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Statutory Instrument 2005 No. 480The National Health Service (General Ophthalmic Services Supplementary List) and (General Ophthalmic Services Amendment and Consequential Amendment) Regulations 2005(The document as of February, 2008) STATUTORY INSTRUMENTS2005 No. 480NATIONAL HEALTH SERVICEOPTICIANS, ENGLANDThe National Health Service (General Ophthalmic Services Supplementary List) and (General Ophthalmic Services Amendment and Consequential Amendment) Regulations 2005
The Secretary of State for Health, in exercise of the powers conferred upon him by sections 38, 39, 43ZA, 43D, 49F, 49I, 49M, 49N, 49O, 49P, 49Q, 49R and 126(4) of the National Health Service Act 1977[1], section 26 of the Opticians Act 1989[2] and section 65 of the Health and Social Care Act 2001[3], and all other powers enabling him in that behalf, hereby makes the following Regulations: Citation, commencement and application 1. - (1) These Regulations may be cited as the National Health Service (General Ophthalmic Services Supplementary List) and (General Ophthalmic Services Amendment and Consequential Amendment) Regulations 2005 and, except for regulation 39(11), shall come into force on 1st April 2005. (2) Regulation 39(11) shall come into force on 31st July 2005. (3) These Regulations apply in relation to England only. Interpretation 2. - (1) In this Part -
(b) a member of the body of persons controlling a body corporate (whether or not a limited liability partnership);
(b) a Health Board or an NHS trust in Scotland; (c) a Health and Social Services Board in Northern Ireland; (d) in relation to any time prior to 1st October 2002, a Health Authority in England; or (e) in relation to any time prior to 1st April 2003, a Health Authority in Wales;
(b) a list of persons undertaking to provide general medical services prepared in accordance with regulations under section 29, as the list existed on or before 31st March 2004; (c) a list of persons approved by a Primary Care Trust for the purpose of assisting in the provision of general medical services prepared in accordance with regulations under section 43D(1) as the list existed on or before 31st March 2004; or (d) a services list referred to in section 8ZA(1)(a) of the Primary Care Act as the list existed on or before 31st March 2004;
(b) to nationally disqualify an ophthalmic medical practitioner or optician under provisions in force in Scotland or Northern Ireland corresponding to section 49N; or (c) by the Tribunal, which is treated as a national disqualification by the FHSAA by virtue of regulation 6(4) of the Abolition of the Tribunal Regulations or regulation 6(4)(b) of the Abolition of the Tribunal (Wales) Regulations;
(b) in relation to Scotland or Northern Ireland, suspended under provisions in force corresponding to those in or made under sections 28DA, 43D, 49I, 49J or under section 8ZA of the Primary Care Act, and shall be treated as including a case where a person is treated as suspended by a Primary Care Trust or, prior to 1st October 2002, by a Health Authority by virtue of regulation 6(2) of the Abolition of the Tribunal Regulations, or, in Wales, by a Local Health Board or, prior to 1st April 2003, a Health Authority by virtue of regulation 6(2) of the Abolition of the Tribunal (Wales) Regulations, and "suspends" and "suspension" shall be construed accordingly; and
(2) All references in this Part to sections are to sections of the National Health Service Act 1977, except where specified otherwise.
(b) his professional registration number with,
(ii) prefixed to that number, the initials SOL; (c) his date of birth, where he consents, or if not, his date of first registration in the register; and (5) The supplementary list shall be available for public inspection.
(b) his sex; (c) his date of birth; (d) his private address and telephone number; (e) his qualifications and where they were obtained; (f) a declaration that he is a fully registered ophthalmic medical practitioner or optician, included in the register; (g) his professional registration number and date of first registration in the register; (h) chronological details of his professional experience (including the starting and finishing dates of each appointment together with an explanation of any gaps between appointments),with any additional supporting particulars, and an explanation of why he was dismissed from any post; (i) names and addresses of two referees, who are willing to provide references in respect of two recent posts (which may include any current post) as an ophthalmic medical practitioner or optician, which lasted for at least three months without a significant break, and, where this is not possible, a full explanation and the names and addresses of alternative referees; (j) whether he has any outstanding application, including a deferred application, to be included in a list or an equivalent list, and if so, particulars of that application; (k) details of any Primary Care Trust list or equivalent list from which he has been removed or contingently removed, or to which he has been refused admission or in which he has been conditionally included, with an explanation as to why; (l) if he is the director of any body corporate that is included in any list or equivalent list, or which has an outstanding application (including a deferred application) for inclusion in such a list, the name and the address of the registered office of that body and details of the Primary Care Trust or equivalent body concerned; and (m) where he is, or was in the preceding six months, or was at the time of the originating events, a director of a body corporate, details of any list or equivalent list to which that body has been refused admission, in which it has been conditionally included, from which it has been removed, contingently removed or from which it is currently suspended, with an explanation as to why and details of the Primary Care Trust or equivalent body concerned. (3) The ophthalmic medical practitioner or optician shall provide the following undertakings and consent -
(b) undertaking not to assist in the provision of general ophthalmic services in the area of another Primary Care Trust or equivalent body from whose ophthalmic or supplementary list he has been removed, except where that removal was at his request or in accordance with regulation 10(6) or 21(12) of these Regulations, or regulation 9(2) of the Ophthalmic Regulations, without the consent, in writing, of that Trust or equivalent body; (c) undertaking to notify the Primary Care Trust within 7 days of any material changes to the information provided in the application until the application is finally determined; (d) undertaking to notify the Primary Care Trust if he is included, or applies to be included, in any other list or equivalent list held by a Primary Care Trust or equivalent body; and (e) consent to the disclosure of information in accordance with regulations 9 and 20. (4) The ophthalmic medical practitioner or optician shall send with the application a declaration as to whether he -
