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SCOTTISH STATUTORY INSTRUMENTS

2006 No. 135
NATIONAL HEALTH SERVICE
The National Health Service (General Ophthalmic Services) (Scotland) Regulations 2006

	Made	10th March 2006
	Laid before the Scottish Parliament	10th March 2006
	Coming into force	1st April 2006

ARRANGEMENT OF REGULATIONS

PART I
GENERAL

1.	Citation and commencement

2.	Interpretation

PART II
QUALIFICATIONS OF OPHTHALMIC MEDICAL PRACTITIONERS

3.	Qualifications

4.	Approval of qualifications

5.	Appeals against determinations of Ophthalmic Qualifications Committee

PART III
OPHTHALMIC LIST

6.	Ophthalmic List

7.	Application for inclusion in Ophthalmic List and notification of changes

8.	Grounds for refusal of application

9.	Deferment of decision on application

10.	Withdrawal from Ophthalmic List

11.	Suspension

12.	Removal from Ophthalmic List

13.	Re inclusion in Ophthalmic List

14.	Disclosure of information

15.	Requirements with which an ophthalmic medical practitioner or optician included in an Ophthalmic List must comply

16.	Effect to be given to corresponding decisions in England, Wales and Northern Ireland

PART IV
GENERAL ARRANGEMENTS

17.	The Statement

18.	Terms of service

19.	Arrangements for particular districts

20.

Payment

21.	Payments to ophthalmic medical practitioners and opticians suspended

PART V
PROCEDURE FOR CHOOSING CONTRACTOR

22.	Application for an eye examination

23.	Application on behalf of children or incapable persons

PART VI
MISCELLANEOUS

24.	Publication of particulars

25.	Service of documents

26.	Revocation, savings and transitional provisions

INFORMATION, CERTIFICATES, CONSENTS, DECLARATIONS AND UNDERTAKINGS TO BE INCLUDED IN AN APPLICATION FOR INCLUSION IN THE FIRST PART OF THE OPHTHALMIC LIST

PART B —

INFORMATION, CONSENTS, DECLARATIONS, CERTIFICATES AND UNDERTAKINGS TO BE INCLUDED IN AN APPLICATION FOR INCLUSION IN THE SECOND PART OF THE OPHTHALMIC LIST

PART C —

DECLARATIONS TO BE PROVIDED IN TERMS OF REGULATION 26(6)

SCHEDULE 3 —

PRIMARY EYE EXAMINATION

SCHEDULE 4 —

SUPPLEMENTARY EYE EXAMINATION

The Scottish Ministers, in exercise of the powers conferred by sections 26, 28A, 32A(7), 32D, 34, 105(7), 106(a) and 108(1) of the National Health Service (Scotland) Act 1978[1] and of all other powers enabling them in that behalf, hereby make the following Regulations:

PART I
GENERAL
Citation and commencement
1. These Regulations may be cited as the National Health Service (General Ophthalmic Services) (Scotland) Regulations 2006 and shall come into force on 1st April 2006.

Interpretation
2. —(1) In these Regulations–

"the Act" means the National Health Service (Scotland) Act 1978;

"the Agency" means the Common Services Agency for the Scottish Health Service constituted under section 10 of the Act[

2

3

"area optical committee" means the committee of that name for the area of a Health Board recognised under section 9 of the Act;

4

5

"complex appliance" means an optical appliance at least one lens of which–

6

7

"contractor" means a person who has undertaken to provide general ophthalmic services and whose name is included in the first part of the Ophthalmic List;

8

"day centre" means an establishment attended by patients and accepted by the Board as suitable for the provision of general ophthalmic services in the Board's area for those patients who would have difficulty in obtaining such services from practice premises because of physical or mental illness or disability or because of difficulties in communicating their health needs unaided;

"deputy" means an ophthalmic medical practitioner or optician, whether or not a contractor, who provides general ophthalmic services on behalf of a contractor otherwise than as a director or salaried employee of that contractor;

"director" means–

"disqualification" means disqualification by the Tribunal, (or a corresponding decision under provisions in force in England, Wales or Northern Ireland corresponding to disqualification), but does not include conditional disqualification, and "disqualified" shall be construed accordingly;

"doctor" means a registered medical practitioner;

9

10

"enactment" includes an enactment comprised in, or an instrument made under, an Act of the Scottish Parliament;

11

"equivalent body" means–

or any successor body;

"equivalent list" means a list kept by an equivalent body;

"eye examination" means a primary eye examination or a supplementary eye examination or both;

"eye examination form" means a form supplied by a Health Board which is to be completed for the purposes of payment in respect of an eye examination;

12

"general ophthalmic services" means the services which a contractor must provide pursuant to paragraph 14 of Schedule 1;

"licensing or regulatory body" means a body that licenses or regulates any profession of which the ophthalmic medical practitioner, or the optician (as the case may be) is, or has been a member, including a body regulating or licensing the education, training or qualifications of that profession, and includes any body which licenses or regulates any such profession, its education, training or qualifications, outside the United Kingdom;

13

"mobile practice" means a contractor who does not have practice premises in the Board's area but who has undertaken to provide general ophthalmic services at a day or residential centre in that part of the Board's area;

"ophthalmic hospital" includes an ophthalmic department of a hospital;

"Ophthalmic List" has the meaning assigned to it by regulation 6;

"ophthalmic medical practitioner" means a registered medical practitioner whose qualifications have been approved in accordance with regulation 4 or 5 as being prescribed qualifications;

"ophthalmic officer" means an ophthalmic medical practitioner, ophthalmic optician or ophthalmologist in the service of the Agency;

"Ophthalmic Qualifications Committee" means such committee appointed by organisations representative of the medical profession as may be recognised for the purposes of approving–

"optical appliance" means an appliance designed to correct, remedy or relieve a defect of sight;

14

15

"patient" means any person for whom a contractor has agreed to provide general ophthalmic services, or in respect of whom an ophthalmic medical practitioner or optician has agreed to assist in the provision of general ophthalmic services;

"primary eye examination" means the mandatory tests and procedures specified in Table A of Schedule 3 including where clinically necessary a sight test and the additional tests and procedures specified in column 2 of Table B of that schedule in the circumstances specified in column 1 of Table B of that schedule,;

"professional conduct" includes matters relating both to professional conduct and professional performance;

"professional registration number" means the number against the ophthalmic medical practitioner or optician's name in the register;

"qualifications" includes qualifications as to experience;

"records" means the data specified in Table A of Schedule 5;

"register"–

16

17

"relevant service in the armed forces" means whole time service in the armed forces of the Crown in a national emergency, as a volunteer or otherwise, or a compulsory whole-time service in those forces, including any service resulting from any reserve liability, or any equivalent service by a person liable for compulsory whole-time service in those forces;

"required equipment" means:

"residential centre" means an establishment in the Board's area for patients who normally reside in that establishment and who are unable to leave the establishment unaccompanied because of physical or mental illness or disability;

"sight test" means a refraction to measure and correct the refractive error of the eyes by means of an optical appliance;

"the Statement" means the Statement prepared pursuant to the provisions of regulation 17;

"supplements" means prisms, tints, photochromic lenses, small glasses and complex appliances;

"supplementary eye examination" means the tests and procedures specified in column 2 of the Table in Schedule 4 in the circumstances specified in column 1 of that Schedule, including where clinically necessary a sight test;

18

19

"terms of service" means the terms set out in Schedule 1;

20

"working day" means a period of 7 hours 30 minutes on any day of the week, usually between the hours of 9.00am and 5.30pm with a 1 hour lunch break;

"writing" includes, except in regulation 7(1) electronic mail and "written" shall be construed accordingly.

