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The National Health Service (General Ophthalmic Services) (Scotland) Regulations 2006

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Regulations 2(1) and 18

SCHEDULE 1STERMS OF SERVICE

InterpretationS

1.  In this Schedule–

(a)the expression “the regulations” means the National Health Service (General Ophthalmic Services) (Scotland) Regulations 2006;

(b)any reference to a numbered regulation is a reference to the regulation bearing that number in the regulations;

(c)any reference to a numbered paragraph is a reference to the paragraph bearing that number in this Schedule, and any reference in a paragraph to a numbered sub paragraph is a reference to the sub paragraph bearing that number in that paragraph;

(d)other words and expressions have the same meaning as in the Regulations.

Incorporation of provisionsS

2.  Any provisions of the following affecting the rights and obligations of contractors and ophthalmic medical practitioners and opticians assisting in the provision of general ophthalmic services shall form part of the terms of service–

(a)the regulations;

(b)the National Health Service (Tribunal) (Scotland) Regulations 2004 M1;

(c)so much of [F1the National Health Service (Discipline Committees) (Scotland) Regulations 2006] as relates to–

(i)the investigation of questions arising between ophthalmic medical practitioners or opticians and their patients, other investigations to be made by a discipline committee and the action which may be taken by the Board as a result of such investigations, including the withholding of remuneration where there has been a breach of the terms of service;

(ii)appeal to the Scottish Ministers from decisions of the Board;

(iii)the investigation of the excessive–

(aa)undertaking of eye examinations;

(bb)issuing of optical vouchers;

(cc)prescribing of supplements;

(d)regulation 9 of the National Health Service (Optical Charges and Payments) (Scotland) Regulations 1998 M2;

(e)the Statement;

(f)the General Optical Council's Rules Relating to Injury [F2or Disease] of the Eye; F3...

[F4(g)the College of Optometrists’ Guidance for Professional Practice;]F5...

(h)the Patient Rights (Scotland) Act 2011 and any regulations or directions made under that Act, so far as relevant to contractors and ophthalmic medical practitioners and opticians as providers of services under the health service[F6; and

(i)Scottish Intercollegiate Guidance Network 144: Glaucoma Referral and Safe Discharge.]

Textual Amendments

Marginal Citations

M1S.S.I. 2004/38 as amended by S.S.I. 2004/122 and 271, 2005/335 and 2006/122.

M2S.I. 1998/642. Regulation 9 was amended by S.I. 1999/748.

Certificate of trainingS

3.—(1) Except in the case of a body corporate, an ophthalmic medical practitioner or optician providing, or assisting in the provision of, general ophthalmic services shall undertake a course of training in the use of slit lamp biomicroscopy, condensing lens biomicroscopy, [F7contact applanation tonometry using a Goldmann type tonometer] and threshold visual fields from a training provider approved by NHS Education for Scotland and shall provide to the Board a certificate from the provider of that training that that person has completed the training satisfactorily

(2) Except in the case of a body corporate, any application for inclusion in the Ophthalmic List must be accompanied by such a certificate.

(3) Except in the case of a body corporate, in the case of any person to whom regulation 26(6) applies, that person shall provide such a certificate to the Board no later than 30 June 2006, or by such later date as the Board considers appropriate in the circumstances of the case if it thinks it is not reasonably practicable for that person to provide such certificate by 30 June 2006

Textual Amendments

[F8Mandatory trainingS

3A.—(1) Except in the case of a body corporate, in each relevant period an ophthalmic medical practitioner or optician providing or assisting in the provision of general ophthalmic services must—

(a)undertake [F9and satisfactorily complete] a course of training provided by NHS Education for Scotland which comprises training on any or all of the following topics:—

(i)the content and application of these Regulations and other relevant rules and law;

(ii)record keeping;

(iii)leadership, managing and working within an ophthalmic practice;

(iv)clinical skills and governance;

(v)managing ocular conditions;

(vi)ethical and professional obligations;

(vii)best practice guidance; F10...

F10(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) In this paragraph “relevant period” means each of the following periods—

(a)1st October 2018 until 31st December 2020;

(b)1st January 2021 until 31st December 2021; and

(c)each successive period of 12 months after the period specified in head (b).

[F11(3) Where an ophthalmic medical practitioner or optician is first included in the Ophthalmic List of any Board after 31st October in any relevant period, the requirement in paragraph (1) does not apply to that ophthalmic medical practitioner or optician for that relevant period.]]

Textual Amendments

Premises at which general ophthalmic services are to be providedS

4.—(1) Subject to sub paragraph (2), a contractor shall provide general ophthalmic services or cause such services to be provided by an ophthalmic medical practitioner or optician who assists in the provision of general ophthalmic services [F12at the addresses of all the practice premises which are] included in relation to the contractor in the Ophthalmic List.

[F13(1A) A contractor described in sub-paragraph (1) may, from time to time, provide general ophthalmic services or cause such services to be provided from the practice premises using remote facilities.]

(2) An ophthalmic medical practitioner or optician on the Ophthalmic List may, where requested to do so by or on behalf of a patient, who is–

(a)unable to leave home unaccompanied because of physical or mental illness or disability, agree to provide general ophthalmic services or assist in the provision of general ophthalmic services at the place at which the patient normally resides; or

(b)attending a day centre, agree to provide general ophthalmic services or assist in the provision of general ophthalmic services at that day centre.

[F14(2A) An ophthalmic medical practitioner or optician described in sub-paragraph (2) may, from time to time, provide general ophthalmic services or assist in the provision of general ophthalmic services using remote facilities.]

