Statutory Instrument 1997 No. 1529

The General Medical Council (Professional Performance) Rules Order of Council 1997

(The document as of February, 2008)

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STATUTORY INSTRUMENTS

1997 No. 1529

MEDICAL PROFESSION

The General Medical Council (Professional Performance) Rules Order of Council 1997

	Made	17th June 1997
	Laid before Parliament	17th June 1997
	Coming into force	1st July 1997

At the Council Chamber, Whitehall, The 17th day of June 1997
By the Lords of Her Majesty's Most Honourable Privy Council
WHEREAS in pursuance of paragraphs 1(1), (2A) and (2B) and 5A(1), (2) and (3) of Schedule 4 to the Medical Act 1983[1] the General Medical Council, having consulted with such bodies of persons representing medical practitioners as appeared to the said Council to be requisite, have made the General Medical Council (Professional Performance) Rules 1997 as set out in the Schedule to this Order:

    AND WHEREAS by sub-paragraph (5) of the said paragraph (1) such Rules shall not come into force until approved by Order of the Privy Council:

    NOW, THEREFORE, Their Lordships, having taken the said Rules into consideration, are hereby pleased to approve the same.

This Order may be cited as the General Medical Council (Professional Performance) Rules Order of Council 1997, and shall come into force on 1st July 1997.


N. H. Nicholls
Clerk of the Privy Council


SCHEDULE

THE GENERAL MEDICAL COUNCIL (PROFESSIONAL PERFORMANCE) RULES 1997

ARRANGEMENT OF RULES

PART I
INTRODUCTION

1.	Citation and commencement

2.	Interpretation

PART II
SCREENING

3.	Appointment of screeners

4.	Earlier cases taken into account

5.	The screening process

6.	Assessment at screening stage

PART III
ASSESSMENT

7.	Case co-ordinator

8.	Constitution of Assessment Panels

9.	Death or resignation of Assessment Panel member

10.	Assessment Panels to receive papers

11.	Procedure of Assessment Panels

12.	Failure to comply with the requirements of assessment

13.	Report of Assessment Panel

PART IV
ASSESSMENT REFERRAL COMMITTEE

14.	Directions for assessment

15.	Functions of Assessment Referral Committee

16.	Meetings and procedure of Assessment Referral Committee

PART V
PROCEDURE FOLLOWING ASSESSMENT

17.	Case co-ordinator's consideration of Panel's Report

18.	Statement of requirements

19.	Modification of statement of requirements

20.	Second assessment

21.	Case co-ordinator's consideration of Report of the second Assessment Panel

22.	Second statement of requirements

23.	Third assessment

24.	Case co-ordinator's consideration of Report of the third Assessment Panel

25.	Referral to Committee on Professional Performance

26.	Withdrawal of reference to Committee on Professional Performance

PART VI
COMMITTEE ON PROFESSIONAL PERFORMANCE

27.	Directions for Assessment

28.	Self-referral to Committee on Professional Performance after assessment

29.	Failure to comply with reasonable requirements

30.	Meetings and procedure of the Committee on Professional Performance

PART VII
GENERAL

31.	Service of documents

32.	Power to extend time limits

33.	Amendment of Health Rules

34.	Amendment of Conduct Rules

SCHEDULES

1.

General provisions on meetings and procedure of Committees

2.

Procedure of Assessment Referral Committee

3.

Procedure of Committee on Professional Performance

The General Medical Council, in exercise of their powers under paragraph 1(1), (2A) and (2B) and 5A (1), (2) and (3) of Schedule 4 to the Medical Act 1983[2], after consulting with such bodies of persons representing medical practitioners as appear to the Council to be requisite to be consulted, and of all other powers enabling the Council in that behalf, hereby makes the following Rules:

PART I
INTRODUCTION
Citation and commencement
    1.These Rules may be cited as the General Medical Council (Professional Performance) Rules 1997 and shall come into force on 1st July 1997.

Interpretation
    2. - (1) In these Rules, unless the context otherwise requires - 

"the Act" means the Medical Act 1983;

"assessment" means an assessment of the standard of a practitioner's professional performance;

"case co-ordinator" means the person appointed under rule 7;

"complaint" and "information" means a complaint or information which suggests that the standard of a doctor's professional performance may have been seriously deficient;

"complainant" means a person by whom a complaint has been made to the General Council and includes the complainant in an earlier case taken into account under rule 4;

"Conduct Rules" means The General Medical Council Preliminary Proceedings Committee and Professional Conduct Committee (Procedure) Rules Order in Council 1988[3];

"the Council" means the General Medical Council or a Committee of the Council acting under delegated power;

"doctor" means a registered medical practitioner;

"Health Rules" means The General Medical Council Health Committee (Procedure) Rules Order of Council 1987[4];