(2) A reference to "the Agency" in these Regulations includes a reference to the Agency acting on behalf of a Board.

(3) Unless the context otherwise requires, any reference in these regulations to a numbered regulation or Schedule is to the regulation in or Schedule to these regulations which bears that number, any reference in a regulation or Schedule to a numbered paragraph is to the paragraph bearing that number in that regulation or Schedule, and any reference in a paragraph of Schedule 1 to a numbered sub paragraph is to the sub paragraph bearing that number in that paragraph.

PART II
QUALIFICATIONS OF OPHTHALMIC MEDICAL PRACTITIONERS
Qualifications
3. —(1) The prescribed qualifications which a doctor is to possess for the purposes of section 26 of the Act (general ophthalmic services) are that the doctor has (at the date of consideration of the doctor's application under regulation 4) recent experience and either–

(b) has–

PART III
OPHTHALMIC LIST
Ophthalmic List
6. —(1) Each Board shall prepare and maintain in accordance with these Regulations a list called "the Ophthalmic List" of those persons–

(a) who, pursuant to the provisions of regulation 7, have undertaken to provide, or who are approved by the Board to assist in the provision of, general ophthalmic services in its area, and

(b) who are not disqualified from inclusion in the Ophthalmic List by virtue of the provisions of sections 29B(2)[

(2) The Ophthalmic List shall be divided into two parts–

(3) The first part of the Ophthalmic List shall contain the following information:–

(4) The second part of the Ophthalmic List shall contain the following information:–

(5) Subject to regulation 26(8)–

(6) The Board shall–

(7) The Board shall, if necessary, prepare an updated Ophthalmic List each year and send a copy to the Scottish Ministers.

Application for inclusion in Ophthalmic List and notification of changes
7. —(1) An ophthalmic medical practitioner or optician who wishes to be included in the Ophthalmic List of a Board shall submit to that Board a written application to that effect, which shall state whether the applicant is an ophthalmic medical practitioner, a person registered in the register of optometrists maintained under section 7 of the Opticians Act 1989, or a body corporate registered in the register of bodies corporate maintained under section 9 of that Act carrying on business as an optometrist, and whether the applicant wishes to be included in the first part of the Ophthalmic List, or in the second part of that list, and shall include–

(a) in the case of an application to be included in the first part of that list an undertaking to provide general ophthalmic services and to comply with the terms of service;

(b) in the case of an application to be included in the second part of that list, an undertaking to comply with paragraphs 1, 2, 3, 4(2), 8(1) and (2), 12, 13(2)(b), (3) and (4), and 14 of the terms of service.

(c) the information, as respect the matters specified in regulation 6(3) or (4) (as the case may be), which it is proposed shall be contained in the Ophthalmic List;

(d) in the case of an application to be included in the first part of that list, the information, certificates, undertakings, consents and declarations set out in Part A of Schedule 2; or

(e) in the case of an application to be included in the second part of that list, the information, certificates, undertakings, consents and declarations set out in Part B of Schedule 2.

(2) An ophthalmic medical practitioner or optician whose name appears on the Ophthalmic List shall within 14 days of any change or addition affecting the entries which that list is required to contain in relation to that person, notify the Board accordingly.

(3) Before determining an application submitted under paragraph (1), a Board shall–

(a) check the information provided by the applicant and any documents which the applicant is required to produce in terms of these Regulations;

(b) take up the references that the applicant has provided in accordance with paragraph l(l) of Part A, or 1(g) of Part B, of Schedule 2; and

(c) check with the Agency whether the applicant has any record of fraud, or is currently, or at any time has been, the subject of any investigation by the Agency, which information the Agency shall supply unless it would prejudice any criminal proceedings or the prevention, detection or investigation of fraud.

    (4) If a Board considers that further information or documents, in addition to the documents, information and undertakings provided by the applicant in accordance with paragraph (1), are necessary to determine the applicant's application, the Board shall require the applicant to provide such further information or documents as are necessary before the Board shall determine an application in accordance with this regulation.

    (5) Where information about an applicant's previous conviction, including information disclosed by means of an enhanced criminal record certificate, or any other information or documents disclosed or provided to, or the investigations carried out by, the Board in terms of this regulation lead the Board to consider that there may be grounds for referral to the Tribunal then the Board may refer the matter to the Tribunal.

    (6) In the case of an application to a Board by a ophthalmic medical practitioner or optician who is included in either part of the Ophthalmic List for inclusion in the other part of that list, that person shall only be required to provide the information required by paragraphs (1), (2, (3) and (4) insofar as–

(a) that person has not already supplied such information to that Board; or

(b) the information has changed since it was provided.

(7) Any person who is not an optician, but expects to become so on successful completion of that person's training, may make an application to a Board to be included in either part of its Ophthalmic List not more than 4, and not less than 3, months before that person anticipates being registered in the register of optometrists maintained under section 7 of the Opticians Act 1989.

(8) An application under paragraph (7) shall contain–

(a) all information, certificates, undertakings, consents and declarations mentioned in paragraph (1), except that required by sub paragraphs 1(b) and (c) and 3 of Part A, or paragraphs 1(b) and (c) and 3 of Part B of Schedule 2;

(b) the undertakings and consents required by Schedule 2; and

(c) any declaration required under Schedule 2.

(9) In the application of these Regulations to any application under paragraph (7), any reference to an optician shall be taken as being a reference to an applicant under paragraph (7).

(10) An applicant under paragraph (7) shall provide the information required by paragraphs 1(b) and (c) and 3 of Part A, or 1(b) and (c) and 3 of Part B, of Schedule 2 as soon as the applicant has been notified by the General Optical Council that the applicant has been admitted to the register, and the Board shall then, provided–

(a) the requirements of paragraphs (7) and (8) have been complied with;

(b) the Board has not sought further information, references or documentation under regulation 7(4); and

(c) the Board has not deferred the application under regulation 10,

decide the application within 7 days of receiving the information required under paragraphs 1(b)(c) and 3 of Part A, or 1(b)(c) and 3 of Part B, of Schedule 2.