(b) has been bound over following a criminal conviction in the United Kingdom; (c) has accepted a police caution in the United Kingdom; (d) has accepted a conditional offer under section 302 of the Criminal Procedure (Scotland) Act 1995[16] (fixed penalty: conditional offer by procurator fiscal) or agreed to pay a penalty under section 115A of the Social Security Administration Act 1992 (penalty as alternative to prosecution)[17]; (e) has, in proceedings in Scotland for an offence, been the subject of an order under section 246(2) or (3) of the Criminal Procedure (Scotland) Act 1995 discharging him absolutely; (f) has been convicted elsewhere of an offence, or what would constitute a criminal offence if committed in England and Wales; (g) is currently the subject of any proceedings which might lead to such a conviction, which have not yet been notified to the Primary Care Trust; (h) has been subject to any investigation into his professional conduct by any licensing, regulatory or other body, where the outcome was adverse; (i) is currently subject to any investigation into his professional conduct by any licensing, regulatory or other body; (j) is to his knowledge, or has been where the outcome was adverse, the subject of any investigation by the NHS Counter Fraud and Security Management Service in relation to fraud; (k) is the subject of any investigation by another Primary Care Trust or equivalent body, which might lead to his removal from any list or equivalent list; (l) is, or has been where the outcome was adverse, the subject of any investigation into his professional conduct in respect of any current or previous employment; (m) has been removed or contingently removed from, refused admission to, or conditionally included in any list or equivalent list kept by another Primary Care Trust or equivalent body, or is currently suspended from such a list and if so, why and the name of that Primary Care Trust or equivalent body; or (n) is, or has ever been, subject to a national disqualification, and, if so, he shall give details, including approximate dates, of where any investigation or proceedings were or are to be brought, the nature of that investigation or proceedings, and any outcome.
(b) has been convicted elsewhere of an offence, or what would constitute a criminal offence if committed in England and Wales; (c) is currently the subject of any proceedings which might lead to such a conviction, which have not yet been notified to the Primary Care Trust; (d) has been subject to any investigation into its provision of professional services by any licensing, regulatory or other body, where the outcome was adverse; (e) is currently subject to any investigation into its provision of professional services by any licensing, regulatory or other body; (f) is to his knowledge, or has been where the outcome was adverse, the subject of any investigation by the NHS Counter Fraud and Security Management Service in relation to fraud; (g) is the subject of any investigation by another Primary Care Trust or equivalent body, which might lead to its removal from any list or equivalent list; or (h) has been removed or contingently removed from, refused admission to, or conditionally included in any list or equivalent list or is currently suspended from such a list, and, if so, he shall give the name and the address of the registered office of the body corporate and details, including approximate dates, of where any investigation or proceedings were or are to be brought, the nature of that investigation or proceedings, and any outcome.
(b) it has changed since it was provided. (9) Any person, who is not an optician, but expects to become so on successful completion of his training, may make an application to a Primary Care Trust not less than 3 months before he anticipates his being entered on the register.
(b) the undertakings and consents required by paragraphs (3) and (6); (c) any declaration required under paragraph (4) or (5), and in the application of these Regulations to any such application, any reference to an optician shall be taken as being a reference to an applicant under paragraph (9).
(b) it has not sought further information, references or documentation under paragraph (7) from him; and (c) it has not deferred the application under regulation 7, decide his application within 7 days of receiving the information required under paragraph (2)(f) and (g).
(b) has received an undertaking from him to comply with the requirements of these Regulations. (2) In a case to which paragraph (1) applies, if the conviction is reinstated on a further appeal, the previous determination of the Primary Care Trust to remove that ophthalmic medical practitioner or optician from its supplementary list shall once again have effect.
(b) having checked the information he provided under regulation 4(2)(e), (f) and (g), it considers he is unsuitable to be included in its supplementary list; (c) having contacted the referees provided by him under regulation 4(2)(i), it is not satisfied with the references; (d) having checked with the NHS Counter Fraud and Security Management Service for any facts that it considers relevant relating to past or current fraud investigations involving or related to him and, having considered these and any other facts in its possession relating to fraud involving or relating to him, it considers these justify such refusal; (e) having checked with the Secretary of State for any facts that he considers relevant relating to past or current investigations or proceedings involving or related to the ophthalmic medical practitioner or optician and, having considered these and any other facts in its possession involving or relating to him, it considers these justify such refusal; or (f) there are grounds for considering that admitting him to its supplementary list would be prejudicial to the efficiency of the service which he would undertake. (2) The grounds on which a Primary Care Trust must refuse to include an ophthalmic medical practitioner or optician in its supplementary list are that -
(b) he is included in the ophthalmic list of any Primary Care Trust, unless he has given notice in writing to that Trust that he wishes to withdraw from that list; (c) he is included in the supplementary list of another Primary Care Trust, unless he has given notice in writing to that Trust that he wishes to withdraw from that list; (d) it is not satisfied he has the knowledge of English which, in his own interests or those of his patients, is necessary in assisting in the provision of general ophthalmic services in its area; (e) he has been convicted in the United Kingdom of murder; (f) he has been convicted in the United Kingdom of a criminal offence, other than murder, committed on or after 1st April 2005 and has been sentenced to a term of imprisonment of over six months; (g) he is subject to a national disqualification; (h) he has not updated his application in accordance with regulation 7(4); or (i) in a case to which regulation 15(4) applies, he does not notify the Primary Care Trust under regulation 15(5) that he wishes to be included in its supplementary list subject to the specified conditions. (3) Before making a decision on the ophthalmic medical practitioner or optician's application, the Primary Care Trust shall -