Textual Amendments

VisitsS

5.—(1) In the case of a mobile practice, a contractor shall give the Board notice in accordance with sub paragraph (2) of any visits which the contractor or an ophthalmic medical practitioner or optician who assists that contractor in the provision of general ophthalmic services intends to make to provide general ophthalmic services to at least three persons at day centres or in residential centres in the Board's area.

(2) The contractor shall notify the Board at least one month in advance of the month in which the contractor or an ophthalmic medical practitioner or optician who assists that contractor in the provision of general ophthalmic services intends to visit any establishment in the Board's area and of the intervals at which the contractor intends that return visits shall be made.

Premises and equipmentS

6.—[F15(1) Subject to sub-paragraph (2), a contractor shall provide proper, sufficient and appropriate premises, equipment and procedures for the provision of general ophthalmic services at [F16or from] the practice premises.

(2) A contractor who provides general ophthalmic services [F17for a patient who is] at a [F18day centre, residential centre or [F19for a patient who is] at a place where the patient normally resides] shall provide proper, sufficient and appropriate F20... equipment and procedures for the provision of general ophthalmic services.]

(3) Subject to sub paragraph (4), a contractor, on receipt of a written request from the Board, shall admit at all reasonable times for the purposes of inspecting such accommodation or equipment and reviewing procedures an ophthalmic officer or any authorised officer of the Scottish Ministers or the Board or member of the Board.

(4) In the case of a mobile practice, the contractor, on receipt of a written request from the Board to do so, shall arrange for an ophthalmic officer or any authorised officer of the Scottish Ministers or the Board or member of the Board to be allowed to inspect at a reasonable time the facilities and equipment that the contractor or an ophthalmic medical practitioner or opticians who assists the provider in the provision of general ophthalmic services uses.

Textual Amendments

NoticesS

7.  A contractor shall secure that at each place at which the contractor provides general ophthalmic services or an ophthalmic medical practitioner or optician assists the contractor in the provision of general ophthalmic services there is prominently displayed [F21notices and leaflets] supplied or approved by the Board [F22or the Agency], indicating the services available under general ophthalmic services and indicating to which descriptions of the contractor's patients a payment may be made under the National Health Service (Optical Charges and Payments) (Scotland) Regulations 1998.

Textual Amendments

RecordsS

8.—(1) A contractor or ophthalmic medical practitioner or optician who assists the contractor in the provision of general ophthalmic services shall keep proper, complete, accurate and up-to-date records in respect of each patient to whom general ophthalmic services are provided, giving appropriate details of eye examinations carried out.

(2) A contractor or ophthalmic medical practitioner or optician who assists the contractor in the provision of general ophthalmic services may keep the records referred to in sub paragraph (1) in computerised form.

(3) A contractor shall retain all such records for a period of 7 years.

(4) A contractor shall, when requested to do so by any authorised officer of the Scottish Ministers, the Agency or the Board during the period in which the contractor is required to retain such records–

(a)produce them to such authorised officer of the Scottish Ministers, the Agency or the Board; or

(b)send them to such authorised officer of the Scottish Ministers, the Agency or the Board within such period as may be specified by the authorised officer not being less than 14 days from the date of request.

DeputiesS

9.—(1) [F23An ophthalmic medical practitioner or optician may arrange for eye examinations to be carried out on his or her behalf by another ophthalmic medical practitioner or optician], provided that such other ophthalmic medical practitioner or optician is included in the Ophthalmic List of the Board for the area in which such eye examinations are to be carried out.

(2) Any contractor who makes an arrangement for the regular provision of services by a deputy in terms of [F24sub-paragraph] (1) shall notify the Board of the arrangements.

Textual Amendments

EmployeesS

10.—F25(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) An optician [F26or ophthalmic medical practitioner] who employs a person to carry out eye examinations shall employ only–

(a)another optician [F27or ophthalmic medical practitioner] on the Ophthalmic List of the Board for the area in which such eye examinations are to be carried out; or

(b)a person acting under his [F28or her] continuous personal supervision who is authorised to carry out eye examinations by rules made under section 24(3) of the Opticians Act 1989.

(3) Any contractor who makes an arrangement for the regular provision of services by an employee in terms of [F29sub-paragraphs] (1) or (2) shall notify the Board of the arrangement.

(4) In this paragraph “employee” includes, in the case of a body corporate, a director and “employ” is to be interpreted accordingly.

Textual Amendments

[F30Complaints, concerns, comments, feedbackS

11.  A contractor must have arrangements in place which operate in accordance with section 15 of the Patient Rights (Scotland) Act 2011, and any regulations or directions made under that Act.]

Textual Amendments

Co-operation with investigationsS

12.—(1) A contractor or an ophthalmic medical practitioner or optician who assists the contractor in the provision of general ophthalmic services shall cooperate with any investigation of a complaint by the Board in accordance with the procedures which it operates in accordance with [F31section 15 of the Patient Rights (Scotland) Act 2011], whether the investigation follows one under the contractor's complaints procedure or not.

(2) The co operation required by sub paragraph (1) includes–

(a)answering questions reasonably put to the contractor by the Board;

(b)providing any information relating to the complaint reasonably required by the Board; and

(c)attending any meeting to consider the complaint (if held at a reasonably accessible place and at a reasonable hour, and due notice has been given), if the contractor's presence or the presence of an ophthalmic medical practitioner or optician who assists that contractor in the provision of general ophthalmic services at the meeting is reasonably required by the Board.

Textual Amendments

PaymentsS

13.—(1) Any claim by a contractor for fees in respect of the provision of general ophthalmic services shall be made by completing or securing the completion of an eye examination form and sending it to the Agency within 6 months after the date of completion of such provision of the services.

