Regulation 4
1. The person has within the preceding five years—
(a)been convicted in the United Kingdom of any criminal offence or been convicted elsewhere of any offence which, if committed in any part of the United Kingdom would constitute a criminal offence; and
(b)been sentenced to a sentence of imprisonment (whether suspended or not), and
the conviction has not been quashed nor the sentence reduced to a sentence other than a sentence of imprisonment (whether suspended or not) on appeal.
2. The person is an undischarged bankrupt or a person whose estate has had sequestration awarded in respect of it and who has not been discharged.
3. The person is the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order(1) or an order to like effect made in Scotland or Northern Ireland.
4. The person has made a composition or arrangement with, or granted a trust deed for, creditors and not been discharged in respect of it.
5. The person has been dismissed (without being re-instated) by reason of misconduct from any paid employment where that dismissal has not been the subject of a finding of unfair dismissal by a tribunal or court.
6. The person is the subject of a national NHS disqualification, namely—
(a)a decision made by FHSAA, under section 159 of the NHS Act 2006 or under regulations corresponding to that section made under section 91(3), 106(3), 123(3) or 146(3) of that Act (regulations in relation to lists of persons performing primary medical, dental, ophthalmic and local pharmaceutical services); or
(b)a decision by the NHS Tribunal which is treated as a national disqualification by the FHSAA by virtue of regulation 6(4)(b) of the Abolition of the NHS Tribunal (Consequential Provisions) Regulations 2001(2) or regulation 6(4)(b) of the Abolition of the NHS Tribunal (Consequential Provisions) Regulations 2002(3).
7. The person has been refused admission to—
(a)a pharmaceutical list pursuant to regulations made under section 129 of the NHS Act 2006; or
(b)a performers list under regulation 6 of the Performers Lists Regulations(4),
and has not subsequently been included in a pharmaceutical list or, as the case may be, a performers list.
8. The person is conditionally included in—
(a)a pharmaceutical list pursuant to regulations made under section 148 of the NHS Act 2006; or
(b)a performers list under regulation 8 of the Performers Lists Regulations.
9. The person has been removed from—
(a)a pharmaceutical list under section 151 of the NHS Act 2006; or
(b)a performers list under regulation 10 of the Performers Lists Regulations(5).
10. The person is contingently removed from—
(a)a pharmaceutical list under section 152 of the NHS Act 2006; or
(b)a performers list under regulation 12 of the Performers Lists Regulations.
11. The person is suspended from—
(a)a pharmaceutical list under section 154 or 155 of the NHS Act 2006; or
(b)a performers list under regulation 13 of the Performers Lists Regulations(6).
12. The person is one in whose case a body that licences or regulates a profession has made a decision under any enactment in force in Wales, Scotland or Northern Ireland corresponding to those prescribed in paragraphs 6 to 11 where that decision has like effect to the circumstances in those paragraphs.
13. The person is subject to—
(a)a disqualification order or disqualification undertaking under the Company Directors Disqualification Act 1986(7);
(b)a disqualification order under Part 2 of the Companies (Northern Ireland) Order 1989(8) or disqualification undertaking under the Company Directors Disqualification (Northern Ireland) Order 2002(9); or
(c)an order made under section 429(2)(b) of the Insolvency Act 1986(10) (failure to pay under county court administration order).
14. The person has been removed—
(a)from the office of charity trustee or trustee for a charity by an order made by the Charity Commissioners or the High Court on the grounds of any misconduct or mismanagement in the administration of the charity for which that person was responsible or to which that person was privy, or which that person, by his conduct, contributed to or facilitated; or
(b)under section 7 of the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990(11) (powers of Court of Session to deal with management of charities) from being concerned in the management or control of any body.
15. The person’s tenure of office as the chair or as a member, director or governor of an NHS body has been terminated on the ground that—
(a)it was not in the interests of, or conducive to the good management of, that NHS body or the health service that that person should continue to hold that office;
(b)that person failed, without reasonable cause, to attend any meeting of that NHS body for a period of three months or more; or
(c)that person failed to declare a pecuniary interest or withdraw from consideration of any matter in respect of which that person had a pecuniary interest.
16. The person ceased to be a member of a local authority by virtue of section 85 of the Local Government Act 1972(12) (vacation of office by failure to attend meetings).
17. The person is disqualified from being or becoming a member of a local authority by virtue of a decision of a case tribunal made under section 78A or section 79 of the Local Government Act 2000(13).
18. The person ceased to be a Scottish councillor by virtue of section 35 of the Local Government (Scotland) Act 1973(14) (vacation of office by failure to attend meetings).
19. The person is disqualified from being or becoming a Scottish councillor by virtue of a decision of the Standards Commission for Scotland made under section 19 of the Ethical Standards in Public Life etc. (Scotland) Act 2000(15).
20. The person is included in any list maintained by the Secretary of State under section 1 of the Protection of Children Act 1999(16) (list of persons considered unsuitable to work with children) or section 81 of the Care Standards Act 2000(17) (list of persons considered unsuitable to work with vulnerable adults), in the children’s and adults’ barred lists maintained under section 2 of the Safeguarding Vulnerable Groups Act 2006(18) or in any corresponding list maintained under an equivalent enactment in force in Scotland or Northern Ireland.
21. The person’s registration as a provider or manager of an establishment or agency under Part 2 of the Care Standards Act 2000 has been cancelled by the registration authority under section 14 of that Act(19) except where—
(a)that decision has been subject to a direction by the Tribunal given under section 21 of that Act that it shall not have effect; or
(b)the cancellation was only by reason of an application for cancellation having been made by the registered person pursuant to section 15(1)(b) of that Act.
