(a)a copy of the preliminary statement provided by the complainant under [^F69 paragraph (1A)(c)^F69] ;

(b)a copy of any further statement furnished under paragraph (2);

(c)copies of documents which have been provided by the complainant under paragraph (5); and

(d)a notice informing him that he may, by a statement in writing to be sent to the Tribunal within a time specified in the notice, admit or dispute the truth of all or any of the allegations appearing in a statement sent to him under sub-paragraph (a) or (b) of this paragraph.

(7) The Tribunal may at any time before the conclusion of the inquiry allow the statement of complaint to be amended, upon such conditions as it may think just, on the application of the complainant.

[^F70Applications for interim suspension

24A.—(1) An application for interim suspension under section 49A of the Act shall—

(a)be made in writing;

(b)be signed by some person authorised by the [^F71 Health Authority or Primary Care Trust^F71] ;

(c)include a statement of the alleged facts and the grounds upon which the [^F71 Health Authority or Primary Care Trust^F71] intends to rely; and

(d)include a copy of each document which the [^F71 Health Authority or Primary Care Trust^F71] proposes to put in evidence,

and shall be sent to the Tribunal.

(2) The statement mentioned in paragraph (1)(c) may be made by reference to any other document already before the Tribunal.

(3) The application shall be dealt with by way of oral hearing, and Schedule 9 shall apply with respect to that hearing.

(4) The Tribunal shall give the respondent notice in writing of the application and of its intention to hold an oral hearing on a date to be fixed, and shall include a copy of—

(a)the [^F71 Health Authority's or Primary Care Trust's^F71] application;

(b)any document provided under paragraph (1)(d); and

(c)where paragraph (2) applies, any document which is referred to in the statement.

(5) The Tribunal may at any time before the conclusion of the proceedings relating to the application allow it to be amended, upon such conditions as it may think just, on the application of the [^F71 Health Authority or Primary Care Trust^F71] .

(6) At the conclusion of proceedings relating to the application, the Tribunal shall, as soon as practicable, issue a decision in writing, signed by the person (being the chairman or a deputy chairman) who presided over the proceedings, containing—

(a)any directions it decides to give under section 49A(2) of the Act;

(b)a statement of reasons for its decision; and

(c)any order it decides to make as to costs.

(7) The Tribunal shall send a copy of its decision to the respondent, the [^F71 Health Authority or Primary Care Trust^F71] , and the Secretary of State; and the Secretary of State shall send a copy of the decision to any other [^F71 Health Authority or Primary Care Trust^F71] which appears to him to be concerned.

(8) Where the decision includes a direction under section 49A(2) of the Act, the Tribunal shall include with the decision a notice to the respondent of his right to appeal under section 11(1) of the Tribunals and Inquiries Act 1992.^F70]

Withdrawal of representations and suspension of procedures _I7

25.—(1) The complainant may at any time before the inquiry, with the consent of the Tribunal and on such terms as the Tribunal thinks fit, withdraw his representations by giving notice of withdrawal in writing to the Tribunal.

(2) If the complainant fails to comply, within the time allowed by the Tribunal for such compliance, with any requirement imposed under regulation 24 or 26, or fails, without having previously offered a reasonable excuse, to appear at an inquiry of which due notice was given under paragraph 1 of Schedule 9, the Tribunal may treat the representations as having been withdrawn.

(3)[^F72 Subject to paragraph (3A),^F72] where representations are withdrawn or treated as withdrawn the Tribunal shall immediately so inform the respondent in writing (without prejudice to its power to determine any question as to costs under [^F73 regulation 31A^F73] ).

[^F74 (3A) Where representations are withdrawn or treated as withdrawn after the Tribunal has given a direction under section 49A(2) of the Act, that direction shall cease to have effect; and—

(a)the Tribunal shall include this information also when informing the respondent under paragraph (3);

(b)the Tribunal shall immediately also so inform the Secretary of State in writing that the direction has ceased to have effect; and

(b)the Secretary of State shall so inform anyone to whom he sent a copy of the Tribunal’s decision pursuant to regulation 24A(7).^F74]

(4)[^F75 Except where the Tribunal has made a direction under section 49A(2) of the Act,^F75] where it appears to the Tribunal that the alleged facts on which any representations are based are being or may be investigated by some other tribunal, body or person, it may direct that no further steps shall be taken under this Part pending the result of the other investigation.

[^F76 (5) The Tribunal may also direct that no further steps shall be taken for the time being under this Part in any other circumstances where it appears to the Tribunal that it would be appropriate so to direct.^F76]

Inquiry as to representations _I8

26.—(1) Subject to paragraph (2), the inquiry shall be held by way of an oral hearing, and Schedule 9 shall apply with respect to that hearing.

(2)[^F77 Subject to paragraph (2A),^F77] where the grounds on which representations are based are solely that the respondent has been convicted of a criminal offence and the respondent states in writing that—

(a)he admits the conviction; and

(b)he does not want an oral hearing,

the Tribunal may decide the case on such documentary evidence as may be submitted to it.