Grounds for refusal of application
8. —(1) The grounds on which a Board must refuse to include an ophthalmic medical practitioner or optician in its Ophthalmic List are that–

(a) the applicant is not an ophthalmic medical practitioner or an optician;

(b) the applicant has been convicted in the British Islands of murder;

(c) the applicant has been disqualified;

(d) the applicant has been suspended;

(e) the applicant has not updated the application in accordance with regulation 9(4)(a);

(f) the applicant has been refused entry to, or removed from, an equivalent list by an equivalent body on grounds corresponding (whether or not exactly) to a condition for disqualification;

(g) any order has been made or any direction has been given in terms of the Medical Act 1983 (in the case of an ophthalmic medical practitioner) or the Opticians Act 1989 (in the case of an optician) that the applicant's registration in the register should be erased, removed or suspended.

(2) Paragraph (1) is without prejudice to any duty on a Board not to add the applicant to an Ophthalmic List by virtue of regulation 26 (practitioners subject to inquiry) of the National Health Service (Tribunal) (Scotland) Regulations 2004[29].

(3) When the Board has decided whether or not to include an applicant in its Ophthalmic List, it shall notify the applicant within 7 days of that decision of–

Deferment of decision on application
9. —(1) Without prejudice to the Board's power under section 29 of the Act (the NHS Tribunal) to make representations to the Tribunal that an applicant meets a condition for disqualification, a Board may defer a decision on any application to be included in its Ophthalmic List, where–

(a) there are, in respect of the applicant–

the outcome of which would be likely to lead to refusal to include the applicant in, or the removal of the applicant from, an Ophthalmic List, or would be likely to lead the Tribunal (if representations were made to it) to be of the opinion that the applicant meets a condition for disqualification;

(b) in respect of a body corporate of which the applicant is, has in the preceding 6 months been, or was at the time of the originating events, a director or one of the body of persons with control of that body corporate, there are–

the outcome of which would be likely to lead to refusal to include the applicant in, or the removal of the applicant from, an Ophthalmic List, or would be likely to lead the Tribunal (if representations were made to it) to be of the opinion that the applicant meets a condition for disqualification;

(c) the applicant or a body corporate of which the applicant is, or has in the preceding 6 months been, or was at the time of the originating events, a director or one of the body of persons with control of that body corporate, is the subject of an investigation or proceedings relating to the professional conduct of the applicant or the body corporate by any licensing or regulatory body (including one by the Agency or another Health Board or equivalent body) in the United Kingdom or elsewhere in the world, the outcome of which would be likely to lead to refusal to include in, or removal from, an Ophthalmic List or would be likely to lead the Tribunal (if representations were made to it) to be of the opinion that the applicant meets a condition for disqualification;

(d) where the applicant is a body corporate, the applicant is the subject of an investigation or proceedings relating to the professional conduct of the applicant by any licensing or regulatory body (including one by the Agency or another Health Board or equivalent body) in the United Kingdom or elsewhere in the world, the outcome of which would be likely to lead to refusal to include in, or removal from, an Ophthalmic List or would be likely to lead the Tribunal (if representations were made to it) to be of the opinion that the applicant meets a condition for disqualification;

(e) a body corporate of which the applicant is, has in the preceding 6 months been, or was at the time of the originating events, a director, or one of the body of persons with control of that body corporate, is suspended from any list or equivalent list;

(f) the applicant is being investigated by the Agency in relation to any fraud, where the result, if adverse, would be likely to lead to the applicant's removal from the Board's Ophthalmic List if the applicant were to be included in it;

(g) a body corporate, of which the applicant is, has in the preceding 6 months been, or was at the time of the originating events a director, or one of the body of persons with control of that body corporate, is being investigated by the Agency in relation to any fraud, where the result, if adverse, would be likely to lead to the applicant's removal from the Board's Ophthalmic List if the applicant were to be included in it;

(h) the Tribunal is considering an application from a Board for disqualification of the applicant or of a body corporate of which the applicant is, has in the preceding 6 months been, or was at the time of the originating events, a director or one of the body of persons with control of that body corporate; or

(i) the applicant has been suspended from a list by a Health Board, or from an equivalent list by an equivalent body.

    (2) A Board may only defer a decision under paragraph (1) until the outcome of the relevant event mentioned in any of sub paragraphs (a) to (i) of that paragraph is known.

    (3) The Board must notify the applicant that it has deferred a decision on the application and the grounds for the deferral.

    (4) Once the outcome of the relevant event mentioned in paragraph (1) is known, the Board shall notify the applicant in writing that the applicant must within 28 days of the date of the notification (or such longer period as the Board may agree)–

(a) update the applicant's application; and

(b) confirm in writing that the applicant wishes to proceed with the application,

and the provisions of regulations 7, 8 and 9 shall apply to the application.

(5) Provided any additional information required by paragraph (4) has been received by it within the period of 28 days specified in paragraph (4) or any longer period agreed, the Board shall notify the applicant as soon as possible–

(a) that the application has been successful; or

(b) that the Board has decided to refuse the application and the grounds for that decision.

(6) In this regulation, "the outcome of the relevant event" means the final determination of any proceedings (including proceedings pending the determination of which the applicant is suspended) or investigation referred to in paragraph 9(1)(a) to (i).

Withdrawal from Ophthalmic List
10. —(1) Where a person whose name appears on a Board's Ophthalmic List gives notice in writing to the Board that that person desires to withdraw from the Board's Ophthalmic List, that person's name shall, with the agreement of the Board, be removed therefrom at the expiration of 90 days from the date of such notice or of such shorter period as the Board may agree, except that–

(a) if representations are made to the Tribunal in terms of section 29 of the Act (the NHS Tribunal), or a request for review has been made to the Tribunal or a review is to be made by the Tribunal under section 30 of the Act (review etc. of disqualification)[

30

(2) The Board shall, on receiving notice from any person pursuant to paragraph (1), as soon as practicable so amend the Board's Ophthalmic List–

whichever is the earlier.

    (3) Any notice given pursuant to paragraph (1) may not be withdrawn by the person giving that notice except with the consent of the Board.

    (4) A contractor shall give notice in writing to the Board that he or she intends to withdraw from the first part of its Ophthalmic List if the contractor is accepted on to the second part of its Ophthalmic List.

    (5) An ophthalmic medical practitioner or optician who assists in the provision of general ophthalmic services shall give notice in writing to the Board that he or she intends to withdraw from the second part of its Ophthalmic List if he or she is accepted on to the first part of its Ophthalmic List.