(b) check with the NHS Counter Fraud and Security Management Service whether it has any record of fraud by him; (c) check with the Secretary of State as to any information held by him as to any record about past or current investigations or proceedings involving or related to that ophthalmic medical practitioner or optician; and (d) take up the references he provided under regulation 4(2)(i). (4) Where the Primary Care Trust is considering a refusal under paragraph (1) or (2), it shall consider all facts which appear to it to be relevant, and shall in particular take into consideration, in relation to paragraph (1)(a), (d) or (e) -
(b) the length of time since any offence, incident, conviction or investigation; (c) whether there are other offences, incidents or investigations to be considered; (d) any action or penalty imposed by any licensing, regulatory or other body, the police or the courts as a result of any such offence, incident or investigation; (e) the relevance of any offence, investigation or incident to the provision by him of general ophthalmic services and any likely risk to his patients or to public finances; (f) whether any offence was a sexual offence for the purposes of Part 2 of the Sexual Offences Act 2003[18], or if it had been committed in England and Wales, would have been such an offence; (g) whether he has been refused admission to, or conditionally included in, removed or contingently removed or is currently suspended from, any list or equivalent list, and if so, the facts relating to the matter which led to such action and the reasons given by the Primary Care Trust or equivalent body for such action; and (h) whether he was at the time, has in the preceding six months been, or was at the time of the originating events a director of a body corporate, which was refused admission to, conditionally included in, removed or contingently removed from, any list or equivalent list or is currently suspended from any such list, and if so, what the facts were in each such case and the reasons given by the Primary Care Trust or equivalent body in each case. (5) When the Primary Care Trust takes into consideration any of the matters set out in paragraph (4), it shall consider the overall effect of all the matters being considered.
(b) if it has decided not to include him, the reasons for that (including any facts relied upon) and of any right of appeal under regulation 15 against that decision. Deferment of decision on application
(ii) proceedings elsewhere in the world relating to conduct, which, if it had occurred in the United Kingdom, would constitute a criminal offence, which, if they resulted in a conviction, or the equivalent of a conviction, would be likely to lead to his removal from its supplementary list, if he were to be included in it;
(ii) proceedings elsewhere in the world relating to conduct, which, if it had occurred in the United Kingdom, would constitute a criminal offence, which, if they resulted in a conviction, or the equivalent of a conviction, would be likely to lead to his removal from its supplementary list, if he were to be included in it; (2) A Primary Care Trust may only defer a decision under paragraph (1) until the outcome of the relevant event mentioned in any of sub-paragraphs (a) to (j) of that paragraph is known.
(b) confirm in writing that he wishes to proceed with his application. (5) Provided any additional information has been received within the 28 days or the time agreed, the Primary Care Trust shall notify the ophthalmic medical practitioner or optician as soon as possible -
(b) that it has decided to refuse the application or impose conditions on his inclusion, and the reasons for that (including any facts relied upon), and of any right of appeal under regulation 15. Conditional inclusion
(b) notice of the grounds for the action it is considering; (c) the opportunity to make written representations to it within 28 days of the date of the notification under sub-paragraph (b); and (d) the opportunity to put his case at an oral hearing before it, if he requests one within the 28 day period mentioned in sub-paragraph (c). (4) If there are no representations within the period specified in paragraph (3)(c), it shall decide the matter and inform the ophthalmic medical practitioner or optician of -
(b) any right of appeal under regulation 15, within 7 days of making that decision.
(b) any right of appeal under regulation 15, within 7 days of making that decision.
(b) of any right of appeal under regulation 15, within 7 days of making that decision.
(b) is to be subject to conditions while he remains included in its supplementary list, his name may be included (or continue to be included) in its supplementary list during the period for bringing any appeal to the FHSAA pursuant to regulation 15, or if an appeal is brought, until such time as that appeal has been decided, provided he agrees in writing to be bound by the conditions imposed until the time for appeal has expired or the appeal is decided.
(b) is bound over following a criminal conviction in the United Kingdom; (c) accepts a police caution in the United Kingdom; (d) has accepted a conditional offer under section 302 of the Criminal Procedure (Scotland) Act 1995[19] (fixed penalty: conditional offer by procurator fiscal) or agreed to pay a penalty under section 115A of the Social Security Administration Act 1992 (penalty as alternative to prosecution)[20]; (e) has, in proceedings in Scotland for an offence, been the subject of an order under section 246(2) or (3) of the Criminal Procedure (Scotland) Act 1995 discharging him absolutely; (f) is convicted elsewhere of an offence, or what would constitute a criminal offence if committed in England and Wales; (g) is charged in the United Kingdom with a criminal offence, or is charged elsewhere with an offence which, if committed in England and Wales, would constitute a criminal offence; (h) is informed by any licensing, regulatory or other body of the outcome of any investigation into his professional conduct, and there is a finding against him; (i) becomes the subject of any investigation into his professional conduct by any licensing, regulatory or other body; (j) becomes subject to an investigation into his professional conduct in respect of any current or previous employment, or is informed of the outcome of any such investigation, where it is adverse; (k) becomes, to his knowledge, the subject of any investigation by the NHS Counter Fraud and Security Management Service in relation to fraud, or is informed of the outcome of such an investigation, where it is adverse; (l) becomes the subject of any investigation by another Primary Care Trust or equivalent body, which might lead to his removal from any list or equivalent list; or (m) is removed, contingently removed or suspended from, refused admission to, or conditionally included in any list or equivalent list, and, if so, he shall give details, including approximate dates, and where any investigation or proceedings were or are to be brought, the nature of that investigation or proceedings, and any outcome.