[^F78 (2A) Where the Tribunal has determined to decide the case on documentary evidence pursuant to paragraph (2), but proposes to give a direction under section 49B(1) of the Act, it shall before doing so give notice to the [^F79 Health Authority or Primary Care Trust^F79] and the respondent of its intention to hold an oral hearing relating to that proposal, and shall then hold an oral hearing to which Schedule 9 shall apply.^F78]

(3) At the conclusion of the inquiry the Tribunal shall, as soon as practicable, issue a decision in writing, signed by [^F80 the person (being the chairman or a deputy chairman) who presided over the inquiry^F80] , containing—

(a)its findings of fact;

(b)its conclusions;

(c)any directions it decides to give under section 46(2) [^F81 or 49B(1)^F81] of the Act [^F82 or under paragraph 4(1) of Schedule 1 to the 1997 Act^F82] ;

(d)a statement of the reasons for its decision; and

(e)any order it decides to make as to costs.

(4) The Tribunal shall send a copy of its decision to the respondent, the complainant and the Secretary of State; and the Secretary of State shall send a copy of the decision to any [^F79 Health Authority or Primary Care Trust^F79] which appears to him to be concerned.

(5) Where the decision contains a direction under section 46(2) of the Act [^F83 or under paragraph 4(1) of Schedule 1 to the 1997 Act^F83] [^F84 , or directions under both sections 46(2) and 49B(1) of the Act,^F84] the Tribunal shall include with the decision a notice to the respondent of his right of appeal [^F85 under section 11(1) of the Tribunals and Inquiries Act 1992^F85] [^F86 in respect of any direction under section 49B(1) of the Act or a direction under section 46(2) of the Act, or both^F86] [^F87 or a direction under paragraph 4(1) of Schedule 1 to the 1997 Act^F87] .

[^F88Discharge of suspension functions by chairman or deputy chairman

26A. The functions of the Tribunal under section 49A or 49B of the Act may be carried out by the chairman or a deputy chairman of the Tribunal; and where the chairman or a deputy chairman does carry them out, any reference to the Tribunal in this Part or in Schedule 9 shall be construed as a reference to that person.^F88]

Appeals to Secretary of State as to representations

^F8927. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[^F90Applications for removal of disqualification

28.—(1) An application for a direction—

(a)under section 47 of the Act that a person shall no longer be disqualified for inclusion in any list to which a direction under section 46 of the Act relates; or

(b)under paragraph 5 of Schedule 1 to the 1997 Act that a person shall no longer be disqualified for inclusion in any medical list to which a direction under paragraph 4 of that Schedule relates,

may be made to the Tribunal and shall be made in accordance with this regulation.

(2) An application made under paragraph (1) shall—

(a)be made in writing;

(b)be signed by or on behalf of the applicant;

(c)contain a statement of the grounds on which it is made; and

(d)include a copy of each document which the applicant proposes to put in evidence.^F90]

Applications to the Tribunal _I9

29.—(1) An application made to the Tribunal shall be sent to the Tribunal.

(2) The Tribunal shall send to the respondent a copy of the application, together with a copy of any document included with it under [^F91 regulation 28(2)(d)^F91] .

(3) The Tribunal shall consider the application and—

(a)if it considers that no good cause has been shown for an inquiry, it may decline to hold an inquiry and to make a direction under section 47 of the Act [^F92 or (as the case may be) under paragraph 5 of Schedule 1 to the 1997 Act^F92] and shall give notice in writing to the applicant and the respondent accordingly;

(b)if it considers that an inquiry should be held, it shall give notice in writing to the applicant and the respondent accordingly.

(4) The applicant may at any time before the inquiry, with the consent of the Tribunal and on such terms as it thinks fit, withdraw his application by giving notice of withdrawal in writing to the Tribunal; and where an application is withdrawn the Tribunal shall so inform the respondent in writing.

(5) Where an inquiry is to be held by way of an oral hearing, the provisions of Schedule 9 shall apply with respect to that hearing.

(6) At the conclusion of the inquiry the Tribunal shall, as soon as practicable, issue a decision in writing, signed by [^F93 the person (being the chairman or a deputy chairman) who presided over the inquiry^F93] , containing—

(a)its findings of fact;

(b)its conclusions;

(c)any direction it decides to give under section 47 of the Act [^F94 or (as the case may be) under paragraph 5 of Schedule 1 to the 1997 Act^F94] ; and

(d)any order it decides to make as to costs.

(7) The Tribunal shall send a copy of the Tribunal’s decision to the applicant, the respondent and the Secretary of State; and the Secretary of State shall send a copy of the decision to any other [^F95 Health Authority or Primary Care Trust^F95] which appears to him to be concerned.

Applications to the Secretary of State

^F9630. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Publication of decisions _I10

31. The Secretary of State shall publish in such manner as he thinks fit—

(a)any direction of the Tribunal under section 46(2) of the Act;

^F97(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)any direction of the Tribunal ^F98... under section 47 of the Act;

(d)any imposition or removal of a disqualification referred to in section 48 of the Act (corresponding provisions for Scotland and Northern Ireland);

[^F99 (e)any direction of the Tribunal under section 49A(2) or 49B(1) of the Act^F99] ;

[^F100 (f)any direction of the Tribunal under paragraph 4(1) or 5 of Schedule 1 to the 1997 Act;

(g)any imposition or removal of a disqualification referred to in paragraph 6 of Schedule 1 to the 1997 Act (direction in Northern Ireland).^F100]

[^F101Costs

31A. Section 250(5) of the Local Government Act 1972 (costs) shall apply to Tribunal proceedings as though the reference there to the Minister causing an inquiry to be held under section 250 were to the Tribunal, and as if the reference to the parties at the inquiry were to the parties to Tribunal proceedings.^F101]