Suspension
     11. —(1) If a Board is satisfied that it is necessary to do so for the protection of members of the public or is otherwise in the public interest, it may suspend an ophthalmic medical practitioner or an optician from its Ophthalmic List in accordance with this regulation–

(a) while it considers whether to remove that person from its Ophthalmic List under regulation 12;

(b) while it waits for a decision affecting that person of a court anywhere in the world, or of a licensing or regulatory body;

(c) while it considers whether to refer that person to the Tribunal;

(d) while it awaits a finding by the Tribunal;

(e) where it has decided to remove that person from its Ophthalmic List but before that decision takes effect.

    (2) In a case falling within paragraph (1)(a) or (c), the Board must specify a period, not exceeding six months, as the period of suspension.

    (3) In a case falling within paragraph (1)(b), the Board may specify that the ophthalmic medical practitioner or optician (as the case may be) remains suspended after the decision referred to in that paragraph has been made for an additional period, not exceeding six months.

    (4) In a case falling within paragraph (1)(d), the term of suspension may exceed six months.

    (5) If the Board suspends an ophthalmic medical practitioner or an optician in a case falling within paragraph (1)(e) the suspension has effect from the date the Board informed that person of the suspension.

    (6) The Board may extend the period of suspension under paragraph (2) or impose a further period of suspension under paragraph (3), so long as the aggregate period of suspension does not exceed 6 months.

    (7) The effect of a suspension is that, while an ophthalmic medical practitioner or optician is suspended under these Regulations, that person is to be treated as not being included in the Ophthalmic List even though that person's name appears in it.

    (8) The Board may at any time revoke the suspension and notify the ophthalmic medical practitioner or optician (as the case may be) of its decision.

    (9) Where a Board is considering suspending an ophthalmic medical practitioner or an optician or varying the period of suspension under this regulation, it shall give the ophthalmic medical practitioner or optician (as the case may be)–

(a) notice of any allegation against that person;

(b) notice of what action it is considering and on what grounds; and

(c) the opportunity to put that person's case at an oral hearing before the Board, on a specified day, provided that at least 24 hours' notice of the hearing is given.

    (10) If the ophthalmic medical practitioner or optician (as the case may be) does not wish to have an oral hearing or does not attend the oral hearing, the Board may suspend that person with immediate effect.

    (11) If an oral hearing does take place, the Board shall take into account any representations made at the hearing before it reaches its decision.

    (12) The Board may suspend the ophthalmic medical practitioner or optician (as the case may be) with immediate effect following the hearing.

    (13) The Board shall notify the ophthalmic medical practitioner or optician (as the case may be) of its decision and the reasons for it (including any facts relied upon) within 7 days of making that decision.

    (14) During a period of suspension, payments shall be made to or in respect of the ophthalmic medical practitioner or optician (as the case may be) in accordance with regulation 21.

    (15) If an ophthalmic medical practitioner or optician (as the case may be) is dissatisfied with a decision of a Board ("the original decision")–

(a) not to authorise the Agency to make a payment to or in respect of that person pursuant to a determination under regulation 21;

(b) to authorise the Agency to make a payment to or in respect of that person pursuant to a determination under regulation 21, but at a lower level than the level to which the suspended ophthalmic medical practitioner or optician (as the case may be) considers to be correct; or

(c) in respect of recovery of what the Board considers to be an overpayment,

that person may ask the Board to review the original decision and, if that person does so, the Board shall reconsider the original decision, and once it has done so, it must notify that person in writing of the outcome of that reconsideration ("the reconsidered decision") and give that person notice of the reasons for the reconsidered decision.

Removal from Ophthalmic List
12. —(1) Where a Board has determined that a person whose name has been included in its Ophthalmic List–

(a) has died;

(b) has ceased to be an ophthalmic medical practitioner or optician;

(c) has been convicted in the British Islands of murder;

(d) has been disqualified;

(e) has been refused entry to, or removed from, an equivalent list by an equivalent body on grounds corresponding (whether or not exactly) to a condition for disqualification; or

(f) any order has been made or any direction has been given in terms of the Medical Act 1983 (in the case of an ophthalmic medical practitioner) or the Opticians Act 1989 (in the case of an optician) that the applicant's registration in the register should be erased, removed or suspended,

it shall remove that person's name from the Ophthalmic List with effect from the date of its determination or, in the case of (d) above, the date on which the disqualification takes effect if that date is later than the date of the Board's determination, and shall notify that person as soon as practicable of the removal and the grounds for the removal.

    (2) Where a Board determines after consultation with any appropriate area medical committee in the case of an ophthalmic medical practitioner, or with any appropriate area optical committee in the case of an optician, that a person whose name has been included for the preceding 6 months in the first part of the Ophthalmic List of the Board has not during that period provided general ophthalmic services for persons in the Board's area, the Board shall remove the name of that person from its Ophthalmic List.

    (3) Where a Board determines after consultation with any appropriate area medical committee in the case of an ophthalmic medical practitioner, or with any appropriate area optical committee in the case of an optician that a person whose name has been included for the preceding 12 months in the second part of the Ophthalmic List of the Board has not during that period assisted with the provision of general ophthalmic services for persons in the Board's area, the Board may remove the name of that person from its Ophthalmic List.

    (4) In calculating the periods of 6 and 12 months referred to in paragraphs (2) and (3) the Board shall disregard any period during which the ophthalmic medical practitioner or optician (or the case may be)–

(a) was not included in its Ophthalmic List;

(b) was suspended;

(c) was performing a period of relevant service in the armed forces;

(d) was suspended from the Ophthalmic List by the Health Board;

(e) was suspended from the register.

    (5) Before making any determination under paragraphs (2) or (3) the Health Board shall give the contractor or the ophthalmic medical practitioner or optician assisting with the provision of general ophthalmic services 28 days' notice of its intention so to do and shall afford that person an opportunity of making representations to the Board orally or in writing, if he or she so wishes.

    (6) No determination under this regulation shall be made in respect of any ophthalmic medical practitioner or optician who has completed a period of relevant service in the armed forces until 12 months after the date when that person completed that period of relevant service in the armed forces.

    (7) Nothing in this regulation shall prejudice the right of a person to have that person's name included again in a Board's Ophthalmic List.

    (8) Any document which is required or authorised to be given to any person under this regulation may be given by delivering it to that person or by sending it by recorded delivery service to that person's usual or last known place of business as recorded in the Ophthalmic List or in the case of an ophthalmic medical practitioner or optician who assists in the provision of general ophthalmic services to his or her home address.

    (9) Paragraph (1) is without prejudice to any duty on a Board to remove an ophthalmic medical practitioner or an optician from an Ophthalmic List by virtue of that person being suspended under section 32A or 32B of the Act.