(b) is convicted elsewhere of an offence, or what would constitute a criminal offence if committed in England and Wales; (c) is charged in the United Kingdom with a criminal offence, or is charged elsewhere with an offence which, if committed in England and Wales, would constitute a criminal offence; (d) is informed by any licensing, regulatory or other body of the outcome of any investigation into its provision of professional services, and there is a finding against the body corporate; (e) becomes the subject of any investigation into its provision of professional services by any licensing, regulatory or other body; (f) becomes to his knowledge the subject of any investigation in relation to fraud, or is informed of the outcome of such an investigation, where it is adverse; (g) becomes the subject of any investigation by another Primary Care Trust or equivalent body, which might lead to its removal from any list or equivalent list; or (h) is removed, contingently removed or suspended from, refused admission to, or conditionally included in any list or equivalent list, and, if so, he shall give the name and registered address of the body corporate and details, including approximate dates, of where any investigation or proceedings were or are to be brought, the nature of that investigation or proceedings, and any outcome.
(b) has been convicted in the United Kingdom of a criminal offence, other than murder, committed on or after 1st April 2005, and has been sentenced to a term of imprisonment of over six months; (c) is subject to a national disqualification; (d) has died; (e) has otherwise ceased to be an ophthalmic medical practitioner or optician; (f) in the case of an ophthalmic medical practitioner, is the subject of -
(ii) an order or direction made by that Committee under section 38(1) of that Act (order for immediate suspension)[23], or (iii) from the coming into force of article 13 of the Medical Act 1983 (Amendment) Order 2002[24], a direction by a Fitness to Practise Panel of the General Medical Council for erasure or immediate suspension under section 35D(2)(a) or (b), (5)(a) or (b), (10)(a) or (b), or (12)(a) or (b) (functions of a Fitness to Practise Panel), or section 38(1) (power to order immediate suspension etc) of that Act[25]; (g) in the case of an optician, is the subject of a suspension order under section 17 of the Opticians Act; and shall, except in a case falling within sub-paragraph (d), notify him immediately that it has done so.
(b) a conditional inclusion, where he has been conditionally included in the supplementary list until the appeal has been decided, and has decided not to include him, the Trust shall remove him from its supplementary list and shall notify him immediately that it has done so.
(b) he is involved in a fraud case in relation to any health scheme; or (c) he is unsuitable to be included in that list ("an unsuitability case"). (5) For the purposes of this regulation, in addition to the services covered by the definition of "health scheme" in section 49F(8), the following shall also be health schemes -
(b) services provided by Port Health Authorities constituted under the Public Health (Control of Disease) Act 1984[26]; (c) health services provided to a prisoner in the care of the medical officer or other such officer of a prison appointed for the purposes of section 7 of the Prison Act 1952[27]; and
(6) Where the ophthalmic medical practitioner or optician cannot demonstrate that he has assisted in the provision of general ophthalmic services within the area of the Primary Care Trust during the preceding six months, it may remove him from its supplementary list.
(b) performing whole-time service in the Armed Forces of the Crown -
(ii) which was compulsory, including service resulting from any reserve liability or any equivalent service by a person liable for whole-time service in those forces. (8) Where a Primary Care Trust is considering removing an ophthalmic medical practitioner or optician from its supplementary list under paragraphs (3) to (6), regulation 8, 12(3)(c) or 15(6) or contingently removing him under regulation 12, it shall give him -
(b) notice of what action it is considering and on what grounds; (c) the opportunity to make written representations to it within 28 days of the date of the notification under sub-paragraph (b); and (d) the opportunity to put his case at an oral hearing before it, if he so requests, within the 28 day period mentioned in sub-paragraph (c). (9) If there are no representations within the period specified in paragraph (8)(c), the Primary Care Trust shall notify the ophthalmic medical practitioner or optician of -
(b) any right of appeal under regulation 15, within 7 days of making that decision.
(b) any right of appeal under regulation 15, within 7 days of making that decision.
(b) any right of appeal under regulation 15, within 7 days of making that decision.
(b) any appeal is disposed of by the FHSAA, whichever is the later.