[^F102Publication of information about applications involving preferential treatment

31B. The Secretary of State shall publish in such a manner as he thinks fit information about—

(a)applications made to Health Authorities [^F103 or Primary Care Trusts^F103] for inclusion in their medical list of the names of medical practitioners in respect of whom Schedule 1 to the 1997 Act applies; and

(b)the right of persons to make representations against such applications.^F102]

PART IV MISCELLANEOUS PROVISIONS

Service of documents _I11

32.—(1) Any notice or other document required or authorised by any provision of these Regulations to be served on any person or to be given or sent to any person may be served, given or sent—

(a)by delivering it or sending it by post to him at his usual or last-known address, which in the case of a ^F105... dentist, ophthalmic medical practitioner, optician or chemist may be the address given in the ^F105... dental, ophthalmic or pharmaceutical list in which his name is included;

(b)in the case of the Tribunal, [^F106 a Health Authority or Primary Care Trust^F106] , a Local Representative Committee or a committee mentioned in regulation 3, by delivering it or sending it by post to their Clerk, chief officer or secretary at its principal office;

(c)in the case of the Secretary of State, by delivering it or sending it by post to his principal office;

(d)in the case of a person represented by—

(i)a solicitor, by delivering it or sending it by post to that solicitor at his professional address,

[^F107 (ii) the Citizen Voice Body for Health and Social Care, Wales (“the Body”) established under section 12(1) of the Health and Social Care (Quality and Engagement) (Wales) Act 2020 or any person acting on its behalf, by delivering it or sending it by post to the Body’s chief executive or board secretary at its principal office, ^F107]

(iii)any other person, by delivering it or sending it by post to that other person at his usual or last-known address.

[^F108 (2) Where a notice or document is delivered to a person under paragraph (1)(a) to (d) it shall be treated as served on the day on which it was so delivered and where a notice or document is sent by post to a person under paragraph (1) (a) to (d) it shall be treated as served on the second day after that on which it was posted.^F108]

Attendance by member of Administrative Justice and Tribunals Council

^F10933. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Power to dispense with requirements as to notices _I12

34. The Secretary of State or the Tribunal may dispense with any requirements of these Regulations respecting notices, applications, documents or otherwise in any case where it appears to the Secretary of State or the Tribunal just and proper to do so.

Power to extend time limits _I13

35.—(1) Where, by virtue of a provision of these Regulations mentioned in paragraph (3)—

(a)a person or body is required—

(i)to give notice of an appeal or ^F110... to signify any wish or intention,

(ii)to provide documents or reasons,

(iii)to submit observations or comments,

(iv)to make any statement or representations, or

(v)to admit or dispute the truth of an allegation,

within a time specified in or under that provision; and

(b)that person applies (whether before or after the expiry of the time so specified) to the relevant authority in accordance with paragraph (2) for that time to be extended,

the relevant authority may, where it is satisfied that it is in all the circumstances reasonable to do so, extend that time by such further period as it shall specify.

(2) An application under paragraph (1) shall—

(a)where it seeks the extension of the time allowed for the giving of a notice of appeal, be made in writing;

(b)in any other case, be made either orally or in writing,

and shall include a statement of the grounds for the application.

(3) For the purposes of this regulation, the relevant authority is, in relation to any application in connection with a time specified in—

(a)regulation 15(5) or 19(3) or (5), or ^F111..., the [^F112 Health Authority or Primary Care Trust^F112] ;

(b)[^F113 regulation 24(1B), (2)^F113] , (4)(b) or (6)(d), the Tribunal;

(c)^F114..., 15(19) or (21)(a) or (b), 16(7), [^F115 or 17(10)^F115] , or paragraph 4(1) of Schedule 3, the Secretary of State.

Fresh appointments _I14

36.—(1) Where a person appointed by the Secretary of State for any purpose of any provision of regulation [^F116 10, 11, 12^F116] or of Schedule 5—

(a)dies or resigns before the completion of that purpose; or

(b)is unable or refuses to complete that purpose,

the Secretary of State may rescind that appointment together with that of any other person so appointed in relation to the same matter, and appoint different persons in accordance with the provision in question.

(2) Where different persons are appointed pursuant to paragraph (1), any matter referred to them shall be considered afresh.

(3) For the purposes of this regulation a person has completed the purpose for which he was appointed if he has indicated to any other person also appointed for that purpose the decision to be given or recommendation to be made, even if he has not signed a report embodying the decision or recommendation.

Referral of matters to professional bodies

[^F117 37.—(1) Where, in relation to any disciplinary matter—

(a)an appropriate Health Authority [^F118 or Primary Care Trust^F118] receives a report of a discipline committee; and

(b)having regard to the facts found by the discipline committee in relation to that matter, that Health Authority [^F118 or Primary Care Trust^F118] considers that the matter should be brought to the attention of the relevant professional body,

it may refer to that body any documents in its possession connected with that disciplinary matter.

(2) Where, in relation to any such disciplinary matter—

(a)the Secretary of State—

(i)receives, pursuant to regulation 8(7) a copy of the report of a discipline committee and the consequent determination of the appropriate Health Authority [^F118 or Primary Care Trust^F118] , or

(ii)makes a determination of an appeal under regulation 9;

(b)that matter has not been the subject of a referral by the health authority [^F118 or Primary Care Trust^F118] under paragraph (1); and

(c)the Secretary of State considers that the matter should be brought to the attention of the relevant professional body,

he may refer to that body any documents in his possession connected with that disciplinary matter and any appeal.