[F32(1A) Any such claim shall be submitted in accordance with F33... sub-paragraphs (3A) and (3B)].

F34(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F34(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F35(3A) The claim shall be submitted by electronic communication and—

(a)if the service was provided on behalf of a contractor by a deputy or employee who is also a contractor, the claim shall contain the PIN allocated to that deputy or employee;

(b)if the service was provided on behalf of a contractor by a person whose name is included in the second part of the Ophthalmic List, the claim shall contain the PIN allocated to that person; and

(c)in all other cases, the claim shall contain the PIN allocated to the contractor providing the service.

(3B) When submitting a claim F36... under sub-paragraph (3A) [F37or (4A)] a person shall make use only of such computer programme as the Agency has approved as suitable for that purpose.

(3C) In this paragraph, “PIN” means the personal identification number allocated by the Agency.]

(4) Where an eye examination is undertaken by an ophthalmic medical practitioner or optician who assists the contractor in the provision of general ophthalmic services that ophthalmic medical practitioner or optician shall complete a claim for remuneration in respect of that eye examination which–

(a)is separate from any claim form in respect of eye examinations given by the contractor personally; and

(b)identifies the ophthalmic medical practitioner or optician who undertook the eye examination and his or her status as an ophthalmic medical practitioner or optician who assists the contractor in the provision of general ophthalmic services.

[F38(4A) The claim referred to in sub-paragraph (4) must be submitted to the Agency by electronic communication and must contain the PIN allocated to the ophthalmic medical practitioner or optician who assists the contractor in the provision of general ophthalmic services.]

(5) Except as provided in the regulations, in the Statement, or in the National Health Service (Charges for Overseas Visitors) (Scotland) Regulations 1989 M3, F39... a contractor shall not demand or accept or cause to be demanded or accepted from any patient or from other persons the payment of any fee or other remuneration in respect of the provision of general ophthalmic services.

F40(6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F40(7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Marginal Citations

M3S.I. 1989/364, amended by S.I. 1992/411, 1994/1770, 1998/251, S.S.I. 2004/369, and S.S.I. 2006/141 with effect from 1st April 2006.

Eye examinationsS

14.—(1) An ophthalmic medical practitioner or optician who accepts in accordance with these regulations–

(a)an application from a patient for a primary eye examination; or

(b)an application from a patient for a supplementary eye examination F41...[F42,]

shall carry out an eye examination.

[F43(1A) An eye examination carried out by an ophthalmic medical practitioner or optician in accordance with these Regulations shall consist of every test or procedure appropriate to the [F44presenting signs, symptoms and] needs of the patient for the purpose of that examination unless—

(a)the ophthalmic medical practitioner or optician considers that the patient has a physical or mental condition which would make the carrying out of any such test or procedure clinically inappropriate; F45...

[F46(aa)in the judgement of the ophthalmic medical practitioner or optician, the test or procedure is clinically inappropriate for any other reason; or]

(b)the patient has refused to undertake any such test or procedure.]

F47(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) Where an ophthalmic medical practitioner or optician carries out a sight test, he or she shall fulfil any duty imposed on him or her by, or in regulations made under, the Opticians Act 1989.

(4) Where an ophthalmic medical practitioner or optician is of the opinion that a patient whose eyes he or she has examined in accordance with sub paragraph (1)–

(a)shows signs of injury, disease or abnormality in the eye or elsewhere which may require medical treatment; or

(b)is not likely to attain a satisfactory standard of vision notwithstanding the application of corrective lenses,

he or she shall, if appropriate, and with the consent of the patient–

[F48(i)refer the patient [F49to any of an optometrist independent prescriber, another ophthalmic medical practitioner,] his or her doctor or to an ophthalmic hospital;]

(ii)[F50in the case of a referral to an ophthalmic hospital,] inform the patient's doctor or GP practice that he or she has done so; and

(iii)give the patient a written statement that he or she has done so, with details of the referral.

F51(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) A prescription for glasses issued following an eye examination which includes a sight test shall be completed by the method recommended in Appendix A to British Standard [F522738-3:2004] (Glossary of Terms relating to Ophthalmic Lenses and Spectacle Frames) published by the British Standards Institution, as effective on the date of its publication, and shall comply with any requirements as to its form specified in the Statement for the purposes of payment in respect of the eye examination.

(7) An ophthalmic medical practitioner or optician shall carry out a maximum of 20 eye examinations in any working day.

(8) Following a primary eye examination or a supplementary eye examination the ophthalmic medical practitioner or optician who carried out the examination shall give a statement of the outcome of the examination to the patient.

Textual Amendments

Use of disqualified nameS

15.—(1) Subject to sub paragraph (2), a contractor shall not use in any manner whatsoever the name or part of the name, either alone or in combination with any other words or letters, of or used by, any person so long as that person is disqualified from inclusion in any Ophthalmic List.

(2) Nothing in sub paragraph (1) shall prevent a contractor other than a body corporate from using his [F53or her] own name or being a body corporate, from using the name by which it is enrolled in the register maintained pursuant to the provisions of the Opticians Act 1989.