"the Health Service Acts" means the National Health Service Act 1977[5], the National Health Service (Scotland) Act 1978[6], the National Health Service and Community Care Act 1990[7], the Health and Personal Social Services Northern Ireland Order 1972[8] and the National Health Service (Primary Care) Act 1997[9], and a reference to those Acts is to be construed as a reference to them as they have effect on the making of these Rules and as amended subsequently;

"lay adviser" means a lay person who is a member of the Council and appointed by the Council for the purposes of rule 17(6), (7), (8) and (9) and rule 26(2);

"lay person" means a person who is not and never has been a doctor;

"lay screener" means a lay person who is a member of the Council and appointed by the Council for the purposes of rule 5(6), (7) and (8) and rule 6(8) and (9);

"lead assessor" means the person appointed under rule 8(1)(a);

"legal assessor" means an assessor appointed by the General Council under paragraph 7 of Schedule 4 to the Act;

"medical screener" means a person appointed under rule 3(1);

"person acting in a public capacity" means an officer of any body established by or under the Health Service Acts, a Hospital Medical Staff Committee or body exercising similar functions, a local authority, a body granting primary United Kingdom qualifications, a medical Royal College, a Government Department or Agency or any other public body or authority, a person holding judicial office, or any officer attached to a Court, or the Solicitor, where the person concerned is acting in that official capacity;

"practitioner" means a doctor whose standard of professional performance is alleged to be seriously deficient and includes a person whose registration is currently suspended;

"the Solicitor" means any solicitor appointed by the Council and includes counsel representing the Solicitor;

"specialist adviser" means a person appointed under paragraph 8 of Schedule 1;

"statement of requirements" means the statement drawn up under rule 17(10) and "second statement of requirements" means the statement drawn up under rule 22.

    (2) In these Rules, any reference to the Registrar acting in any matter includes a reference to a deputy or assistant registrar or any other person authorised by the Registrar to act in the matter.

    (3) In these Rules, any reference - 

(a) to notifying a person of any matter is a reference to notifying that person of the matter in writing; and

(b) to a person agreeing any matter is a reference to that person agreeing that matter in writing.

    (4) The rules for the construction of Acts of Parliament contained in the Interpretation Act 1978[10] shall apply to the interpretation of these Rules as they apply to the interpretation of an Act of Parliament.

    (5) Unless the context otherwise requires, a reference - 

(a) in these Rules - 


(i) to a numbered rule is a reference to the rule bearing that number in these Rules, and

(ii) to a numbered Schedule is a reference to the Schedule bearing that number in these Rules;



(b) in a rule in, or in a Schedule to, these Rules to a numbered paragraph is a reference to the paragraph bearing that number in that rule or Schedule;

(c) in a paragraph in a Schedule to these Rules, to a numbered subparagraph is a reference to the subparagraph bearing that number in that paragraph.

PART II
SCREENING
Appointment of screeners
    3. - (1) Before any case is considered by the Assessment Referral Committee it shall have been considered by a member of the Council appointed for the purpose by the Council ("the medical screener") and referred by that person to the Committee.

    (2) The member appointed under paragraph (1) shall be a doctor.

    (3) The Council shall keep - 

(a) a list of members of the Council who are doctors and who are appointed for the purposes of paragraph (1); and

(b) a list of members of the Council who are lay persons ("lay screeners") and who are appointed by the Council for the purposes of rule 5(6), (7) and (8).

Earlier cases taken into account
    4. - (1) Subject to paragraph (2), where the medical screener has decided under these Rules to take no further action in connection with a complaint or information ("the earlier case") the earlier case may nonetheless be taken into account by the medical screener in connection with the consideration of a subsequent complaint or information with a view to determining whether together they indicate a pattern of professional performance which is seriously deficient.

    (2) An earlier case may only be taken into account in accordance with paragraph (1) if, when the practitioner is notified that no further action is to be taken in connection with that earlier case, the notification contains a statement that the case may be taken into account in the consideration of any subsequent complaint or information.

The screening process
    5. - (1) The medical screener shall take no action under rule 6 in connection with a case unless the complaint or information received by the Council - 

(a) is in writing;

(b) except where it has been made by a person acting in a public capacity, is accompanied by a statutory declaration or affidavit in support which states the address and description of the deponent and the grounds for his belief in the truth of any fact asserted which is not within his personal knowledge; and

(c) suggests to the medical screener that - [a]


(i) the standard of the practitioner's professional performance may have been seriously deficient; and

(ii) it may be appropriate to take action under rule 6.

    (2) For the purposes of considering a case, the medical screener may seek information about or observations on the case from any person who, in the opinion of the medical screener, might assist him in deciding whether there may be reason to believe that the standard of the practitioner's professional performance has been seriously deficient.

    (3) Where the conditions in paragraph (1) are satisfied, the Registrar shall notify the practitioner - 

(a) of the complaint or information; and

(b) where rule 4 applies, that the medical screener intends to take into account a complaint or information previously received by the Council.