(b) consider any information held by the Secretary of State as to any record about past or current investigations or proceedings involving or related to him; and (c) in reaching its decision, take into consideration the matters set out in paragraph (2). (2) The matters referred to in paragraph (1) are -
(b) the length of time since any such offence, incident, conviction or investigation; (c) whether there are other offences, incidents or investigations to be considered; (d) any action taken or penalty imposed by any licensing or regulatory body, the police or the courts as a result of any such offence, incident or investigation; (e) the relevance of any offence, incident or investigation to his assisting in the provision of general ophthalmic services and any likely risk to any patients or to public finances; (f) whether any criminal offence was a sexual offence for the purposes of Part 2 of the Sexual Offences Act 2003[28], or if it had been committed in England and Wales, would have been such an offence; (g) whether he has been refused admittance to, conditionally included in, removed or contingently removed or is currently suspended from, any list or any equivalent list, and if so, the facts relating to the matter which led to such action and the reasons given by the Primary Care Trust or equivalent body for such action; and (h) whether he was at the time, has in the preceding six months been, or was at the time of the originating events, a director of a body corporate, which was refused admission to, conditionally included in, removed or contingently removed from any list or equivalent list or is currently suspended from any such list, and if so, what the facts were in each such case and the reasons given by the Primary Care Trust or equivalent body in each case for such action. (3) Where a Primary Care Trust is considering whether to remove an ophthalmic medical practitioner or optician from its supplementary list under regulation 10(3) and (4)(b), it shall consider -
(b) any information held by the Secretary of State as to any record about past or current investigations or proceedings involving or related to the ophthalmic medical practitioner or optician; and (c) the matters set out in paragraph (4). (4) The matters referred to in paragraph (3)(c) are -
(b) the length of time since the last incident of fraud occurred, and since any investigation into it was concluded; (c) whether there are any other incidents of fraud, or other criminal offences to be considered; (d) any action taken by any licensing, regulatory or other body, the police or the courts as a result of any such offence, investigation or incident; (e) the relevance of any investigation into an incident of fraud to his assisting in the provision of general ophthalmic services and the likely risk to patients or to public finances; (f) whether he has been refused admittance to, conditionally included in, removed or contingently removed or is currently suspended from, any list or any equivalent list, and, if so, the facts relating to the matter which led to such action and the reasons given by the Primary Care Trust or equivalent body for such action; and (g) whether he was at the time, has in the preceding six months been, or was at the time of the originating events, a director of a body corporate, which was refused admission to, conditionally included in, removed or contingently removed from, any list or equivalent list, or is currently suspended from any such list, and if so, what the facts were in each such case and the reasons given by the Primary Care Trust or equivalent body in each case. (5) Where a Primary Care Trust is considering removal of an ophthalmic medical practitioner or optician from its supplementary list under regulation 10(3) and (4)(a) ("an efficiency case"), it shall -
(b) consider any information held by the Secretary of State as to any record about past or current investigations or proceedings involving or related to the ophthalmic medical practitioner or optician; and (c) in reaching its decision, take into account the matters referred to in paragraph (6). (6) The matters referred to in paragraph (5)(c) are -
(b) the length of time since the last incident occurred and since any investigation into it was concluded; (c) any action taken by any licensing, regulatory or other body, the police or the courts as a result of any such incident; (d) the nature of the incident and whether there is a likely risk to patients; (e) whether he has previously failed to supply information, make a declaration or comply with an undertaking required by these Regulations or the Ophthalmic Regulations; (f) whether he has ever failed to comply with a request by the Primary Care Trust to undertake an assessment by the NCAA; (g) whether he has been refused admittance to, conditionally included in, removed or contingently removed or is currently suspended from, any list or equivalent list, and if so, the facts relating to the matter which led to such action and the reasons given by the Primary Care Trust or the equivalent body for such action; and (h) whether he was at the time, has in the preceding six months been, or was at the time of the originating events, a director of a body corporate, which was refused admission to, conditionally included in, removed or contingently removed from any list or equivalent list, or is currently suspended from any such list, and if so, what the facts were in each such case and the reasons given by the Primary Care Trust or equivalent body in each case for such action. (7) In making any decision under regulation 10, the Primary Care Trust shall take into account the overall effect of any relevant incidents and offences relating to the ophthalmic medical practitioner or optician of which it is aware, whichever condition it relies on.
(b) preventing further acts or omissions (in a fraud case). (3) Where the Primary Care Trust decides to contingently remove an ophthalmic medical practitioner or optician under paragraph (1), that decision shall not take effect until -
(b) any appeal is disposed of by the FHSAA, whichever is the later.
(b) impose new conditions; or (c) remove him from its supplementary list. Suspension
(b) while it waits for a decision affecting him of a court anywhere in the world or of a licensing or regulatory body; (c) where it has decided to remove him, but before that decision takes effect; or (d) pending appeal under these Regulations. (2) In a case falling within paragraph (1)(a), the Primary Care Trust must specify a period, not exceeding six months, as the period of suspension.
(b) the Primary Care Trust applied under sub-paragraph (a) before the expiry of the period of suspension, but the FHSAA has not made an order by the time it expires, in which case it continues until the FHSAA makes an order. (5) If the FHSAA does so order, it shall specify -
(b) an event beyond which it is not to continue; or (c) both a date on which it is to end and an event beyond which it is not to continue, in which case it shall end on the earlier of that date or that event, as the case may be. (6) The FHSAA may, on the application of the Primary Care Trust, make a further order (complying with paragraph (5)) at any time while the period of suspension pursuant to the earlier order is still continuing.
(b) if he appeals under regulation 15, the FHSAA has disposed of the appeal. (8) The Primary Care Trust may extend the period of suspension under paragraph (2) or impose a further period of suspension under paragraph (3), so long as the aggregate does not exceed six months.
(b) notice of what action it is considering and on what grounds; (c) the opportunity to put his case at an oral hearing before it, on a specified day, provided that at least 24 hours notice of the hearing is given. (12) If the ophthalmic medical practitioner or optician does not wish to have an oral hearing or does not attend the oral hearing, the Primary Care Trust may suspend him with immediate effect.
(b) impose or vary conditions imposed under regulation 12; or (c) suspend him under regulation 13(1)(a) or (b), except where a suspension is continuing by order of the FHSAA. (2) The ophthalmic medical practitioner or optician may not request a review of a Primary Care Trust's decision until the expiry of a three month period beginning with the date of its decision or, in the case of a conditional inclusion under regulation 8, beginning with the date it includes his name in the supplementary list.
(b) notice of what action it is considering and on what grounds; (c) the opportunity to make written representations to it within 28 days of the date of the notification under sub-paragraph (b); and (d) the opportunity to put his case at an oral hearing before it, if he so requests within the 28 day period mentioned in sub-paragraph (c). (5) If there are no representations within the period specified in paragraph (4)(c), the Primary Care Trust shall notify the ophthalmic medical practitioner or optician of its decision, the reasons for it (including any facts relied upon) and of any right of appeal under regulation 15.