(3) Where the Secretary of State receives a copy of a decision of the Tribunal pursuant to regulation 24A(7) or 26(4), and considers that the matter should be brought to the attention of the relevant professional body, he may refer to that body any documents in his possession connected with the representations or the application for interim suspension to which the Tribunal’s decision relates.

(4) In this regulation, “the relevant professional body” means—

(a)in relation to ^F119... an ophthalmic medical practitioner, the General Medical Council;

(b)in relation to a dentist, the General Dental Council;

(c)in relation to an optician, the General Optical Council;

(d)in relation to a pharmacist, [^F120 the General Pharmaceutical Council^F120] .^F117]

Transitional provisions _I15

38. Where, before 1st April 1992—

(a)a complaint has been made under regulation 4, or a matter has been referred under regulation 6(6), of the National Health Service (Service Committees and Tribunal) Regulations 1974(6);

(b)an application has been made to the Secretary of State under regulation 15(3) of those Regulations;

(c)a matter has been referred to a Local Representative Committee, or to a joint committee of Local Medical Committees, under regulation 16(1)(a), 17, 18 or 19 of those Regulations;

(d)an appeal has been made under regulation 21 of those Regulations;

(e)a matter has been referred to an ophthalmic service committee under regulation 23(1) of those Regulations; or

(f)representations have been made to the Tribunal under regulation 28, or an application has been made to the Tribunal or the Secretary of State under regulation 43, of those Regulations,

the provisions of those Regulations shall, notwithstanding regulation 39, continue to apply on and after that date, as respects any investigation, consideration, hearing, referral, report or determination which, by virtue of any provision of those Regulations, falls to be undertaken, held or made in relation to any such application, reference, appeal or representations, or in relation to any appeal under those Regulations from any determination of such application, reference or representations.

Revocations _I16

39. The Regulations specified in column (1) of Schedule 10 are hereby revoked to the extent specified in column (3) of that Schedule.

[^F1SCHEDULE 1 PROVISIONS CONFERRING POWERS EXERCISED IN MAKING THESE REGULATIONS _I17

regulation 3(5)

[^F121SCHEDULE 2

PART I CONSTITUTION OF DISCIPLINE COMMITTEES

1. A discipline committee other than a joint discipline committee shall consist of—

(a) a chairman appointed in accordance with paragraph 4;

(b) no more than three lay persons appointed by the Health Authority [^F122 or Primary Care Trust^F122] ; and

(c) no more than three professional persons appointed by the Health Authority [^F122 or Primary Care Trust^F122] from a list of nominees provided by the relevant local representative committee for the Health Authority’s [^F122 or Primary Care Trust's^F122] area.

2.—(1) A joint discipline committee shall consist of—

(a) a chairman appointed in accordance with paragraph 4; and

(b) ten other members of whom—

(i) two shall be lay persons appointed by the Health Authority [^F123 or Primary Care Trust^F123] ,

^F124 (ii) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F125 (iii) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iv) two shall be pharmacists appointed in accordance with sub-paragraph (2) by the pharmaceutical discipline committee,

(v) two shall be ophthalmic medical practitioners or opticians appointed in accordance with sub-paragraph (2) by the ophthalmic discipline committee.

(2) A person appointed as a member of a joint discipline committee by a discipline committee under sub-paragraph (1)(b) [^F126 (iv) or (v)^F126] shall already be a member of the discipline committee which appoints him or a deputy for such a member.

(3) A member of the joint discipline committee appointed by a discipline committee shall not take part in an investigation by the joint discipline committee unless the matter to be investigated involves a question relating to a relevant practitioner.

(4) For the purposes of sub-paragraph (3) a relevant practitioner is—

^F127 (a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F128 (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c) in relation to a member appointed by the ophthalmic discipline committee, an ophthalmic medical practioner or an optician;

(d) in relation to a member appointed by the pharmaceutical discipline committee, a chemist.

3.—(1) As respects each discipline committee not fewer than three lay persons and not fewer than three professional persons shall be appointed as deputies, according to the same provisions as apply to the appointment of members of that committee other than the chairman.

(2) Where a member of a discipline committee, other than the chairman, is absent a deputy appointed according to the same provisions as that member may act in his place.

4.—(1) The chairman of a discipline committee shall be a solicitor or barrister appointed by the Health Authority [^F129 or Primary Care Trust^F129] .

(2) The Health Authority [^F129 or Primary Care Trust^F129] shall, within 14 days of making an appointment under sub-paragraph (1), give notice in writing of the appointment to the other members of the discipline committee.

(3) Where, within 14 days of notice being sent under sub-paragraph (1), a statement duly signed in accordance with sub-paragraph (4) is sent to the Health Authority [^F129 or Primary Care Trust^F129] asserting that the chairman appointed by the Health Authority [^F129 or Primary Care Trust^F129] is not acceptable to the signatories of the statement, the Health Authority [^F129 or Primary Care Trust^F129] shall within 28 days of receipt of that statement refer the matter of the appointment to the Secretary of State.

(4) For the purposes of sub-paragraph (3) a statement must be signed—

(a) in the case of a discipline committee other than a joint discipline committee, by a majority of its lay members, or by a majority of its other members;

(b) in the case of a joint discipline committee, by both of its lay members or by both of the members appointed by any one of the discipline committees.