    (10) Where information about the conviction(s) of any person on an Ophthalmic List or any other information relating to such a person is disclosed to a Board, including by means of an enhanced criminal record certificate, and the Board considers that the disclosure may be grounds for removal of that person from the Board's Ophthalmic List (other than under paragraph (1), (2) or (3)) then the Board may refer the matter to the Tribunal.

Re inclusion in Ophthalmic List
     13. —(1) Where an ophthalmic medical practitioner or optician has been removed from a Board's Ophthalmic List under regulation 12, and the occurrence that led to that removal is overturned either on appeal, or for any other reason, the Board may include that person in its Ophthalmic List without an application being made in accordance with regulation 7 if the Board is satisfied that there is no further information which it should consider, and provided that the Board receives undertakings from that person to comply with these Regulations.

    (2) Where the Board considers that further information is required, a person who wishes to be re-included in the Ophthalmic List will be required to complete a full application in accordance with regulation 7.

Disclosure of information
     14. —(1) Where a Board decides to–

(a) refuse to admit a person to the Board's Ophthalmic List on the grounds specified in regulation 8;

(b) remove an ophthalmic medical practitioner or optician from that list on the grounds specified in regulation 12; or

(c) suspend a person from that list, or end a suspension under regulation 11,

the Board 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, of the matters set out in paragraph (4).

(2) Where paragraph (1) applies, a Board shall notify within 7 days of that decision–

(a) the Scottish Ministers;

(b) the Agency;

(c) any other Board or equivalent body that, to the knowledge of the notifying Board–

(d) the Secretary of State;

(e) the National Assembly for Wales;

(f) the Northern Ireland Executive;

(g) the General Medical Council in respect of an ophthalmic medical practitioner, or the General Optical Council in respect of an optician, or any other appropriate regulatory body.

(3) The persons or bodies to be additionally notified in accordance with paragraph (1) are–

(a) persons or bodies that can establish that they are employing that person or using that person's services;

(b) a body corporate which provides general ophthalmic services and which can establish that the person is one of the body of persons which governs or controls the body corporate.

(4) The matters referred to in paragraph (1) are–

(a) the person's name;

(b) the person's professional registration number;

(c) the date and a copy of the Board's decision; and

(d) a contact name of a person in the Board for further enquiries.

    (5) The Board shall send to the person concerned a copy of any information about that person provided to the persons or bodies listed in paragraphs (2) or (3), and any correspondence with that person or body relating to that information.

    (6) Where the Board has notified any of the persons or bodies specified in paragraphs (2) or (3) of the matters set out in paragraph (4), it may, in addition, if requested by that person or body, notify that person or body of any information that was considered by the Board, including any representations from the ophthalmic medical practitioner or optician (as the case may be).

    (7) A Board may disclose information about an ophthalmic medical practitioner or optician supplied to it or acquired by the Board pursuant to these Regulations, or about references by the Board to the Tribunal, to any of the following–

(a) the Scottish Ministers;

(b) the Agency;

(c) any other Board or equivalent body, which–

(d) the Secretary of State;

(e) the National Assembly for Wales;

(f) the Northern Ireland Executive;

(g) the General Medical Council in respect of an ophthalmic medical practitioner or any other licensing or regulatory body;

(h) the General Optical Council in respect of an optician or any other licensing or regulatory body;

(i) persons or bodies that can establish that they are employing that person or using that person's services;

(j) a body corporate which provides general ophthalmic services, and can establish that the person is one of the body of persons which governs or controls the body corporate.

Requirements with which an ophthalmic medical practitioner or optician included in an Ophthalmic List must comply
15. —(1) An ophthalmic medical practitioner or an optician included in an Ophthalmic List shall–

(a) exercise a reasonable standard of professional and clinical judgement, behaviour, skill, knowledge and care towards patients who receive general ophthalmic services from that person;

(b) comply with the terms of service appropriate to the part of the Ophthalmic List on which his or her name appears; and

(c) comply with the undertakings specified in Schedule 2 appropriate to the part of the Ophthalmic List on which his or her name appears and any other requirement of these Regulations.

    (2) An ophthalmic medical practitioner or an optician included in an Ophthalmic List shall comply with the undertakings specified in Schedule 2 appropriate to the part of the Ophthalmic Lists on which his or her name appears whether or not those undertakings were included in an application by that person under regulation 7.

    (3) An ophthalmic medical practitioner or an optician shall not give, promise or offer, or cause to be given, promised or offered, to any person any incentive, gift or reward as an inducement to, or in consideration of, the provision of any general ophthalmic services.

Effect to be given to corresponding decisions in England, Wales and Northern Ireland
     16. —(1) Where any corresponding decision is made in England, Wales or Northern Ireland by an equivalent body that–

(a) a person is to be included in an equivalent list subject to conditions;

(b) a person is to be removed from an equivalent list contingent on conditions;

(c) a person is to be disqualified from an equivalent list subject to conditions; or

(d) any conditions so imposed are varied,

a Health Board shall impose those conditions in relation to the provision, or the assistance in the provision, by that person of general ophthalmic services in the area of the Health Board.

(2) The Health Board may make such modifications of the conditions referred to in paragraph (1) as it considers necessary for them to have the like effect in relation to Scotland as they do in relation to England, Wales or (as the case may be) Northern Ireland, but only if the Health Board has previously given the person concerned written notice of the proposed modifications and an opportunity to make representations about them.

PART IV
GENERAL ARRANGEMENTS
The Statement
17. —(1) The Scottish Ministers shall, after consultation with such organisations as appear to them to be representative of contractors providing general ophthalmic services, make provision in a determination (in these Regulations referred to as "the Statement") as to–

(2) Any such determination–

    (3) A determination or an amendment to a determination shall be in respect of a period beginning on or after a date specified in the determination or the amendment to a determination, which may be the date of the determination or an amendment to the determination or an earlier or later date, but may be an earlier date only if it, taking the determination as a whole, it is not detrimental to the person to whose remuneration it relate.

Terms of service
     18. The arrangements for the provision of general ophthalmic services made by a Board shall incorporate the terms of service and the Statement.

Arrangements for particular districts
     19. Where it appears to a Board that provision is required to meet the needs of the residents of any particular district in the Board area, the Board may, after consultation with the area optical committee and with the approval of the Scottish Ministers, make arrangements with an optician or an ophthalmic medical practitioner whereby the optician or the ophthalmic medical practitioner undertakes to provide general ophthalmic services at suitable centres in that district on such terms as may be specified in the arrangements.

Payment
     20. —(1) Each Board shall make or cause to be made by the Agency to contractors within its area payments in accordance with the Statement, and any payments which may become due to contractors by virtue of arrangements made under regulation 19.

    (2) Where the Agency considers that it has made a payment to a contractor owing to an error or in circumstances where it was not due, it shall, except to the extent that the Scottish Ministers on the application of the Board direct otherwise, draw the overpayment to the attention of the contractor and the amount overpaid shall be recoverable as a debt by any lawful means.