(b) the reasons for it (including any facts relied upon); (c) any right of appeal under regulation 15; and (d) the right to a further review under this regulation, within 7 days of making that decision.
(b) a decision to impose a particular condition under regulation 8, or to vary any condition or to impose a different condition under that regulation; (c) any decision on a review under regulation 14 of a conditional inclusion under regulation 8; (d) any decision to remove him under regulations 8(2), 10(3) or (6), 12(3)(c) or 15(6)(b); (e) any decision to impose a particular condition under regulation 12(1), or to vary any condition or to impose a different condition under that regulation; (f) any decision on a review under regulation 14 of a contingent removal under regulation 12(1); and (g) any decision to transfer or move him under regulation 21(12). (3) On appeal the FHSAA may make any decision which the Primary Care Trust could have made.
(b) the Primary Care Trust may remove him from its supplementary list if it determines that he has failed to comply with a condition. Notification
(b) impose conditions on his inclusion in that list under regulation 8; (c) remove him from that list under regulation 10; (d) remove him from that list contingently under regulation 12; or (e) suspend him from that list under regulation 13, it shall notify the persons or bodies specified in paragraph (2) and shall additionally notify those specified in paragraph (3), if requested to do so by those persons or bodies in writing (including electronically), of the matters set out in paragraph (4).
(b) any Primary Care Trust or equivalent body that, to the knowledge of the notifying Trust -
(ii) is considering an application for inclusion in any list or equivalent list by the ophthalmic medical practitioner or optician, or (iii) has in its area any place where the ophthalmic medical practitioner or optician assists in the provision of general ophthalmic services; (c) the Scottish Executive; (3) The persons or bodies to be additionally notified in accordance with paragraph (1) are -
(ii) are considering employing or using his services in a professional capacity; and (b) a partnership any of whose members provide or assist in the provision of general ophthalmic services and can establish that the ophthalmic medical practitioner or optician is or was a member of the partnership or that it is considering inviting him to become such a member. (4) The matters referred to in paragraph (1) are -
(b) his professional registration number; (c) date and copy of the decision of the Primary Care Trust; and (d) a contact name of a person in the Trust for further enquiries. (5) The Primary Care Trust shall send to the ophthalmic medical practitioner or optician concerned a copy of any information about him provided to the persons or bodies listed in paragraph (2) or (3), and any correspondence with that person or body relating to that information.
(b) pursuant to paragraph (2), so amend its supplementary list, either -
(ii) on the date from which it has agreed that the withdrawal shall take effect, whichever is the earlier; or (5) An ophthalmic medical practitioner or optician may withdraw a notice given pursuant to paragraph (1) or (2) at any time before the Primary Care Trust removes his name from its supplementary list.
(b) who has been suspended under regulation 13, he may not withdraw from any list kept by a Primary Care Trust in which he is included, except where the Secretary of State has given his consent, until the matter has been finally determined by the Primary Care Trust.
(b) on the last review by the FHSAA of a national disqualification the ophthalmic medical practitioner or optician was unsuccessful and the FHSAA states that it is of the opinion that there is no realistic prospect of a further review being successful if held within a period of three years beginning with the date of its decision on that review, in which case the reference to "one year" in section 49N(8)(b) shall be a reference to three years; (c) the FHSAA states that it is of the opinion that, because a criminal conviction considered by the FHSAA in reaching the decision that has effect has been quashed or the penalty reduced on appeal, there is a need for an immediate review, in which case the reference to "two years" or "one year" in section 49N(8) shall be a reference to the period that has already elapsed; or (d) the FHSAA is of the opinion that because the decision of a licensing, regulatory or other body has been quashed or the penalty reduced on appeal, there is a need for an immediate review, in which case the reference to "two years" or "one year" in section 49N(8) shall be a reference to the period that has already elapsed. Disclosure of information
(b) any other Primary Care Trust or equivalent body, which to its knowledge -
(ii) is considering an application from such an ophthalmic medical practitioner or optician for inclusion in any of its lists, or (iii) has in its area any place where the ophthalmic medical practitioner or optician assists in the provision of general ophthalmic services; (c) the Scottish Executive; (2) The Primary Care Trust shall disclose to the Secretary of State information supplied to it or acquired by it pursuant to these Regulations, as he may from time to time request.
(b) the date on which the Primary Care Trust notifies him of its decision under regulation 6(6), whichever is the earlier, provided that he applies, in accordance with these Regulations, to a Primary Care Trust to be included in its supplementary list not later than 16th May 2005.
(b) the date on which the Primary Care Trust notifies him of its decision under regulation 6(6), whichever is the earlier.
(b) becomes aware in respect of him of any of the matters listed in regulation 10(1), it shall immediately decide his application to be included in its supplementary list.
(b) would be, if he so applied, entitled to have his name included in its supplementary list, it shall take the action specified in paragraph (11).
(b) consult any other Primary Care Trust in whose ophthalmic list his name is, to its knowledge, included. (12) After considering any representations under paragraph (11)(a) and the results of any consultation under paragraph (11)(b), if the Primary Care Trust is satisfied that that ophthalmic medical practitioner or optician does not meet the requirements for inclusion in its ophthalmic list, it shall -
(b) unless his name is included in the ophthalmic list or supplementary list of another Primary Care Trust, include his name in its supplementary list. (13) In a case to which paragraph (12) applies, the Primary Care Trust shall notify the ophthalmic medical practitioner or optician of its decision and the reasons for it (including any facts relied upon), within 7 days of making that decision.