(5) Where the matter of the appointment is referred to the Secretary of State under sub-paragraph (3), he may, after consultation with the Health Authority [^F129 or Primary Care Trust^F129] and the relevant local representative committee, appoint another person to be chairman of the discipline committee, and the chairman appointed by the Health Authority [^F129 or Primary Care Trust^F129] shall cease immediately to hold office as chairman and member of that committee.

(6) A person appointed as chairman of a discipline committee who is already a member of that discipline committee shall, on his appointment as chairman, cease to be a member otherwise than in his capacity as chairman and a new member shall be appointed to take his place.

5.—(1) A person shall be appointed to act as deputy for the chairman of any discipline committee and the provisions of paragraph 4 shall apply to that appointment as they apply to the appointment of the chairman.

(2) The deputy chairman may, in the absence of the chairman, act in his place and may, if when appointed he was already a member of the committee, continue as a member but when acting as chairman shall act only in that capacity.

6.—(1) Subject to the other provisions of this Schedule, a Health Authority [^F130 or Primary Care Trust^F130] may make standing orders with respect to the term of office of any members and deputy members of any discipline committee.

(2) Subject to any re-appointment, the term of office of any member or deputy member of such a committee shall not exceed one year.

(3) A chairman of a discipline committee may attend and take part in any proceedings of the appropriate Health Authority [^F130 or Primary Care Trust^F130] at which a report of that committee is being considered, but may not vote.

7. A person who is a member of a discipline committee constituted under this Schedule shall cease to hold office—

(a) where he is the chairman or a lay member, on his ceasing to be a lay person;

(b) where he is a member not mentioned in sub-paragraph (a), on his ceasing to be a professional person.

8. In this Schedule—

(a) “lay member” means, in relation to a discipline committee or joint discipline committee, any member (other than the chairman) who is a lay person;

(b) “lay person” means a person who is not and never has been—

(i) a doctor, a dentist, an ophthalmic medical practitioner, an optician or a chemist,

(ii) a registered dispensing optician within the meaning of the Opticians Act,

[^F131 (iii) a registered nurse or registered midwife,^F131]

(iv) an officer of, or otherwise employed by, any Health Authority [^F132 or Primary Care Trust^F132] or a Community Health Council established under section 20 of the Act [^F133 or the Citizen Voice Body for Health and Social Care, Wales, established under section 12(1) of the Health and Social Care (Quality and Engagement) (Wales) Act 2020^F133] ;

(c) “professional person” means—

^F134 (i) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F135 (ii) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iii) in the case of a pharmaceutical discipline committee, a pharmacist,

(iv) in the case of an ophthalmic discipline committee, an ophthalmic medical practitioner or optician,

(v) in the case of a joint discipline committee, a member appointed by a discipline committee;

(d) references to a “Health Authority [^F132 or Primary Care Trust ^F132] ” include references to a Health Authority [^F132 or Primary Care Trust ^F132] which has jointly appointed a discipline committee in accordance with regulation 3(3); and

(e) where three or more Health Authorities [^F132 or Primary Care Trusts ^F132] have jointly appointed a discipline committee in accordance with regulation 3(3) references to the “relevant local representative committee” include references to any of the relevant local representative committees for the areas of those three of more Health Authorities [^F132 or Primary Care Trusts ^F132] . ^F121]

regulation 5(4)

^F136SCHEDULE 3 LATE COMPLAINTS

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

regulation 7(2)

[^F137SCHEDULE 4 PROCEDURE FOR INVESTIGATION BY DISCIPLINE COMMITTEES

Health Authority’s [^F138or Primary Care Trust's^F138] statement of case

1.—(1) Where a disciplinary matter is referred to the appropriate discipline committee in accordance with regulation 5(1) the appropriate Health Authority [^F138 or Primary Care Trust^F138] shall—

(a)send notice of the referral to the practitioner who is the subject of the matter within 2 working days of the referral;

(b)subject to sub-paragraph (3) send a statement of case to the discipline committee and the practitioner within 28 days of the referral;

(c)where sub-paragraph (1) of paragraph 2 applies send any notice under that sub-paragraph within 2 working days of the referral.

(2) The statement of case shall include—

(a)details of each provision of the practitioner’s terms of service with which it is alleged he has failed to comply specifying for each of those provisions the details of the alleged failure to comply;

(b)subject to sub-paragraph (3) copies of all relevant documentary evidence;

(c)the name and address of any witness the appropriate Health Authority [^F138 or Primary Care Trust^F138] intends shall give evidence at a hearing before the discipline committee and a copy of any statement made by any such witness.

(3) The appropriate Health Authority [^F138 or Primary Care Trust^F138] shall not in its statement of case, include or refer to copies of documents which were created for the purposes of a complaint unless such documents concern evidence brought into issue by the practitioner.

(4) Where the appropriate Health Authority [^F138 or Primary Care Trust^F138] requests an extension of the 28 day period mentioned in sub-paragraph (1)(b) before it expires, the chairman of the discipline committee may grant an extension of that period for a further 28 days from the day on which the period would otherwise expire.

Disciplinary matters in relation to deputies

2.—(1) Where a disciplinary matter which is investigated in relation to—

^F139(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F140(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)a chemist concerns the conduct of a pharmacist employed by him,

the appropriate Health Authority [^F138 or Primary Care Trust^F138] shall send a notice in writing in accordance with sub-paragraph (2) to the deputy, assistant or employed pharmacist.