    (3) Recovery of an overpayment under the provisions of this regulation shall be without prejudice to the investigation of an alleged breach of the terms of service.

    (4) A contractor who is unable to complete for a patient the general ophthalmic services which he has undertaken to provide shall inform the Agency accordingly in writing, and if the Agency is satisfied that the inability is due to a reasonable cause it shall make payment in accordance with the Statement to the contractor for such part of those services as he shall have provided.

Payments to ophthalmic medical practitioners and opticians suspended
     21. —(1) A Board shall authorise the Agency to make payments to any ophthalmic medical practitioner or optician who is suspended by direction of the Tribunal or by the Board in accordance with regulation 11 in accordance with the Scottish Ministers' determination for the time being in force in relation to such payments.

    (2) The Scottish Ministers shall make the determination in accordance with paragraphs (3) and (4) after consultation with the organisations referred to in regulation 17(1), and it shall be published with the Statement there referred to.

    (3) Any determination under paragraph (1)–

(a) shall determine any sum payable by reference to remuneration which the ophthalmic medical practitioner or optician might have received during the period that person was suspended; and

(b) may also determine any sum payable by reference to any other payment received or which might have been received by the ophthalmic medical practitioner or optician had that person not been suspended.

    (4) The Scottish Ministers' determination may include provision that payments in accordance with the determination are not to exceed a specified amount in any specified period.

    (5) Regulation 17(2) shall apply to determinations under this regulation as it applies to determinations under that regulation.

    (6) Regulation 20(2) shall apply to payments made under this regulation as it applies to payments made under that regulation.

PART V
PROCEDURE FOR CHOOSING CONTRACTOR
Application for an eye examination
     22. —(1) A person who wishes to have an eye examination under general ophthalmic services may make an application to any ophthalmic medical practitioner or optician on the Ophthalmic List for an eye examination.

    (2) The application shall be made on an eye examination form provided for that purpose to contractors by the Board and shall contain a written declaration signed by the applicant.

    (3) An ophthalmic medical practitioner or optician to whom an application for an eye examination is made shall, before carrying out an eye examination–

(4) Where the ophthalmic medical practitioner or optician has provided the eye examination at a place where the patient resides, the ophthalmic medical practitioner or optician shall record on the eye examination form the physical or mental illness or disability given by or on behalf of the patient as the reason for the patient not being able to leave home unaccompanied.

Application on behalf of children or incapable persons
23. —(1) Subject to paragraph (2), an application for an eye examination under general ophthalmic services in terms of these regulations shall be made and a signature required by these regulations shall be given–

(a) on behalf of any person under 16 years of age by either parent, or in the absence of both parents, the guardian or other adult person who has the care of the child;

(b) on behalf of any other person who is incapable of making such an application or giving such a signature by–

(c) on behalf of any person under the age of 18–

(i) who is looked after by a local authority within the meaning of section 17(6) of the Children (Scotland) Act 1995[

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(2) A signature on an application may not be given by a contractor or any person employed by a contractor, or who assists a contractor in providing general ophthalmic services.

PART VI
MISCELLANEOUS
Publication of particulars
     24. Copies of the Ophthalmic List, these Regulations, the terms of service and the Statement shall be made available for inspection at the offices of the Board and at such other places in the Board's area as appear to be convenient for informing any person interested, and shall be kept revised and up to date

Service of documents
     25. Subject to regulation 12(8), any document which is required or authorised under these regulations or under the terms of service to be given to an ophthalmic medical practitioner or optician may be given by delivering it to such a person or by sending it addressed to that person at any address notified by him or her to the Board for inclusion in the Ophthalmic List as a place at which the contractor has undertaken to provide general ophthalmic services, or in the case of a mobile practice, the address notified to the Board as the address to which correspondence may be sent or in the case of an ophthalmic medical practitioner or optician who assists in the provision of general ophthalmic services to his or her home address.

Revocation, savings and transitional provisions
     26. —(1) Subject to paragraphs (2) and (3), the regulations specified in Schedule 6 ("the revoked Regulations") are hereby revoked.

    (2) In respect of any general ophthalmic services provided under the revoked Regulations for which arrangements were made before 1st April 2006, payments shall be made as though the revoked Regulations and determinations made under them and in force on 31st March 2006 continue to be in force.

    (3) The first part of a Board's Ophthalmic List on 1st April 2006 shall be deemed to include the name of any person whose name was included in the Ophthalmic List of that Board kept under regulation 6 (Ophthalmic List) of the National Health Service (General Ophthalmic Services) (Scotland) Regulations 1986[32] ("the previous Ophthalmic List") on 31st March 2006, together with all the information relating to that person which is contained in the previous Ophthalmic List.

    (4) Any action taken by or on behalf of a Board prior to 1st April 2006 in relation to its previous Ophthalmic List, (or in relation to the persons or entries thereon), shall have effect on and after 1st April 2006 as if such action had been taken by that Board in relation to the first part of the Ophthalmic List maintained by that Board on 1st April 2006 or in relation to the persons or entries thereon.

    (5) Any action taken by or on behalf of any other person prior to 1st April 2006 in relation to the previous Ophthalmic List of a Board (or in relation to the persons or entries thereon) shall have effect on and after 1st April 2006 as if such action had been taken in relation to the first part of the Ophthalmic List maintained by that Board on 1st April 2006 or in relation to the persons or entries thereon.

    (6) Any person whose name is deemed to be included in the Ophthalmic List of a Board in terms of paragraph (3) shall no later than 30th June 2006–

(7) The Health Board may extend the period prescribed in sub-paragraph (6) for such time as it considers appropriate in the circumstances of the case if it thinks it is not reasonably practicable for that ophthalmic medical practitioner or optician to provide it with such certificates, declarations and consent within the prescribed period.

(8) Any person who wishes to be included in the second part of a Board's Ophthalmic List shall be entitled to assist in the provision of general ophthalmic services in the Board's area without that person's name being included in that list until 30th June 2006, provided that that person is an ophthalmic medical practitioner or optician.

RHONA BRANKIN
Authorised to sign by the Scottish Ministers

St Andrew's House, Edinburgh
10th March 2006

SCHEDULE 1Regulations 2(1) and 18

TERMS OF SERVICE

Interpretation
1. In this Schedule–

Incorporation of provisions
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[

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(d) regulation 9 of the National Health Service (Optical Charges and Payments) (Scotland) Regulations 1998[35];

(e) the Statement;

(f) the General Optical Council's Rules Relating to Injury of the Eye; and

(g) the College of Optometrist's Code of Ethics and Guidance for Professional Conduct.