    (4) A notice under paragraph (3) shall include - 

(a) copies of the complaint or information under consideration, any statutory declaration or affidavit and any case which the medical screener intends to take into account under rule 4;

(b) a copy of these Rules; and

(c) a statement that - 


(i) the medical screener is considering inviting the practitioner under rule 6(2)(b) to agree that an assessment be carried out, and

(ii) the practitioner may submit observations on the case to the medical screener in writing within the period 28 days of being sent the notice.

    (5) After the practitioner's observations have been received or after the expiry of the period referred to in paragraph (4)(b)(ii) whichever is the earlier, the medical screener shall decide whether to take further action in connection with the case.

    (6) The medical screener shall not decide that no further action needs to be taken in connection with a case unless he has consulted a lay screener and the lay screener agrees that no further action needs to be taken.

    (7) If both the medical screener and the lay screener decide that no further action needs to be taken in connection with the case under these Rules then - 

(a) the practitioner and the complainant shall be informed of the decision, the reasons for it and that a lay screener has agreed with the medical screener's decision; and

(b) where a statement under rule 4(2) is sent to the practitioner a copy of the statement shall also be sent to the complainant.

    (8) If the lay screener considers that further action needs to be taken in connection with the case, the case shall be dealt with under the following provisions of these Rules.

Assessment at screening stage
    6. - (1) An assessment may be carried out otherwise than in accordance with a direction at this stage in the consideration of a case for the purposes of paragraph 5A(1)(b) of Schedule 4 to the Act where - 

(a) either - 


(i) the medical screener is of the opinion that an assessment needs to be carried out, or

(ii) the case is one to which rule 5(8) applies; and



(b) the practitioner has agreed that an assessment be carried out.

    (2) Where the circumstances specified in paragraph (1) apply, the medical screener shall prepare a statement of the reasons why an assessment needs to be carried out and[a] the Registrar shall - 

(a) send to the practitioner - 


(i) a copy of the statement, and

(ii) copies of any information about or observations on the case which he has received in response to enquiries made under rule 5(2) and which he has taken into account when considering the case; and



(b) invite the practitioner within the period of 14 days of the statement being sent to agree that an assessment shall be carried out.

    (3) The complainant shall not be sent any of the documents referred to in paragraph (2).

    (4) If the practitioner agrees within the period referred to in paragraph (2)(b) that an assessment shall be carried out, a Panel shall be constituted under Part III of these Rules to carry out the assessment and the Registrar shall inform the complainant that an assessment is to be carried out.

    (5) Where the practitioner does not agree within the period referred to in paragraph (2)(b) that an assessment should be carried out, the medical screener may refer the case to the Assessment Referral Committee together with the statement prepared under paragraph (2).

    (6) Where a case is referred to the Assessment Referral Committee under paragraph (5), the Registrar shall inform the practitioner and the complainant of the reference.

    (7) A reference to the Assessment Referral Committee under paragraph (5) shall have no effect where, after the referral - 

(a) the practitioner agrees that an assessment be carried out; or

(b) subject to paragraph (8), the medical screener receives information which causes him to decide that no further action needs to be taken in connection with the case

and in either case the medical screener has notified the Assessment Referral Committee accordingly.

    (8) The medical screener shall not decide under paragraph (7)(b) that no further action be taken in connection with the case unless he has consulted a lay screener and the lay screener agrees that no further action needs to be taken.

    (9) Where the medical screener has notified the Assessment Referral Committee under paragraph (7), he shall continue the consideration of the case as though no reference had been made to the Committee.

    (10) Where a referral to the Assessment Referral Committee has no effect by virtue of paragraph (7), the Registrar shall notify the practitioner and the complainant accordingly and the notice shall state whether subparagraph (a) or subparagraph (b) of paragraph (7) applies.

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Notes:

[1] 1983 c.54. The Act was amended by the Medical (Professional Performance) Act 1995 (c.51).back

[2] 1983 c.54 This Act was amended by the Medical (Professional Performance) Act 1995 (c.51).back

[3] S.I. 1988/2255 amended by S.I. 1989/656, 1990/1587, 1994/2022 and 1996/2125.back

[4] S.I. 1987/2174 amended by S.I. 1996/1219.back

[5] 1977 c.49. This Act was amended by the Health Authorities Act 1995 c.17.back

[6] 1978 c.29.back

[7] 1990 c.19.back

[8] S.I. 1972/1265 (N.I.14).back

[9] 1997 c.46.back

[10] 1978 c.30.back

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[a] Amended by Correction Slip. Article 5(1(c) now reads:

"(c) suggests to the medical screener that - 
(i) the standard of the practioner's professional performance may have been seriously affected; and
(ii) it may be appropriate to take action under rule 6.".back

[b] Amended by Correction Slip. The word "and" was inserted before "the Registrar shall".back

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