(2) A notice sent under sub-paragraph (1) shall—

(a)invite the recipient of the notice to send to the appropriate Health Authority [^F138 or Primary Care Trust^F138] within 28 days of that notice being sent to him if he wishes to be treated as a party to the investigation notwithstanding that no action may be taken in relation to him under regulation 8—

(i)written notification of his wish, and

(ii)his written comments on the disciplinary matter;

(b)include details of each provision of the terms of service identified pursuant to paragraph 1(2)(a) and—

(i)a copy of the appropriate Health Authority’s [^F138 or Primary Care Trust's^F138] statement of case, or

(ii)notification of the date by which the statement of case is due under paragraph 1(1)(b) or where, an extension has been granted, under paragraph 1(4);

(c)inform the recipient of the notice that copies of any comments or other documents he may submit in connection with the investigation will be sent to the practitioner and may be produced at any hearing.

(3) Where the recipient of a notice given under sub-paragraph (1) informs the appropriate Health Authority [^F138 or Primary Care Trust^F138] that he wishes to be treated as a party to the investigation in accordance with sub-paragraph (2)(a)(i) and submits comments in accordance with sub-paragraph (2)(a)(ii), he shall be treated for the purposes of this Schedule as if he were a practitioner in relation to whom the allegation, the subject of the disciplinary matter, is made, though no action may be taken in relation to him under regulation 8, and the following paragraphs of this Schedule (except paragraph 3(1)) shall apply to him accordingly.

(4) A disciplinary matter of the type mentioned in regulation 4(6)(a) or (b) shall be brought as soon as practicable before the discipline committee.

Response of practitioner

3.—(1) Where the practitioner wishes to respond to the statement of case he shall send to the appropriate Health Authority [^F138 or Primary Care Trust^F138] and the discipline committee his response to the statement of case within 28 days of the date on which the statement of case was sent to him.

(2) Where the practitioner requests an extension of the 28 day period mentioned in sub-paragraph (1) before it expires, the chairman of the discipline committee may grant an extension of that period for a further 28 days from the day on which the period would otherwise expire.

Preparation for the hearing

4.—(1) The Health Authority [^F138 or Primary Care Trust^F138] which has appointed the discipline committee shall in writing—

(a)inform the parties—

(i)that there will be a hearing,

(ii)of the names of the members and deputy members of the discipline committee;

(b)send to the parties copies of any further correspondence relevant to the disciplinary matter; and

(c)request in writing each party to forward to the investigating committee within 14 days from the date of the request, copies of any documentary evidence, and of the names of any witnesses, which that party proposes to produce or call at the hearing.

(2) The Health Authority [^F138 or Primary Care Trust^F138] which has appointed the discipline committee shall give to the parties and the Secretary of the relevant local representative committee of the appropriate Health Authority [^F138 or Primary Care Trust^F138] , not less than 21 days' notice in writing of the date, time and place of the hearing and shall include with the notice to each party—

(a)a copy of any documents supplied by the other party pursuant to a request under sub-paragraph (1)(c);

(b)a request to that party to notify the discipline committee in writing whether or not he intends to attend the hearing.

(3) The chairman of the discipline committee may, upon the application of any party, postpone the hearing if he is satisfied that the attendance of the party or any witness on the date fixed for the hearing is not reasonably practicable, or for any other reason he thinks fit, in which case the provisions of sub-paragraph (2) shall apply as respects the postponed hearing.

(4) The Health Authority [^F138 or Primary Care Trust^F138] which has appointed the discipline committee shall, not less than 7 days before the date fixed for the hearing, supply—

(a)to each member of the discipline committee; and

(b)to the relevant local representative committee for the area of the appropriate Health Authority [^F138 or Primary Care Trust^F138] ,

copies of the appropriate Health Authority’s [^F138 or Primary Care Trust's^F138] statement of case, of any response of the practitioner, of any comments made under paragraph 2(2)(a)(ii) and of any further observations or correspondence between the parties.

Attendance at hearing

5.—(1)^F141 ... The hearing before the discipline committee shall be in private, and no person shall be admitted to it unless he is a person specified in sub-paragraph (2).

(2) The persons specified for the purposes of sub-paragraph (1) are—

(a)subject to sub-paragraph (3), no more than one member or officer of the appropriate Health Authority [^F138 or Primary Care Trust^F138] and the practitioner;

(b)any person permitted under sub-paragraph (3) to accompany a party;

(c)not more than one person who is a member or officer of the relevant local representative committee for the area of the appropriate Health Authority [^F138 or Primary Care Trust^F138] and who is authorised by that committee to attend the hearing on its behalf as an observer only;

(d)subject to sub-paragraph (5), any person whose attendance is required for the purpose of giving evidence to the discipline committee;

(e)not more than two officers of the Health Authority [^F138 or Primary Care Trust^F138] which has appointed the discipline committee, who have been authorised by that Health Authority [^F138 or Primary Care Trust^F138] to attend for the purpose of assisting the discipline committee in the discharge of its functions;

(f)where the parties all consent, and the discipline committee considers it appropriate, any other person.

(3) Subject to sub-paragraph (4), a party may be accompanied at the hearing by one other person who may assist him in the presentation of his case, but, if that other person is a barrister or solicitor, he shall not address the committee or put questions to witnesses.

(4) No officer or member of any Health Authority [^F138 or Primary Care Trust^F138] or of any of its committees referred to in regulation 3(1) shall be permitted to accompany the practitioner.