Textual Amendments

Regulation 7 and 26(1)

SCHEDULE 2S

PART ASINFORMATION, CERTIFICATES, [F54DISCLOSURE REQUESTS, DISCLOSURE RECORDS,] CONSENTS, DECLARATIONS AND UNDERTAKINGS TO BE INCLUDED IN AN APPLICATION FOR INCLUSION IN THE FIRST PART OF THE OPHTHALMIC LIST

Textual Amendments

1.  An application shall contain the following information:–S

(a)[F55except where the applicant is an optician that is a body corporate,] the applicant's full name, sex, date of birth and private address and telephone number;

(b)[F56except where the applicant is an optician that is a body corporate,] a full description of the applicant's qualifications including the institution which awarded them;

(c)the applicant's professional registration number and date of first registration;

(d)whether the applicant is an ophthalmic medical practitioner, a registered optometrist or a body corporate;

(e)address of proposed [F57practice] premises and, in the case of any mobile practice, the address to which correspondence may be sent and the addresses of any day centres and residential centres to be visited more than once;

(f)whether the [F58practice] premises may be reached without use of stairs;

(g)whether the [F59practice] premises have wheelchair access;

(h)proposed days and hours of attendance at these [F60practice] premises [F61or, in the case of any mobile practice, the months in which visits to day centres or residential centres] are intended to take place and the planned interval between such visits;

(i)the name of each ophthalmic medical practitioner or optician who is regularly engaged as a deputy, director or employee in the provision of general ophthalmic services;

(j)[F62except where the applicant is an optician that is a body corporate,] chronological details of the applicant's professional experience (including the starting and finishing dates of each appointment together with explanation of any gaps between appointments) with any additional supporting particulars, and an explanation of why the applicant was dismissed from any post;

(k)details of any list or equivalent list from which the applicant [F63(and, where the applicant is an optician that is a body corporate, all directors of the body corporate)] has ever been disqualified, conditionally disqualified, removed, suspended, contingently removed or suspended or to which admission was refused or conditionally granted together with reasons for such disqualification, conditional disqualification, removal, suspension or refusal;

(l)[F64except where the applicant is an optician that is a body corporate,] name and addresses of two referees who are willing to provide clinical references relating to two recent posts as an ophthalmic medical practitioner or optometrist each of which lasted at least 3 months without a significant break and which may include a current post, or, where this is not possible a full explanation and name and address of an alternative referee or referees;

(m)[F65except where the applicant is an optician that is a body corporate,] if the applicant is a national of an EEA state, evidence that the applicant has a knowledge of English which, in the interests of the applicant and of patients who may receive general ophthalmic services from the applicant, is necessary for providing general ophthalmic services;

(n)if the applicant is the director or one of the persons with control of a corporate body, [F66or, if the applicant is an optician that is a body corporate, the body corporate’s name, registered office and registered number, telephone number, e-mail address and a list of the full names, dates of birth, private addresses and (if they have one) the national insurance numbers, of all the directors and the secretary];

(o)if the applicant [F67(and, where the applicant is an optician that is a body corporate, all directors of the body corporate)] is, or has been where the outcome was adverse, the subject of any investigation F68... in relation to fraud;

(p)whether the applicant has–

(i)had sequestration of the applicant's estate awarded, or been adjudged bankrupt;

(ii)been made the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 4A to the Insolvency Act 1986 M4;

(iii)made a composition or arrangement with, or granted a trust deed for, the applicant's creditors;

(q)where the applicant is a body corporate, whether–

(i)an administrator, administrative receiver or receiver has been appointed in respect of it; or

(ii)an administration order has been made in respect of it under Schedule B1 to the Insolvency Act 1986; or

(iii)it has been wound up under Part IV of the Insolvency Act 1986; or

(r)whether the applicant is subject to a disqualification order under the Company Directors Disqualification Act 1986 M5, the Companies (Northern Ireland) Order 1986 M6 or to an order made under section 429(2)(b) of the Insolvency Act 1986 M7 (failure to pay under county court administration order).

Textual Amendments

Marginal Citations

2.  An application shall contain the following declarations as to whether or not the applicant:–S

(a)has been convicted of a criminal offence in the British Islands or has been convicted elsewhere of an offence which would constitute a criminal offence if committed in the British Islands;

(b)is currently the subject of any proceedings anywhere in the world which might lead to a conviction specified in sub-paragraph (a);

(c)has in summary proceedings in respect of an offence, been the subject of an order discharging the applicant absolutely (without proceeding to conviction);

(d)has accepted and agreed to pay either a procurator fiscal fine under section 302 of the Criminal Procedure (Scotland) Act 1995 M8 or a penalty under section 115A of the Social Security Administration Act 1992 M9;

(e)has accepted a police caution in the British Islands;

(f)has been bound over following a criminal conviction in the British Islands;

(g)has been subject to any investigation into the applicant's professional conduct by any licensing, regulatory or other body anywhere in the world where the outcome was adverse;

(h)is currently subject to any investigation into the applicant's professional conduct by any licensing, regulatory or other body anywhere in the world;

(i)is the subject of any investigation or proceedings by another Health Board or equivalent body which might result in the applicant being disqualified, conditionally disqualified, refused entry, granted entry subject to conditions, removed, contingently removed or suspended from a list, or equivalent list;

(j)is, or has been, where the outcome was adverse, the subject of any investigation into the applicant's professional conduct in respect of any previous or current employment;

(k)is, or has in the preceding 6 months been, or was at the time of the events that gave rise to conviction, proceedings or investigation, a director or one of the body of persons with control of a body corporate, or a member of a partnership (including a limited liability partnership) which–

(i)has been convicted of a criminal offence in the British Islands;

(ii)has been convicted elsewhere of an offence which would constitute a criminal offence if committed in the British Islands;

(iii)is currently the subject of any proceeding anywhere in the world which might lead to such a conviction;

(iv)has been subject to any investigation into its provision of professional services by any licensing, regulatory or other body anywhere in the world; or