Certificate of training
     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, applanation tonometry 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

Premises at which general ophthalmic services are to be provided
     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 at any address which is included in relation to the contractor in the Ophthalmic List.

    (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–

Visits
     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 equipment
     6. —(1) Subject to sub paragraph (2), a contractor shall provide, as may be requisite, proper and sufficient consulting and waiting room accommodation and suitable equipment, including required equipment, for general ophthalmic services.

    (2) In the case of a mobile practice, the contractor shall provide suitable equipment, including required equipment, for 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.

Notices
     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 a notice and leaflet supplied or approved by the Board, 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.

Records
     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–

Deputies
     9. —(1) An ophthalmic medical practitioner may arrange for eye examinations to be carried out on his behalf by another ophthalmic medical practitioner, and an optician may arrange for eye examinations to be carried out on his behalf by another 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 paragraph (1) shall notify the Board of the arrangements.

Employees
     10. —(1) An ophthalmic medical practitioner who employs a person to carry out eye examinations shall employ only another ophthalmic medical practitioner on the Ophthalmic List of the Board for the area in which such eye examinations are to be carried out.

    (2) An optician who employs a person to carry out eye examinations shall employ only–

    (3) Any contractor who makes an arrangement for the regular provision of services by an employee in terms of 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.

Complaints
     11. —(1) Subject to sub paragraphs (2) and (3), a contractor shall establish and operate in accordance with this paragraph, a procedure (in this paragraph and in paragraph 12 referred to as a "complaints procedure") to deal with any complaints made by or on behalf of the patients and former patients of the contractor or an ophthalmic medical practitioner or optician who assists the contractor in the provision of general ophthalmic services.

    (2) The complaints procedure to be established by a contractor may be such that it also deals with complaints made in relation to one or more other contractors or ophthalmic medical practitioners or opticians who assist the contractor in the provision of general ophthalmic services.

    (3) The complaints procedure to be established by a contractor who provides general ophthalmic services or causes general ophthalmic services to be provided from more than one set of premises may be such that it relates to all those premises together.

    (4) A complaints procedure shall apply to complaints made in relation to any matter reasonably connected with the provision or assistance in provision of general ophthalmic services and within the responsibility or control of–

and in this paragraph and paragraph 12, references to complaints are to complaints falling within this sub paragraph.

(5) A complaint may be made on behalf of a patient or former patient with his consent, or–

(b) where the person is incapable of making a complaint, by a relative or other adult person who has an interest in his welfare.

(6) Where a patient has died, a complaint may be made by a relative or other adult person who had an interest in his welfare or, where the patient was as described in head (a)(ii) of sub paragraph (5), by the authority or voluntary organisation.

(7) A complaints procedure shall comply with the following requirements–

(c) within the period of 10 days (excluding Saturdays, Sundays, Christmas Day, New Year's Day and any other public or local holidays agreed with the Board) beginning on the day on which the complaint was received by the person specified in head (a), or where that is not possible, as soon as reasonably practicable, the complainant shall be given a written summary of the investigation and its conclusions;

(d) where the investigation of the complaint requires consideration of the patient's eye examination records, the person specified under head (a) shall inform the patient or person acting on his behalf if the investigation will involve disclosure of information contained in those records to a person other than the contractor, or a director, partner, deputy or employee of the contractor; and

(e) the contractor shall keep a record of all complaints and copies of all correspondence relating to complaints, but such records shall be kept separate from patients' eye examination records.

    (8) At each of the premises at which the contractor provides general ophthalmic services or causes general ophthalmic services to be provided the contractor shall provide information about the complaints procedure which the contractor operates and give the name (or title) and address of the person specified in sub paragraph (7)(a).

Co-operation with investigations
     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 directions given under section 2(5) of the Act, whether the investigation follows one under the contractor's complaints procedure or not.

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

Payments
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.

(2) Any such claim shall be signed–

(3) A signatory shall sign any such claim in ink with his or her initials or forename and with his or her surname in his own handwriting and not by means of a stamp.

(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–

    (5) Except as provided in the regulations, in the Statement, or in the National Health Service (Charges for Overseas Visitors) (Scotland) Regulations 1989[36], or in sub paragraph (6), 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.

    (6) A contractor shall be entitled to demand and recover from a patient or person having charge of a patient a sum in respect of loss of remunerative time resulting from a failure by that patient to keep an appointment.

    (7) A contractor shall not demand or accept or cause to be demanded or accepted from the Agency the payment of any fee or other remuneration in respect of any item of service–

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

shall carry out an eye examination.

    (2) Where an ophthalmic medical practitioner or optician is of the opinion that it is clinically necessary to carry out a sight test on a patient whose eyes he or she has examined in accordance with sub paragraph (1), he or she shall carry out a sight test.

    (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)–

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

    (5) Where an ophthalmic medical practitioner or optician undertakes an eye examination of a patient diagnosed as suffering from diabetes or glaucoma he or she shall inform the patient's doctor of the results of the test.

    (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 3521:1962 (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.

Use of disqualified name
     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 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.

SCHEDULE 2Regulation 7 and 26(1)

PART A
INFORMATION, CERTIFICATES, CONSENTS, DECLARATIONS AND UNDERTAKINGS TO BE INCLUDED IN AN APPLICATION FOR INCLUSION IN THE FIRST PART OF THE OPHTHALMIC LIST
1. An application shall contain the following information:–

(a) the applicant's full name, sex, date of birth and private address and telephone number;

(b) 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 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 premises may be reached without use of stairs;

(g) whether the premises have wheelchair access;

(h) proposed days and hours of attendance at these premises and, in the case of any mobile practice, the month in which visits 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) 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 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) 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) 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, the name and registered office of that body;

(o) if the applicant is, or has been where the outcome was adverse, the subject of any investigation by the Agency 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[

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

(r) whether the applicant is subject to a disqualification order under the Company Directors Disqualification Act 1986[38], the Companies (Northern Ireland) Order 1986[39] or to an order made under section 429(2)(b) of the Insolvency Act 1986[40] (failure to pay under county court administration order).

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

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(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–

(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).

3. An applicant must include:

4. An application shall include the following undertakings:–

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–

(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 consents to a request being made by the Board to the Agency, any employer or former employer of the applicant, 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; and

(f) that the fixed or mobile premises from which the applicant will provide general ophthalmic services contains the required equipment.

PART B
INFORMATION, CONSENTS, DECLARATIONS, CERTIFICATES AND UNDERTAKINGS TO BE INCLUDED IN AN APPLICATION FOR INCLUSION IN THE SECOND PART OF THE OPHTHALMIC LIST
1. An application shall contain the following information:–

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

3. An applicant must include with the application–

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

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 shall consent 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 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; and

(f) that the fixed or mobile premises from which the applicant will assist in the provision of general ophthalmic services contains the required equipment.