(5) Any person permitted to attend the hearing under sub-paragraph (2)(d) for the purpose of giving evidence shall, unless the discipline committee otherwise directs, be excluded from the hearing except while he is actually giving evidence.

Procedure at the hearing

6.—(1) At the hearing, any person mentioned in sub-paragraph (2)(a) or (b) of paragraph 5 may, subject to sub-paragraph (3) of that paragraph—

(a)address the committee; and

(b)put questions to witnesses, either directly or, where the chairman of the committee so directs' through him.

(2) Without prejudice to sub-paragraph (3) if a party fails to appear at the hearing, and the discipline committee is satisfied that his absence is due to illness or other reasonable cause, or if for any other reason the committee thinks fit, it may, after considering the observations of any party who is present, adjourn the hearing, in which case the provisions of paragraph 4(2) shall apply as respects the resumed hearing.

(3) Where any person to whom notice of the hearing has been given under paragraph 4(2) fails to attend the hearing, either in person or by a representative, the discipline committee may, having regard to the circumstances of which it is aware, proceed with the hearing notwithstanding that person’s absence.

(4) Prior to the commencement of a hearing, the chairman shall ask the other members of the discipline committee whether any of them is interested in a question referred to them, either directly or through association with a party, and if, in the opinion of the chairman, any member is so interested, that member shall take no part in the hearing, but a deputy appointed in the like manner may act in his place.

(5) Where, in the course of a hearing, any issue arises in relation to an event or matter which, in the opinion of the chairman—

(a)is pertinent to the disciplinary matter but was not sufficiently disclosed to the practitioner prior to the hearing, the chairman may direct that the issue is to be excluded from the investigation;

(b)is not pertinent to the disciplinary matter the issue shall be excluded from the investigation.

(6) Subject to sub-paragraph (7) where no direction is made under sub-paragraph (5)(a) in relation to an issue to which that provision applies, the hearing shall be adjourned unless the practitioner and the chairman agree that the hearing may proceed.

(7) Any issue to which sub-paragraph (5) applies which concerns an allegation of a failure to comply with a term of service other than the terms of service detailed in the appropriate Health Authority’s [^F138 or Primary Care Trust's^F138] statement of case shall be excluded from the investigation to the extent that it concerns such an allegation.

(8) Before being invited to give his agreement for the purposes of sub-paragraph (6), a practitioner who is not accompanied by a person mentioned in sub-paragraph (2)(b) of paragraph 5 shall be afforded an opportunity to consult any person who may be present at the hearing pursuant to sub-paragraph (2)(c) of that paragraph.

(9) No evidence relating to an alleged breach of the practitioner’s terms of service which was not specified in the appropriate Health Authority’s [^F138 or Primary Care Trust's^F138] statement of case in accordance with paragraph 1(2)(a) may be produced at the hearing.

(10) No documentary evidence which was prepared for the purpose of a complaint may be produced by the appropriate Health Authority [^F138 or Primary Care Trust^F138] unless it concerns evidence brought into issue by the practitioner.

(11) Subject to the other provisions of this Schedule, the procedure at the hearing shall be such as the investigating discipline committee may determine.

The committee’s report

7.—(1) The discipline committee shall present to the appropriate Health Authority [^F138 or Primary Care Trust^F138] a report in writing which shall contain—

(a)details of the material evidence given to it;

(b)its findings on all relevant questions of fact;

(c)the inferences which, in the view of the discipline committee, may properly be drawn from such findings of fact as to whether or not the practitioner has failed to comply with his terms of service;

(d)its reasons for drawing such inference; and

(e)its recommendations as to the action which should be taken by the appropriate Health Authority [^F138 or Primary Care Trust^F138] .

(2) In making recommendations in accordance with sub-paragraph (1)(e) the discipline committee shall not take into account any findings of any discipline committee that the practitioner has failed to comply with his terms of service on other occasions.

(3) For the purposes of sub-paragraph (2) “any discipline committee” includes any service committee which investigated a complaint under the provisions of Part II of these Regulations as they were in force before 1st April 1996.

Provisions as to quorum, composition and voting

8.—(1) At any hearing of a discipline committee other than a joint discipline committee the quorum shall consist of a chairman, two lay members and two members who are professional persons.

(2) At any hearing of a joint discipline committee, the quorum shall consist of the chairman, two lay members and two other members—

(a)who are professional persons; and

(b)in relation to—

(i)one of whom, one of the practitioners is a relevant practitioner, and

(ii)the other of whom, the other of the practitioners is a relevant practitioner.

(3) The proceedings at any meeting of a discipline committee shall be suspended if, and for so long as—

(a)the number of members present falls below the quorum specified in sub-paragraph (1) or (2); or

(b)the number of lay members who are present exceeds, or is exceeded by, the number of other members (apart from the chairman) who are present.

(4) Where, after the commencement of a hearing before a discipline committee, the hearing is adjourned for the purposes of hearing further evidence or for preparing or considering the report, no member of the committee who was not present at the earlier sitting of the hearing shall be present at the proceedings at the resumed hearing.

(5) Where there is an equality of votes among members of a discipline committee, the chairman shall have a casting vote, but shall not otherwise be entitled to vote.