(v)is, to the applicant's knowledge, or has been, where the outcome was adverse, the subject of any investigation by the Agency in relation to fraud;

(l)has had sequestration of the applicant's estate awarded or been adjudged bankrupt;

(m)has been made the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 4A to the Insolvency Act 1986;

(n)has made a composition or arrangement with, or granted a trust deed for, the applicant's creditors;

(o)if a body corporate–

(aa)has had an administrator, administrative receiver or receiver appointed in respect of it; or

(bb)has had an administration order made in respect of it under Schedule B1 to the Insolvency Act 1986;

(cc)has been wound up under Part IV of the Insolvency Act 1986;

(p)is subject to a disqualification order under the Company Directors Disqualification Act 1986, the Companies (Northern Ireland) Order 1986 or to an order made under section 429(2)(b) of the Insolvency Act 1986 (failure to pay under county court administration order).

Marginal Citations

M91992 c. 5;. section 115A was inserted by section 15 of the Social Security Administration (Fraud) Act 1997 (c. 47).

3.  An applicant must include:S

[F69(a)where the applicant is an ophthalmic medical practitioner or an optician (except where the optician is a body corporate)—

(i)a disclosure request for any disclosure record required under regulation 7(3)(f); and

(ii)where required by the Board under that regulation, any existing disclosure record the applicant holds;

(aa)where the applicant is a body corporate, an enhanced criminal record certificate in relation to each director, dated not earlier than 28 days before the date of the application, or an application for such a certificate completed and signed by each director who is not already on the Board’s Ophthalmic List; and]

(b)except in the case of a body corporate carrying on business as an optometrist, a certificate [F70, dated not earlier than 2 years before the date of the application where the applicant has not worked in Scotland within that 2 year period,] from a provider of training approved by NHS Education for Scotland that the applicant has satisfactorily completed a course of training in the use of slit lamp biomicroscopy, condensing lens biomicroscopy, [F71contact applanation tonometry using a Goldmann type tonometer] and threshold visual fields.

Textual Amendments

4.  An application shall include the following undertakings:–S

(a)the applicant will participate in appropriate and relevant NHS audit procedures;

(b)that applicant will be bound by the terms of service;

(c)that the applicant will notify the Board in writing within 7 days of its occurrence if the applicant–

(i)is charged in the British Islands with a criminal offence, the sentence for which could be a term of imprisonment or is charged elsewhere with an offence which, if committed in the British Islands would constitute such a criminal offence;

(ii)is convicted of a criminal offence in the British Islands or is convicted elsewhere of an offence which would constitute a criminal offence if committed in the British Islands;

(iii)has, in summary proceedings, in respect of an offence, been the subject of an order discharging him or her absolutely (without proceeding to conviction);

(iv)has accepted and agreed to pay either a procurator fiscal fine under section 302 of the Criminal Procedure (Scotland) Act 1995 or a penalty under section 115A of the Social Security Administration Act 1992;

(v)has accepted a police caution in the British Islands;

(vi)is bound over following a criminal conviction in the British Islands;

(vii)becomes the subject of any investigation into the applicant's professional conduct by any licensing, regulatory or other body anywhere in the world;

(viii)is informed by any licensing, regulatory or other body anywhere in the world of the outcome of any investigation into the applicant's professional conduct, and there is a finding against the applicant;

(ix)becomes, to the applicant's knowledge, the subject of any investigation by the Agency in relation to fraud, or is informed of the outcome of any such investigation, where it is adverse;

(x)becomes the subject of any investigation or proceedings by another Health Board or equivalent body, which might result in the applicant being disqualified, conditionally disqualified, refused entry, allowed entry subject to conditions, removed, contingently removed or suspended from a list, or equivalent list;

(xi)is disqualified, conditionally disqualified, refused entry, allowed entry subject to conditions, removed or suspended from or refused admission or contingently removed from to any list or equivalent list;

(xii)is, was in the preceding 6 months, or was at the time of the events that gave rise to the charge, conviction or investigation , a director or one of the persons with control of a body corporate and that body corporate–

(aa)is charged in the British Islands with a criminal offence, or is charged elsewhere with an offence which, if committed in the British Islands would constitute a criminal offence;

(bb)is convicted of a criminal offence in the British Islands;

(cc)is convicted elsewhere of an offence which, if committed in the British Islands would constitute a criminal offence;

(dd)becomes the subject of any investigation into its provision of professional services by any licensing, regulatory or other body anywhere in the world;

(ee)is informed by any licensing, regulatory or other body anywhere in the world of the outcome of any investigation into its provision of professional services, and there is a finding against it; or

(ff)becomes, to his or her knowledge, the subject of any investigation by the Agency in relation to fraud, or is informed of the outcome of any such investigation, if adverse,

together with details of the occurrence, 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;

(xiii)has sequestration of the applicant's estate awarded or is adjudged bankrupt;

(xiv)is made the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 4A to the Insolvency Act 1986;

(xv)makes a composition or arrangement with, or grants a trust deed for, the applicant's creditors;

(xvi)if a body corporate–

(aa)has an administrator, administrative receiver or receiver appointed in respect of it; or

(bb)has an administration order made in respect of it under Schedule B1 to the Insolvency Act 1986;

(cc)is wound up under Part IV of the Insolvency Act 1986;

(xvii)is made subject to a disqualification order under the Company Directors Disqualification Act 1986), the Companies (Northern Ireland) Order 1986 or to an order made under section 429(2)(b) of the Insolvency Act 1986 (failure to pay under county court administration order);

(d)that the applicant [F72and, where the applicant is an optician that is a body corporate, all directors of the body corporate,] consents to a request being made by the Board to the Agency, any employer or former employer of the applicant [F73or of any director as the case may be], licensing, regulatory or other body in the United Kingdom or elsewhere, for information relating to a current investigation, or an investigation where the outcome was adverse, into the applicant or a body corporate referred to in this paragraph and, for the purposes of this sub paragraph, “employer” includes any partnership of which the applicant is or was a member;

(e)that the applicant consents to disclosure of information in terms of regulation 14; F74...