PART C
DECLARATIONS 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)–

2. A declaration that–

(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.

SCHEDULE 3Regulation 2(1)

PRIMARY EYE EXAMINATION

TABLE A
THE TESTS AND PROCEDURES SPECIFIED FOR THE PURPOSE OF THE DEFINITION OF PRIMARY EYE EXAMINATION IN REGULATION 2(1)

The taking of a detailed history and symptoms, including relevant medical, family, or ocular history

An assessment of current spectacle correction and their appropriateness to the patient's current needs by focimetry and identification of lens and frame type

A pupillary assessment including testing for Relative Afferent Pupillary Defects

The recording of unaided vision, visual acuity or pinhole vision as appropriate

An examination appropriate to the reason for referral from a medical practitioner or other carer

An eye health assessment appropriate to the patient's needs and presenting signs and symptoms

An internal eye examination, with mydriasis where appropriate, using direct ophthalmoscope and/or slit lamp biomicroscopy;

The external examination of the eyes using slit lamp biomicroscopy, and appropriate diagnostic agents

A relevant assessment of extra ocular motor function; oculo motor balance and ocular motility

The examination and checking for co-existing ocular disorders

The communication of the clinical findings, results and diagnosis to the patient, their carer (where appropriate), and other appropriate health professionals as agreed by the patient and their carer

TABLE B
THE TESTS AND PROCEDURES SPECIFIED FOR THE PURPOSE OF THE DEFINITION OF PRIMARY EYE EXAMINATION IN REGULATION 2(1)

Column 1	Column 2
Children aged under 16 years	Tests appropriate to the age of a child to determine vision, refractive state, stereopsis, extra ocular motor function (muscle balance motility) and ocular health
Adults aged 40 years and over who have a family history of Glaucoma	Intra ocular pressure measurement, visual field tests, and assessment of the optic nerve head by slit lamp biomicroscopy, should be performed on a screening basis. This will consist of Non contact tonometry, suprathreshold visual fields and slit lamp biomicroscopy
Adults aged 60 years and over	(i) Supra-threshold fields on a screening basis (ii) Amsler Test if the macula is suspect (iii) The consideration of slit lamp biomicroscopy with mydriasis
Adults aged 70 and over	The performance of slit lamp biomicroscopy with mydriasis
Patients referred from an ophthalmic hospital	Postoperative cataract examination, refraction and report
Refractive Abnormality	(i) Refraction, muscle balance, and other tests as required (ii) Spectacle dispensing advice
Patient's presenting with sudden onset ‘flashes and floaters' or sudden vision loss	Vitreous examination and fundus assessment by dilated slit lamp biomicroscopy
Patients with suspect glaucoma or ocular hypertensives	Intra ocular pressure measurement , visual field tests, and assessment of the optic nerve head by slit lamp biomicroscopy, should be performed on a screening basis. This will consist of Non contact tonometry, suprathreshold visual fields and slit lamp biomicroscopy
Patients with macular disorders	(i) Internal Eye examination must be with mydriasis, using slit lamp biomicroscopy (ii) Amsler chart test
Patients with cataract	Internal Eye examination must be with mydriasis when a clear view of the fundus cannot be obtained without mydriasis, using slit lamp biomicroscopy or head mounted indirect ophthalmoscopy
Patients with diabetes	Internal Eye examination must be with mydriasis using slit lamp biomicroscopy or head mounted indirect ophthalmoscopy
Depending on the patient's presenting signs and symptoms	(a) Standard tests such as binocular function and stereopsis, amplitude of accommodation, colour vision, confrontation fields and other appropriate tests (b) Advice regarding the dispensing of the prescription, and discussion of an appropriate dispensing solution to the current needs of the patient (c) Issue advice and instruction to patients prior to referral into a care pathway, shared care scheme or a level 2 optometric examination (d) Direct referral to an ophthalmic hospital (e) Completing a clinical report for another health care professional or referral letter if required.

SCHEDULE 4Regulation 2(1)

SUPPLEMENTARY EYE EXAMINATION

TABLE
THE TESTS AND PROCEDURES SPECIFIED FOR THE PURPOSE OF THE DEFINITION OF SUPPLEMENTARY EYE EXAMINATION IN REGULATION 2(1)

Column 1	Column 2
Following routine refraction;	Cycloplegic refraction
Paediatric follow up within six months of the previous examination include:	• A refraction; • Oculo motor balance; and • Stereopsis
Referral refinement	To include, as required: Repeat of visual field assessment by full threshold visual fields; Repeat tonometry using applanation tonometry; and Slit lamp biomicroscopy which may include mydriasis
Suspect glaucoma, unusual optic disc appearance and where abnormalities have been detected during the primary examination	To include, as required: Repeat of visual field assessment by full threshold visual fields; Repeat tonometry using applanation tonometry; and Slit lamp biomicroscopy which may include mydriasis
Diabetes, vitreo retinal disorders, tumour risk	Dilated slit lamp biomicroscopy
Minor disorders such as, corneal abrasion, foreign body	Minor disorders repeat external eye assessment using slit lamp and diagnostic agents
Children aged under 16 years on referral by an ophthalmic hospital	Cycloplegic refraction

SCHEDULE 5Regulation 2(1)

RECORDS

1. An ophthalmic medical practitioner or optician shall keep the following data in records (this data is a record of patient details, symptoms, tests performed and results thereof):–

Personal Patient Data	Name, title, address, telephone number, Date of Birth, General Practitioner's details, occupation, driver Yes/No, hobbies
Symptoms & History	Presenting signs & symptoms, past ocular history, past medical history, family ocular and patient's own medical history, medication, reason for referral to or from the ophthalmic medical practitioner or optician, Smoker Yes/No
External Examination	A record of all relevant findings
Internal Examination	A record of whether this was with or without mydriasis, the apparatus and diagnostic agents used, and a description of the ocular media, fundus, blood vessels, optic disc and macula
Pupil Assessment	Relative afferent pupillary defect, direct, consensual and near responses, pupil size and shape
Extra Ocular Motor Function	Cover test, convergence, muscle balance, motility, stereopsis, amplitude of accommodation results
Visual Fields	Record relative findings, apparatus, confrontation
Intra Ocular Pressure	Intra ocular pressure measurement, contact or non-contact
Refraction	Objective/subjective findings, unaided vision, pinhole acuity, visual acuity, back vertex distance, prescription issued, spectacle, dispensing details
Colour Vision	Record findings and test procedure
Imaging	Record reference to any electronic images taken
Supplementary Additional Procedures	Note the reason for any supplementary or additional procedures
Diagnosis / Findings	Make a record of all findings and any diagnosis
Communication	Note any advice, statements, reports or referrals issued to the patient or made on behalf of the patient.

SCHEDULE 6Regulation 26

REGULATIONS REVOKED

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