(b) has not been determined that application before that date; and (c) considers that it is not appropriate to include the applicant in its ophthalmic list, but that it may be appropriate to include him in its supplementary list, it shall treat that application as an application for inclusion in its supplementary list. Interpretation 22.In this Part "the Ophthalmic Regulations" means the National Health Service (General Ophthalmic Services) Regulations 1986[30]. Amendment of regulation 2 23. - (1) Regulation 2 of the Ophthalmic Regulations (interpretation)[31] shall be amended in accordance with the following provisions of this regulation. (2) In paragraph (1) -
(b) a Health Board or an NHS trust in Scotland; (c) a Health and Social Services Board in Northern Ireland; (d) in relation to any time prior to 1st October 2002, a Health Authority in England; or (e) in relation to any time prior to 1st April 2003, a Health Authority in Wales;";
(b) includes any body which licenses or regulates any such profession, its education, training or qualifications, outside the United Kingdom;";
(b) does not have practice premises in the locality;"; and
(ii) section 8ZA of the National Health Service (Primary Care) Act 1997[32], including these Regulations; and shall be treated as including a case where a person is treated as suspended by a Primary Care Trust or, prior to 1st October 2002, by a Health Authority by virtue of regulation 6(2) of the Abolition of the Tribunal Regulations, or, in Wales, by a Local Health Board or, prior to 1st April 2003, a Health Authority by virtue of regulation 6(2) of the Abolition of the Tribunal (Wales) Regulations, and "suspends" and "suspension" shall be construed accordingly;";
(b) a residential centre; or (c) the patient's home, where the patient is unable to leave it unaccompanied because of physical or mental illness or disability, which a contractor has made arrangements with a Primary Care Trust to provide in its locality;;";
(3) At the end there shall be added paragraph (4) -
Amendment of regulation 6
(bb) prefixed to that number, the initials OL, (ii) in the case of an individual, his date of birth, where he consents, or where he does not consent, or in the case of a corporate optician, the date of that person's first registration in the register, and (b) for sub-paragraph (b) there shall be substituted -
(c) in sub-paragraph (c) from "available at those addresses" to the end shall be deleted;
(ii) at the end, there shall be added "or in the provision of mobile services"; and (e) at the end, there shall be added sub-paragraph (e) -
(ii) the addresses of any day or residential centres visited regularly, with particulars of the months in which visits are planned to take place and the planned interval between such visits, and (iii) if that contractor is a mobile practice, that fact and the addresses to which correspondence in connection with such provision may be sent.". Amendment of regulation 7
(b) after sub-paragraph (a), there shall be inserted sub-paragraph (aa) -
(3) After paragraph (1) there shall be inserted paragraphs (1A), (1B) and (1C) -
(b) it has changed since it was provided. (1B) Before making a decision on the ophthalmic medical practitioner or optician's application, the Primary Care Trust shall -
(b) check with the NHS Counter Fraud and Security Management Service whether the ophthalmic medical practitioner or optician has any record of fraud; (c) check with the Secretary of State as to any information held by him as to any record about past or current investigations or proceedings involving or related to the ophthalmic medical practitioner or optician; and (d) take up the references the ophthalmic medical practitioner or optician provided under paragraph 9 of Schedule 1A. (1C) When the Primary Care Trust has decided whether or not to include the ophthalmic medical practitioner or optician in its list, it shall notify him within 7 days of that decision of -
(b) if the Trust has decided not to include him, the reasons for it (including any facts relied upon) and of any right of appeal under regulation 7C against that decision.". Amendment of regulation 7A
(b) in sub-paragraph (a), "paragraph 7 of" shall be deleted; (c) in sub-paragraph (b), "paragraphs 5 and 6 of" shall be deleted; (d) for sub-paragraph (d), there shall be substituted -
(e) at the end there shall be added -
(f) that, having checked with the Secretary of State for any facts that he considers relevant relating to past or current investigations or proceedings involving or related to the ophthalmic medical practitioner or optician and, having considered these and any other facts in its possession involving or relating to him, the Primary Care Trust considers these justify such refusal.". (3) In paragraph (2), at the end, there shall added the following sub-paragraphs -
(g) except in the case of a corporate optician, where it is not satisfied that he has the knowledge of English which, in his own interests or those of his patients, is necessary for the provision of general ophthalmic services in its locality; or (h) where he has had his name included in the supplementary list of any Primary Care Trust.". (4) In paragraph (3) -
(b) at the end of sub-paragraph (f), there shall be added "or, if it had been committed in England and Wales, would have applied"; and
(5) Paragraph (5) shall be omitted.
(ii) proceedings elsewhere in the world relating to conduct, which, if it had occurred in the United Kingdom, would constitute a criminal offence, which, if they resulted in a conviction, or the equivalent of a conviction, would be likely to lead to his removal from its ophthalmic list, if he were to be included in it;
(ii) proceedings elsewhere in the world relating to conduct, which, if it had occurred in the United Kingdom, would constitute a criminal offence, which, if they resulted in a conviction, or the equivalent of a conviction, would be likely to lead to his removal from its ophthalmic list, if he were to be included in it;
(i) criminal proceedings in the United Kingdom, or which, if they resulted in a conviction, or the equivalent of a conviction, would be likely to lead to that body's removal from its ophthalmic list, if it were to be included in it;"; (b) in sub-paragraph (f), for "successful" there shall be substituted "unsuccessful";
(d) in sub-paragraph (i), "by the National Health Service Counter Fraud Service" and "case" shall be omitted. Amendment of regulation 7C
Amendment of regulation 7D
(4) In paragraph (15) -
(b) for sub-paragraph (h), there shall be substituted -
Amendment of regulation 8
(3) At the end there shall be added paragraphs (4) and (5) -
(5) A notice given pursuant to paragraph (1A) may not be withdrawn once the ophthalmic medical practitioner's or optician's name is included in a supplementary list.". Amendment of regulation 9
(b) after sub-paragraph (a), there shall be inserted sub-paragraph (aa) -
(c) after sub-paragraph (b), there shall be inserted -
(c) has had his name included in the supplementary list of any Primary Care Trust,"; and (d) at the end, there shall be added "and, except in a case to which sub-paragraph (a) applies, notify him immediately that he has been removed from the list". (3) In paragraph (2A), for "by direction of the Tribunal", there shall be substituted "from the ophthalmic list".
