Doctors, Convictions, Cautions, Civil Case Criticism & The GMC

GMC Processes in Conviction and Caution Cases, and Where a Doctor Has Been Officially Criticised, or Been Given a ‘Penalty’

The GMC has a number of statutory disposal routes when it comes to dealing with a doctor who has been convicted of a criminal offence. The GMC can take no action, impose a warning, agree undertakings, or refer the matter to a fitness to practice hearing. The GMC has compiled guidance to GMC decision-makers on the criteria they should consider, when determining which route to dispose of a conviction or caution case. See the GMC guidance: Guidance on convictions, cautions, determinations and other methods of disposal

For other determinations and statutory or criminal justice disposals that maybe at the lower end of the offending spectrum, and which do not constitute formal police cautions or criminal convictions, the GMC also possesses powers to deal with them. The above GMC guidance is relevant to how the GMC disposes of such matters. Such matters will usually be treated as professional misconduct, and if serious enough, could justify a warning or a referral to a fitness to practise hearing. But each allegation is fact specific, and the GMC is less likely to take regulatory intervention if the conduct lacks seriousness and is unrelated to the practice of medicine. It should be noted that certain conduct can still bring the profession into disrepute even if it is unrelated to medicine. There are a number of cases that set out the dividing line between cases that the GMC should and should not deal with.

A doctor is obligated to inform the GMC about convictions (including overseas convictions) and cautions. See our article: Mandatory Obligations for Self-Referral in Conviction and Caution Cases. A doctor is also obligated to inform the GMC when they have been charged with a criminal offence. A failure to inform the GMC could lead to additional misconduct findings, for being in breach of Domain 4 the code of conduct for doctors: Good Medical Practice

Note that the GMC does scrutinise a doctor’s practice where they have accepted a community resolution disposal if they become aware of it, but there does not seem to be a mandatory requirement to disclose one in every instance. As a community resolution disposal will be disclosed on an enhanced CRB, current and future employers will learn of it when they see the ECRB disclosure, it is probably best to disclose it where the job application forms or contracts require such things. Further, it is unclear whether a doctor will need to disclose it to the GMC each time they extend their registration. In any event, it may be protective of a longer doctor’s longer term interests for them to disclose community resolution disposals (CRDs) to their employer, and the performers lists (if a GP), and to the GMC.

A doctor is also obliged to inform the GMC if they have been criticised by a public body tasked with investigating matters concerning the public interest, such as public inquiries, inquests, certain other court cases. See paragraph 99 of the 2024 code of conduct Good Medical Practice:

In further guidance (published April 2013) entitled Reporting criminal and regulatory proceedings within and outside the UK, the GMC sets out the following:

8. Examples of public/formal inquiries include but are not limited to:
a. an inquiry conducted under the Inquiries Act 2005
b. a Parliamentary Commission or Select Committee
c. any other non-statutory inquiries investigating matters in the public interest (sometimes known as departmental inquiries) for example, the Hutton inquiry (circumstances surrounding the death of Dr David Kelly) and the Bichard inquiry (issues arising from the Soham murders)
d. a Royal Commission
e. a Coroner’s Inquest.

9. In relation to tribunals in the public domain, you must tell us if you know or ought to know that you have been the subject of judicial criticism (for example in civil or criminal proceedings) relating to serious matters that could call your fitness to practise into question.

10. You must also follow any reporting requirements in place at your employing or contracting organisation. If you are not sure about whether, or whom, y

The latter paragraph further reminds doctors of their obligation to inform their employers.

The GMC also sets out, in the same document, matters that do not need to be referred to the GMC:

11. You do not need to tell us about:
a. a penalty notice for disorder unless it is specified in paragraph 4
b. payment of a fixed penalty notice for a road traffic offence
c. payment of a fixed penalty notice issued by local authorities (for example, for offences
such as dog fouling or noise).

Paragraph 4 of the same guidance sets out the mandatory self-reporting requirements:

4. You must tell us without delay if, anywhere in the world, you:

a. are found guilty of a criminal offence
b. are charged with a criminal offence
c. formally admit to committing a criminal offence (for example, by accepting a
caution,2 a community resolution order, in Northern Ireland a discretionary disposal, or
in Scotland a fiscal fine, or by entering into a contractual disclosure facility agreement
with HM Revenue and Customs, which involves admitting you have committed fraud)
d. accept the option of paying a penalty notice for disorder at the upper tier penalty
level3 (in England and Wales), a penalty notice under the Justice Act (Northern Ireland)
2011
e. receive a cannabis warning (in England and Wales)
f. are given an anti-social behaviour order4 whether as the result of civil or criminal
proceedings
g. have had your registration restricted, or have been found guilty of an offence, by
another medical or other professional regulatory body
h. your conduct (including as part of a management team) has directly contributed to an
organisation that has entered into a deferred prosecution agreement.

If you are a doctor who is unsure about your self-reporting obligations in relation to cautions, convictions, overseas convictions, or other formal and statutory disposals, we can advise. Contact Doctors Defence Service on 0800 10 88 739, or use our contact form to reach us. All such preliminary discussions are without obligation and free of charge.