F75(f). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F76(g)that the applicant (except where the applicant is a body corporate) will remain a scheme member.]

Textual Amendments

PART BSINFORMATION, CONSENTS, DECLARATIONS, CERTIFICATES [F77, DISCLOSURE REQUESTS, DISCLOSURE RECORDS] AND UNDERTAKINGS TO BE INCLUDED IN AN APPLICATION FOR INCLUSION IN THE SECOND PART OF THE OPHTHALMIC LIST

Textual Amendments

1.  An application shall contain the following information:–S

(a)[F78except where the applicant is an optician that is a body corporate,] the applicant's full name, sex, date of birth and private address and telephone number;

(b)[F79except where the applicant is an optician that is a body corporate,] a full description of the applicant's qualifications including the institution which awarded them;

(c)the applicant's professional registration number and date of first registration;

(d)an indication of whether the applicant is an ophthalmic medical practitioner, a registered optometrist or a body corporate;

(e)[F80except where the applicant is an optician that is a body corporate,] chronological details of the applicant's professional experience (including the starting and finishing dates of each appointment together with explanation of any gaps between appointments) with any additional supporting particulars, and an explanation of why the applicant was dismissed from any post;

(f)details of any list or equivalent list from which the applicant [F81(and, where the applicant is an optician that is a body corporate, all directors of the body corporate)] has ever been disqualified, conditionally disqualified, removed, suspended, contingently removed or suspended or to which admission was refused or granted subject to conditions together with reasons for such disqualification, conditional disqualification, removal, suspension or refusal or imposition of conditions;

(g)[F82except where the applicant is an optician that is a body corporate,] name and addresses of two referees who are willing to provide clinical references relating to two recent posts as an ophthalmic medical practitioner or optometrist which lasted at least 3 months without a significant break and which may include a current post, or, where this is not possible a full explanation and name and address of an alternative referee or referees;

(h)[F83except where the applicant is an optician that is a body corporate,] if the applicant is a national of an EEA state, evidence that the applicant has a knowledge of English which, in the interests of the applicant and of patients who may receive general ophthalmic services from the applicant, is necessary for providing general ophthalmic services;

(i)if the applicant F84... is the director or one of the persons with control of a corporate body, [F85or, if the applicant is an optician that is a body corporate, the body corporate’s name, registered office and registered number, telephone number, e-mail address and a list of the full names, dates of birth, private addresses and (if they have one) the national insurance numbers, of all the directors and the secretary];

(j)if the applicant [F86(and, where the applicant is an optician that is a body corporate, all directors of the body corporate)] is, or has been where the outcome was adverse, the subject of any investigation F87... in relation to fraud.

Textual Amendments

2.  An application shall contain the following declarations as to whether or not the applicant:–S

(a)has been convicted of a criminal offence in the British Islands or has been convicted elsewhere of an offence which would constitute a criminal offence if committed in Scotland;

(b)is currently the subject of any proceedings anywhere in the world which might lead to a conviction specified in sub-paragraph (a);

(c)has in summary proceedings in respect of an offence, been the subject of an order discharging the applicant absolutely (without proceeding to conviction);

(d)has accepted and agreed to pay either a procurator fiscal fine under section 302 of the Criminal Procedure (Scotland) Act 1995 or a penalty under section 115A of the Social Security Administration Act 1992;

(e)has accepted a police caution in the British Islands;

(f)has been bound over following a criminal conviction in the British Islands;

(g)has been subject to any investigation into the applicant's professional conduct by any licensing, regulatory or other body anywhere in the world where the outcome was adverse;

(h)is currently subject to any investigation into the applicant's professional conduct by any licensing, regulatory or other body anywhere in the world;

(i)is the subject of any investigation or proceedings by another Board or equivalent body which might result in the applicant being disqualified, conditionally disqualified, refused entry, granted entry subject to conditions, removed, contingently removed or suspended from a list, or equivalent list;

(j)is, or has been, where the outcome was adverse, the subject of any investigation into applicant's professional conduct in respect of any previous or current employment;

(k)is, or has in the preceding 6 months been, or was at the time of the events that gave rise to conviction, proceedings or investigation, a director or one of the body of persons with control of a body corporate, which–

(i)has been convicted of a criminal offence in the British Islands;

(ii)has been convicted elsewhere of an offence which would constitute a criminal offence if committed in the British Islands;

(iii)is currently the subject of any proceeding anywhere in the world which might lead to such a conviction;

(iv)has been subject to any investigation into its provision of professional services by any licensing, regulatory or other body anywhere in the world; or

(v)is, to the applicant's knowledge, or has been, where the outcome was adverse, the subject of any investigation by the Agency in relation to fraud;

3.  An applicant must include with the application–S

[F88(a)where the applicant is an ophthalmic medical practitioner or an optician (except where the optician is a body corporate)—

(i)a disclosure request for any disclosure record required under regulation 7(3)(f); and

(ii)where required by the Board under that regulation, any existing disclosure record the applicant holds;

(aa)where the applicant is a body corporate, an enhanced criminal record certificate in relation to each director, dated not earlier than 28 days before the date of the application, or an application for such a certificate completed and signed by each director who is not already on the Board’s Ophthalmic List; and]