Interpretation

9. In this Schedule, unless the context otherwise requires—

(a) “lay member” and “professional person” have the meanings given to them in paragraph 8 of Schedule 2;

(b) “relevant practitioner” means where the practitioner is—

^F142(i). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F143(ii). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iii)an optician or ophthalmic medical practitioner, an ophthalmic medical practitioner or optician,

(iv)a pharmacist, a pharmacist;

^F144(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d) “parties” means the practitioner, the appropriate Health Authority [^F138 or Primary Care Trust ^F138] and any person treated as a party pursuant to paragraph 2(3). ^F137]

[^F145 regulation 11(2) and (3)^F145]

SCHEDULE 5 ADVISORY COMMITTEES

PART I SPECIFIED FAILURES TO COMPLY WITH TERMS OF SERVICE

^F1461. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F1472. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F148PART II THE MEDICAL ADVISORY COMMITTEE

^F1483. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F1484. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F1485. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F1486. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F1487. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F1488. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F1489. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F149PART III THE DENTAL ADVISORY COMMITTEE

^F14910. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F14911. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F14912. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F14913. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F14914. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F14915. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F14916. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

regulations 13(9) and 14(9)

^F150SCHEDULE 6 ORAL REPRESENTATIONS

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

regulation 18(6)

^F151SCHEDULE 7 RULES OF PROCEDURE UNDER REGULATION 18

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

regulation 24(4)

^F152SCHEDULE 8 FORMS FOR USE IN PROCEEDINGS BEFORE TRIBUNAL _I18

^F153PART I NOTICE TO THE RESPONDENT OF INTENTION TO HOLD INQUIRY

^F154PART II NOTICE TO COMPLAINANT OF INTENTION TO HOLD INQUIRY

regulations 26(1), 27(4), 29(5) and 30(3)

SCHEDULE 9 HEARINGS UNDER PART III _{I19,I20,I21,I22,I23,I24,I25,I26,I27}

1. The person holding the inquiry shall [^F155 whether or not on application by any party^F155] appoint a day for the hearing and shall, not less than 14 days before that day, send notice to the parties of the date, time and place of the hearing.

2. Where the inquiry concerns representations [^F156 or suspension proceedings^F156] , the person holding it may send to any [^F157 Health Authority or Primary Care Trust^F157] which is not a party but in whose medical, dental, ophthalmic or pharmaceutical list the respondent’s name is included [^F158 (or, in the case of representations made under the 1997 Act, in whose medical list the respondent is seeking to be included)^F158] a notice of the date, time and place of the hearing.

3. The person holding the inquiry may, whether or not on an application by any party, postpone the date of the hearing, and the provisions of paragraphs 1 and 2 shall apply as respects the postponed inquiry.

4. The hearing shall be in public if—

(a) in the case of representations [^F159 or suspension proceedings^F159] , the respondent; or

(b) in the case of an application, the applicant,

so requests; otherwise, it shall be in private.

5.—(1)^F160 ..., where the hearing is to be in private, no person shall be admitted to it unless he is—

(a) a person entitled under sub-paragraph (2) to represent [^F161 a Health Authority or Primary Care Trust^F161] which—

(i) is a party to the inquiry, or

(ii) is not a party to which a notice has been sent under paragraph 2;

(b) a party to the inquiry, other than [^F161 a Health Authority or Primary Care Trust^F161] ; or

(c) a person permitted under sub-paragraph (3) to represent a party referred to in head (b) of this sub-paragraph.

(2)[^F161 A Health Authority or Primary Care Trust^F161] referred to in sub-paragraph (1)(a) may be represented at the hearing by a member or an officer or by counsel or solicitor.

(3) Any party referred to in paragraph (1)(b) may be represented at the hearing by counsel or solicitor or by any other person.

6. At any hearing either party may—

(a) address the person holding the inquiry;

(b) call witnesses and produce other evidence, including evidence not produced prior to the inquiry; and

(c) put questions to any person giving evidence on behalf of the other party.

7.[^F162 A Health Authority or Primary Care Trust^F162] to whom notice has been sent under paragraph 2 may take such part in the proceedings as the person holding the inquiry thinks proper.

8.—(1) Where any party to whom notice of the hearing has been [^F163 sent^F163] in accordance with paragraph 1 fails to appear at the hearing, either in person or by a representative, the person holding the inquiry may, after having regard to all the circumstances, including any explanation offered for the absence, proceed with the hearing notwithstanding that party’s absence.

(2) Subject to [^F164 any directions or other orders or instructions given under regulation 23A and to^F164] the other provisions of this Schedule, the procedure at the hearing shall be for the person holding the inquiry to decide.

[^F165 9. Section 250(2) and (3) of the Local Government Act 1972 (summoning of witnesses, evidence, etc) shall apply to an inquiry as though the Tribunal were a person appointed to hold a local inquiry under that section.^F165]

10. For the purposes of this Schedule—

(a) the parties to an inquiry are—

(i) in the case of representations [^F166 or suspension proceedings^F166] , the complainant and the respondent,

(ii) in the case of an application, the applicant and the respondent; and

[^F167 (b) references to the person holding the inquiry are (subject to regulation 26A) to the Tribunal.^F167]

[^F168 11. In this Schedule—

(a) “suspension proceedings” means proceedings relating to an application for interim suspension under section 49A of the Act or a proposal to give a direction under section 49B(1) of the Act; and

(b) “inquiry” includes any hearing relating to suspension proceedings. ^F168]

regulation 39

SCHEDULE 10 REVOCATIONS _I28