The National Health Service (Service Committees and Tribunal) Regulations 1992

Investigation of record keeping

17.—(1) Where it appears to the Secretary of State, after an examination by a medical officer of any record cards held by a doctor, that the doctor has failed to carry out his obligations under paragraph 36 of his terms of service in so far as such obligations involve the recording of clinical data regarding his patients, the Secretary of State may refer the matter for consideration by the Local Medical Committee.

(2) Where it appears to the Secretary of State, after an examination by a dental officer of any record cards held by a dentist other than a salaried dentist, that the dentist has failed to carry out his obligations under paragraph 25 of his terms of service, the Secretary of State may refer the matter for consideration by the Local Dental Committee.

(3) In this regulation—

(a)“the relevant Local Committee” means the Local Medical Committee or the Local Dental Committee as the case may be;

(b)“the relevant practitioner” means a doctor in respect of whom a reference is made under paragraph (1) or, as the case may be, a dentist in respect of whom a reference is made under paragraph (2);

(c)“record cards” means—

(i)in the case of a doctor, the cards on which he is required, under paragraph 36 of his terms of service, to keep records of the illnesses of his patients and of his treatment of them,

(ii)in the case of a dentist, the records which he is required, under paragraph 25 of his terms of service, to keep as to the treatment provided by him for any person for whom he is providing general dental services.

(4) Any reference of a matter to the relevant Local Committee under paragraph (1) or (2) shall be accompanied by a statement of the Secretary of State’s grounds for considering that the obligations mentioned in that paragraph have not been fulfilled.

(5) The relevant Local Committee shall—

(a)furnish the relevant practitioner with a copy of the statement made under paragraph (4); and

(b)afford him a reasonable opportunity of—

(i)submitting to them a statement in writing, and

(ii)appearing before, and being heard by, them.

(6) A copy of any statement submitted by the practitioner under paragraph (5)(b) shall be forwarded by the relevant Local Committee to the Secretary of State for his observations, and a representative or representatives of the Secretary of State shall, in the event of a hearing, be entitled to attend and be heard by the relevant Local Committee.

(7) If so required by notice in writing signed by the chairman of the relevant Local Committee, the relevant practitioner shall—

(a)produce at the hearing all record cards held by him or such of these record cards as may be specified in the notice;

(b)afford—

(i)in the case of a doctor, to any such member of the Local Medical Committee as may be specified in the notice, or

(ii)in the case of a dentist, to a dental officer,

access at all reasonable times to the surgery or other place where the record cards are kept, for the purpose of enabling the inspection of such record cards; and

(c)furnish such persons as may have been specified under sub-paragraph (b) of this paragraph with any such record cards and with such other necessary information with regard to those record cards as they may reasonably require.

(8) After considering the matter referred to them, the relevant Local Committee shall—

(a)report to the Secretary of State whether there has been a failure on the part of the practitioner to carry out his obligations, and, if so, as to the extent or gravity of any such failure; and

(b)make a recommendation as to the action, if any, which should be taken by the Secretary of State in relation to any such failure.

(9) The relevant Local Committee shall—

(a)forward to the relevant practitioner a copy of any report made under paragraph (8); and

(b)notify that practitioner in writing of his right of appeal to the Secretary of State under paragraph (10).

(10) The relevant practitioner may appeal against any findings contained in the report of the relevant Local Committee by sending to the Secretary of State notice of appeal within 30 days from the date on which a copy of the report was sent to him.

(11) The provisions of regulation 16(8) and (9) shall apply in the case of an appeal by a relevant practitioner under paragraph (10) of this regulation as they apply in the case of an appeal under paragraph (7) of that regulation, and where the relevant practitioner is a dentist, those provisions shall have effect as if for references to a doctor and a medical officer there were substituted references to a dentist and a dental officer respectively.

(12) If the Secretary of State is dissatisfied with the findings of the relevant Local Committee he may refer the matter for hearing and determination by a referee or referees.

(13) Paragraphs (8) and (9) of regulation 16 shall apply in the case of a matter referred under paragraph (12) of this regulation as they apply in the case of an appeal under paragraph (10).

(14) After consideration of the findings and recommendation—

(a)of the relevant Local Committee; or

(b)if—

(i)an appeal has been made under paragraph (10) or

(ii)the matter has been referred for hearing and determination under paragraph (12),

of the person or persons determining the appeal or matter,

• the Secretary of State may, if he is satisfied that there has been a failure on the part of the relevant practitioner to comply with his obligations as mentioned in paragraph (1) or, as the case may be, paragraph (2), consider, subject to paragraph (15), whether an amount should be recovered from the relevant practitioner, by deduction from his remuneration or otherwise.

(15) The provisions of paragraphs (3), (4), (5), and (7) to (10) of regulation 13, and of Schedule 6, shall apply to the determination of any question of recovery arising under paragraph (14) of this regulation as if—

(a)that question had arisen in any of the circumstances mentioned in paragraph (1) of that regulation; and

(b)the references to the FHSA in paragraph (10) of that regulation, and in paragraphs 2 and 3 of Schedule 6 were references to the relevant Local Committee.