(b)a certificate [F89, dated not earlier than 2 years before the date of the application where the applicant has not worked in Scotland within that 2 year period,] from a provider of training approved by NHS Education for Scotland that the applicant has satisfactorily completed a course of training in the use of slit lamp biomicroscopy, condensing lens biomicroscopy, [F90contact applanation tonometry using a Goldmann type tonometer] and threshold visual fields

Textual Amendments

4.  An application shall include the following consent and undertakings:–S

(a)that the applicant will participate in appropriate and relevant NHS audit procedures;

(b)that the applicant will be bound by the terms of service;

(c)that the applicant will notify the Health Board in writing within 7 days of its occurrence if he or she–

(i)is charged in the British Islands with a criminal offence, the sentence for which could be a term of imprisonment or is charged elsewhere with an offence which, if committed in Scotland, would constitute such a criminal offence;

(ii)is convicted of a criminal offence in the British Islands or is convicted elsewhere of an offence which would constitute a criminal offence if committed in Scotland;

(iii)has, in summary proceedings, in respect of an offence, been the subject of an order discharging him or her absolutely (without proceeding to conviction);

(iv)has accepted and agreed to pay either a procurator fiscal fine under section 302 of the Criminal Procedure (Scotland) Act 1995 or a penalty under section 115A of the Social Security Administration Act 1992;

(v)has accepted a police caution in the British Islands;

(vi)is bound over following a criminal conviction in the British Islands;

(vii)becomes the subject of any investigation into the applicant's professional conduct by any licensing, regulatory or other body anywhere in the world;

(viii)is informed by any licensing, regulatory or other body anywhere in the world of the outcome of any investigation into his or her professional conduct, and there is a finding against the applicant;

(ix)becomes, to the applicant's knowledge, the subject of any investigation by the Agency in relation to fraud, or is informed of the outcome of any such investigation, where it is adverse;

(x)becomes the subject of any investigation or proceedings by another Board or equivalent body, which might result in the applicant being disqualified, conditionally disqualified, refused entry, allowed entry subject to conditions, removed, contingently removed or suspended from a list, or equivalent list;

(xi)is disqualified, conditionally disqualified, refused entry, allowed entry subject to conditions, removed or contingently removed or suspended from or refused admission to any list or equivalent list;

(xii)is, was in the preceding 6 months, or was at the time of the events that gave rise to the charge, conviction or investigation , a director or one of the persons with control of a body corporate and that body corporate–

(aa)is charged in the British Islands with a criminal offence, or is charged elsewhere with an offence which, if committed in the British Islands, would constitute a criminal offence;

(bb)is convicted of a criminal offence in the British Islands;

(cc)is convicted elsewhere of an offence which, if committed in the British Islands, would constitute a criminal offence;

(dd)becomes the subject of any investigation into its provision of professional services by any licensing, regulatory or other body anywhere in the world;

(ee)is informed by any licensing, regulatory or other body anywhere in the world of the outcome of any investigation into its provision of professional services, and there is a finding against it; or

(ff)becomes, to his or her knowledge, the subject of any investigation by the Agency in relation to fraud, or is informed of the outcome of any such investigation, if adverse,

together with details of the occurrence, 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;

(d)that the applicant [F91and, where the applicant is an optician that is a body corporate, all directors of the body corporate,] shall consent to a request being made by the Health Board to the Agency, any employer or former employer [F92of the applicant or of any director as the case may be], licensing, regulatory or other body in the United Kingdom or elsewhere, for information relating to a current investigation, or an investigation where the outcome was adverse, into the applicant or a body corporate referred to in this paragraph and, for the purposes of this sub-paragraph, “employer” includes any partnership of which the applicant is or was a member;

(e)that the applicant consents to disclosure of information in terms of regulation 14; F93...

F94(f). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F95(g)that the applicant (except where the applicant is a body corporate) will remain a scheme member.]

Textual Amendments

PART CSDECLARATIONS TO BE PROVIDED IN TERMS OF REGULATION 26(6)

1.  A declaration as to whether or not the person who is included in the Ophthalmic List in terms of regulation 26(3)–S

(a)has been convicted of a criminal offence in the British Islands or has been convicted elsewhere of an offence which would constitute a criminal offence if committed in the British Islands;

(b)is currently the subject of any proceedings anywhere in the world which might lead to a conviction specified in sub-paragraph (a);

(c)has in summary proceedings in respect of an offence, been the subject of an order discharging the applicant absolutely (without proceeding to conviction);

(d)has accepted and agreed to pay either a procurator fiscal fine under section 302 of the Criminal Procedure (Scotland) Act 1995 or a penalty under section 115A of the Social Security Administration Act 1992;

(e)has accepted a police caution in the British Islands;

(f)has been bound over following a criminal conviction in the British Islands;

(g)has been subject to any investigation into that person's professional conduct by any licensing, regulatory or other body anywhere in the world where the outcome was adverse;

(h)is currently subject to any investigation into that person's professional conduct by any licensing, regulatory or other body anywhere in the world;

(i)is the subject of any investigation or proceedings by another Health Board or equivalent body which might result in that person being disqualified, conditionally disqualified, refused entry, granted entry subject to conditions, removed, contingently removed or suspended from a list, or equivalent list;

(j)is, or has been, where the outcome was adverse, the subject of any investigation into that person's professional conduct in respect of any previous or current employment;

(k)is, or has in the preceding 6 months been, or was at the time of the events that gave rise to conviction, proceedings or investigation, a director or one of the body of persons with control of a body corporate, or a member of a partnership (including a limited liability partnership) which–

(i)has been convicted of a criminal offence in the British Islands;

(ii)has been convicted elsewhere of an offence which would constitute a criminal offence if committed in the British Islands;

(iii)is currently the subject of any proceeding anywhere in the world which might lead to such a conviction;

(iv)has been subject to any investigation into its provision of professional services by any licensing, regulatory or other body anywhere in the world; or

(v)is, to that person's knowledge, or has been, where the outcome was adverse, the subject of any investigation by the Agency in relation to fraud.