22. The person’s application for registration under Part 1 of the Health and Social Care Act 2008 has been refused under section 12 or section 15 of that Act.
23. The person’s registration under Part 1 of the Health and Social Care Act 2008 has been cancelled by the Commission under section 17 of that Act except where—
(a)that decision has been subject to a direction by the Tribunal given under section 32 of that Act that it shall not have effect; or
(b)the cancellation was only by reason of an application for cancellation having been made by the registered person pursuant to section 19(1)(b) of that Act.
24. The person is one in whose case a decision which is of like effect to those listed in paragraph 22 or 23 has been made under any enactment in force in Scotland or Northern Ireland corresponding to Part 1 of the Health and Social Care Act 2008.
25. The person’s registration as a health care professional has been withdrawn or suspended.
26. The person has been removed or suspended from the register maintained under section 56 of the Care Standards Act 2000(20) pursuant to rules made under sections 59 and 71 of that Act or from a corresponding register maintained under any enactment in force in Scotland or Northern Ireland.
27. The person is an employee of the Commission.
28. “Health care professional” in paragraph 25 means a person who is a member of a profession regulated by a body for the time being mentioned in section 25(3) of the National Health Service Reform and Health Care Professions Act 2002(21).
29. For the purposes of paragraph 1, the date of conviction shall be deemed to be the date on which the ordinary period allowed for making an appeal or application with respect to the conviction expires or, if such an appeal or application is made, the date on which the appeal or application is finally disposed of or abandoned or fails by reason of its not being prosecuted.
30. For the purposes of paragraph 5, a person shall not be treated as having been in paid employment by reason only of that person having been—
(a)the chair or non-executive director of a National Health Service trust;
(b)the chair, or a governor or a non-executive director of an NHS foundation trust;
(c)in the case of any other NHS body, the chair or a non-officer member of the body; or
(d)a member of the Audit Commission.
See Schedule 4A to the Insolvency Act 1986 (c.45), inserted by the Enterprise Act 2002 (c.40).
SI 2001/3744; amended by S.I. 2002/2469.
Regulation 6 was amended by S.I. 2005/893, S.I. 2005/3491 and S.I. 2006/635.
Regulation 10 was amended by S.I. 2004/2694.
Regulation 13 was amended by S.I.2006/1385.
1986 c.46; section 1A (disqualification undertakings) was inserted by section 6 of the Insolvency Act 2000 (c.39).
1986 c.45; section 429(2) was amended by the Enterprise Act 2002 (c. 40), Schedule 23, paragraph 15.
1990 c. 40; the functions of the Lord Advocate transferred to the Secretary of State by the Transfer of Functions (Lord Advocate and Secretary of State) Order 1999 (S.I. 1999/678), article 2(1) and Schedule; see the entry in the Schedule for the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990.
1972 c. 70; section 85 was modified by the Waste Regulation and Disposal (Authorities) Order 1985 (S.I. 1985/1884), article 10, Schedule 3; subsections (2A) and (2B) were inserted in relation to England by S.I. 2001/2237, article 7(a), and in relation to Wales, by S.I. 2002/808, article 7(a); sub-section (3) was amended in relation to England by S.I. 2001/2237, article 7(b), and in relation to Wales, by S.I. 2002/808, article 7(b); subsection (3A) was inserted by the Local Government Act 2000 (c. 22), section 107, Schedule 5, paragraph 9, and was amended in relation to England by S.I. 2001/2237, article 7(c), and in relation to Wales, by S.I. 2002/808, article 7(c); sub-section (4) was inserted by the Local Government Act 1985 (c. 51), section 84, Schedule 14, paragraph 7, and was repealed in part by the Education Reform Act 1988 (c. 40), section 237, Schedule 13, Part 1; the functions of the Secretary of State under section 85(3), so far as exercisable in relation to Wales, transferred to the National Assembly for Wales by the National Assembly for Wales (Transfer of Functions) Order 1999 (S.I.1999/672), article 2, Schedule 1; see the entry in Schedule 1 to that Order for the Local Government Act 1972. The functions were subsequently transferred to the Welsh Ministers by virtue of paragraph 30(1) of Schedule 11 to the Government of Wales Act 2006 (c. 32).
2000 c. 22. Section 78A was inserted and section 79 was amended by the Local Government and Public Involvement in Health Act 2007 (c.28), section 198. See section 76 of the Local Government Act 2000 for the function of case tribunals.
1973 c. 65. Section 35 was amended by the Ethical Standards In Public Life etc. (Scotland) Act 2000 (asp 7), section 29(1); the functions of the Secretary of State under section 35(3) transferred to the Scottish Ministers by virtue of section 53 of the Scotland Act 1998 (c. 46).
2000 asp 7. Section 19 was amended by the Water Services etc. (Scotland) Act 2005 (asp 3), section 32 and Schedule 5, paragraph 6(a). See section 8 of the Ethical Standards in Public Life etc. (Scotland) Act 2000 for the functions of the Standards Commission for Scotland.
1999 c. 14; section 1(2)(a) was amended by the Care Standards Act 2000, sections 95(2), 97(2), and 98(4); section 1(2)(aa) was inserted by section 96(2) of that Act.
Section 14 was amended by paragraph 107 of Schedule 3 to the Adoption and Children Act 2002 (c.38).
Section 56 was amended by S.I. 2007/3101.