(b) check with the Secretary of State as to any record held by him about past or current investigations or proceedings involving or relating to the ophthalmic medical practitioner or optician; and (c) in reaching its decision, take into consideration the matters set out in paragraph (2).". (3) In paragraph (2) -
(b) for sub-paragraphs (b) to (f), there shall be substituted -
(c) whether there are other offences, incidents or investigations to be considered; (d) any action taken or penalty imposed by any licensing or regulatory body, the police or the courts as a result of any such offence, incident or investigation; (e) the relevance of any offence, incident or investigation to his provision of general ophthalmic services and the likely risk to patients or to public finances; (f) whether any offence was a sexual offence to which Part I of the Sexual Offences Act 2003[45] applies or, if it had been committed in England and Wales, would have applied;"; (c) after sub-paragraph (h) "and" shall be omitted and, at the end of the paragraph, there shall be added -
(j) in the case of a corporate optician, whether a person who, at the time of the originating events, was one of its directors, has been refused admittance to, conditionally included in, removed, contingently removed or suspended from any list or equivalent list and, if so, the facts relating to the matter which led to such action and the reasons given by the Primary Care Trust or equivalent body for such action.". (4) For paragraph (3) there shall be substituted -
(b) check with the Secretary of State as to any record held by him about past or current investigations or proceedings involving or relating to the ophthalmic medical practitioner or optician; and (c) in reaching its decision, take into consideration the matters set out in paragraph (4).". (5) In paragraph (4) -
(b) in sub-paragraph (d), for "the incident", there shall be substituted "any such offence, investigation or incident"; and (c) at the end of sub-paragraph (g) "and" shall be deleted and, at the end of the paragraph, there shall be added -
(j) in the case of a corporate optician, whether a person who, at the time of the originating events, was one of its directors, has been refused admittance to, conditionally included in, removed, contingently removed or suspended from any list or equivalent list and, if so, the facts relating to the matter which led to such action and the reasons given by the Primary Care Trust or equivalent body for such action.". (6) For paragraph (5) there shall be substituted -
(b) check with the Secretary of State as to any record held by him about past or current investigations or proceedings involving or relating to the ophthalmic medical practitioner or optician; and (c) in reaching its decision, take into consideration the matters set out in paragraph (6).". (7) In paragraph (6) -
(b) at the end of sub-paragraph (f) there shall be added "or the Supplementary List Regulations"; and (c) at the end of sub-paragraph (h) "and" shall be deleted and, at the end of the paragraph, there shall be added -
(j) in the case of a corporate optician, whether a person who, at the time of the originating events, was one of its directors, has been refused admittance to, conditionally included in, removed, contingently removed or suspended from any list or equivalent list and, if so, the facts relating to the matter which led to such action and the reasons given by the Primary Care Trust or equivalent body for such action.". Amendment of regulation 9C
(d) in the case of an ophthalmic medical practitioner, is the subject of -
(ii) an order or direction made by that Committee under section 38(1) of that Act (order for immediate suspension)[48], or (iii) from the coming into force of article 13 of the Medical Act 1983 (Amendment) Order 2002[49], a direction by a Fitness to Practise Panel of the General Medical Council for erasure or immediate suspension under section 35D(2)(a) or (b), (5)(a) or (b), (10)(a) or (b), or (12)(a) or (b) (functions of a Fitness to Practise Panel), or section 38(1) (power to order immediate suspension etc) of that Act[50]; or (e) in the case of an optician, is the subject of a suspension order under section 17 of the Opticians Act 1989[51].". Amendment of regulation 9D
(b) after sub-paragraph (e), there shall be inserted -
(f) removes an ophthalmic medical practitioner or optician under regulation 9 or 9C.". (3) In paragraph (2) -
(b) after sub-paragraph (f) there shall be inserted the following sub-paragraph -
(c) for sub-paragraph (i), there shall be substituted -
(4) For paragraph (4)(a) there shall be substituted -
(5) At the end, there shall be added paragraph (8) -
Amendment of regulation 9E
(b) at the end of each of paragraphs (4), (5) and (6), there shall be added "within 7 days of making that decision". Amendment of regulation 9F
(4) At the end of paragraph (5) there shall be added "within 7 days of making that decision".
9I. - (1) Where an ophthalmic medical practitioner or optician has been removed from its ophthalmic list by a Primary Care Trust on the grounds that he had been convicted of a criminal offence, and that conviction is overturned on appeal, it may agree to include him in its ophthalmic list without a full application if it -
(b) has received an undertaking from him to comply with the requirements of these Regulations. (2) In a case to which paragraph (1) applies, if the conviction is reinstated on a further appeal, the previous determination of the Primary Care Trust to remove that ophthalmic medical practitioner or optician from its ophthalmic list shall once again have effect.". Amendment of Schedule 1 |