2.  A declaration that–S

(a)that person consents to a request being made by the Health Board to the Agency, any employer or former employer, licensing, regulatory or other body in the United Kingdom or elsewhere, for information relating to a current investigation, or an investigation where the outcome was adverse, into that person or a body corporate referred to in this paragraph and, for the purposes of this sub paragraph, “employer” includes any partnership of which that person is or was a member;

F96(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)–

(i)no sequestration of the person's estate has been awarded and that the person has not been adjudged bankrupt, unless (in either case) the person has been discharged or the bankruptcy order has been annulled;

(ii)the person has not been made the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 4A to the Insolvency Act 1986, unless that order has ceased to have effect or has been annulled;

(iii)the person has not made a composition or arrangement with, or granted a trust deed for, the person 's creditors unless the person has been discharged in respect of it;

(iv)where the person is a body corporate–

(aa)an administrator, administrative receiver or receiver has not been appointed in respect of it;

(bb)an administration order has not been made in respect of it under Schedule B1 to the Insolvency Act 1986;

(cc)it has been not been wound up under Part IV of the Insolvency Act 1986;

(d)the person is not subject to a disqualification order under the Company Directors Disqualification Act 1986, the Companies (Northern Ireland) Order 1986 or to an order made under section 429(2)(b) of the Insolvency Act 1986 (failure to pay under county court administration order); and

(e)the person undertakes to notify the Health Board in writing within 7 days of the occurrence of any event specified in paragraph 1, or sub paragraphs (c) and (d) of this paragraph.

Textual Amendments

Regulation 22

F97SCHEDULE 3SPRIMARY EYE EXAMINATION

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Regulation 2(1)

F98SCHEDULE 4SSUPPLEMENTARY EYE EXAMINATION

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Regulation 2(1)

F98SCHEDULE 5SRECORDS

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Regulation 26

SCHEDULE 6SREGULATIONS REVOKED

Orders and Regulations revokedReferencesExtent of revocation
The National Health Service (General Ophthalmic Services) (Scotland) Regulations 1986S.I. 1986/965The whole Regulations
The National Health Service (General Ophthalmic Services) (Scotland) Amendment Regulations 1988S.I. 1988/543The whole Regulations
The National Health Service (General Ophthalmic Services) (Scotland) Amendment Regulations 1989S.I. 1989/387The whole Regulations
The National Health Service (General Ophthalmic Services) (Scotland) Amendment (No. 2) Regulations 1989S.I. 1989/1177The whole Regulations
The National Health Service (General Ophthalmic Services) (Scotland) Amendment Regulations 1990S.I. 1990/1048The whole Regulations
The National Health Service (Optical Charges and Payments) (Miscellaneous Amendments (Scotland) Regulations 1991S.I. 1991/534Regulation 19
The National Health Service (Optical Charges and Payments) (Miscellaneous Amendments (Scotland) Regulations 1992S.I. 1992/531Regulation 5
The National Health Service (General Ophthalmic Services) (Scotland) Amendment Regulations 1995S.I. 1995/704The whole regulations
The National Health Service (General Ophthalmic Services) (Scotland) Amendment Regulations 1996S.I. 1995/843The whole Regulations
The National Health Service (General Ophthalmic Services) (Scotland) Amendment (No) Regulations 1996S.I. 1996/2353The whole Regulations
The National Health Service (General Ophthalmic Services) (Scotland) Amendment Regulations 1999S.I. 1999/725The whole Regulations
The National Health Service (General Ophthalmic Services) (Scotland) Amendment (No. 2) Regulations 1999S.S.I. 1999/55The whole Regulations
The National Health Service (General Ophthalmic Services) (Scotland) Amendment Regulations 2001S.S.I. 2001/62The whole Regulations
The National Health Service (Optical Charges and Payments) and (General Ophthalmic Services (Scotland) Amendment Regulations 2002S.S.I. 2002/86Regulation 4
The National Health Service (General Ophthalmic Services) (Scotland) Amendment Regulations 2003S.S.I. 2003/201The whole Regulations
The National Health Service (General Ophthalmic Services) (Scotland) Amendment (No) Regulations 2003S.S.I. 2003/432The whole Regulations
The National Health Service (General Ophthalmic Services) (Scotland) Amendment Regulations 2004S.S.I. 2004/36The whole Regulations
The National Health Service (General Ophthalmic Services) (Scotland) Amendment (No) Regulations 2004S.S.I. 2004/98The whole Regulations
The National Health Service (General Ophthalmic Services) (Scotland) Amendment (No) Regulations 2004S.S.I. 2004/169The whole Regulations
The Primary Medical Services (Consequential and Ancillary Amendments) (Scotland) Order 2004S.S.I. 2004/212Schedule 1, paragraph 2
The National Health Service (General Ophthalmic Services) (Scotland) Amendment Regulations 2005S.S.I. 2005/128The whole Regulations
The National Health Service (General Ophthalmic Services) (Scotland) Amendment Regulations 2006S.S.I. 2006/42The whole Regulations

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