National Health Service (General Ophthalmic Services) (Amendment) (Wales) Regulations 2002

Made: 18th July 2002

Coming into force: 26th August 2002

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Citation, commencement, extent and interpretation

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Amendment of regulation 2

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Amendment of regulation 7

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Insertion of new regulations

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Amendment of regulation 8

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Insertion of new regulations

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Substitution of regulation 12A

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Amendment of Schedule 1

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Declarations of Convictions

6A

• (1) A contractor shall by 31st October 2002 supply in writing information to the Health Authority as to whether the ophthalmic medical practitioner or optician—

• (a) has any criminal convictions in the United Kingdom;

• (b) has been bound to keep the peace in the United Kingdom;

• (c) has accepted a police caution in the United Kingdom;

• (d) has been convicted elsewhere of an offence, or what would constitute a criminal offence if committed in England and Wales, or is subject to a penalty which would be the equivalent of being bound over or cautioned;

• (e) is currently the subject of any proceedings which might lead to such a conviction, which have not yet been notified to the Health Authority;

• (f) has been subject to any investigation into his or her professional conduct by any licensing, regulatory or other body anywhere in the world, where the outcome was adverse;

• (g) is currently subject to any investigation into his or her professional conduct by any licensing, regulatory or other body anywhere in the world;

• (h) is, to the knowledge of the ophthalmic medical practitioner or optician, or has been where the outcome was adverse, the subject of any investigation by the National Health Service Counter Fraud Service in relation to a fraud case;

• (i) is the subject of any investigation by another Health Authority or equivalent body, which might lead to the removal of the ophthalmic medical practitioner or optician from any of that Health Authority’s lists or equivalent lists;

• (j) is, or has been where the outcome was adverse, subject to an investigation into the professional conduct of the ophthalmic medical practitioner or optician in respect of any current or previous employment;

• (k) has been removed, contingently removed, refused admission to, or conditionally included in any list or equivalent list kept by another Health Authority or equivalent body, or is currently suspended from such a list,

and if so, give details of any investigation or proceedings which were or are to be brought, including the nature of the investigation or proceedings, where and approximately when the investigation or those proceedings took place or are to take place and any outcome.

• (2) If the contractor is, has in the preceding six months been, or was at the time of the originating events a director of a body corporate, the ophthalmic medical practitioner or optician shall in addition by 31st October 2002 supply in writing information to the Health Authority as to whether the body corporate—

• (a) has any criminal convictions in the United Kingdom;

• (b) has been convicted elsewhere of an offence, or what, if committed in the United Kingdom, would constitute a criminal offence or is subject to a penalty which would be the equivalent of being bound over or cautioned;

• (c) is currently the subject of any proceedings which might lead to such a conviction, which have not yet been notified to the Health Authority;

• (d) has been subject to any investigation into its provision of professional services by any licensing, regulatory or other body anywhere in the world, where the outcome was adverse;

• (e) is currently subject to any investigation into its provision of professional services by any licensing, regulatory or other body anywhere in the world;

• (f) is to the knowledge of the ophthalmic medical practitioner or optician, or has been where the outcome was adverse, the subject of any investigation by the National Health Service Counter Fraud Service in relation to a fraud case;

• (g) is the subject of any investigation by another Health Authority or equivalent body, which might lead to its removal from any of that Health Authority’s lists or equivalent lists;

• (h) has been removed, contingently removed, refused admission to, or conditionally included in any list or equivalent list kept by another Health Authority or equivalent body, or is currently suspended from such a list,

and if so give details of the name and registered office of the body corporate, any investigation or proceedings which were or are to be brought, the nature of the investigation or proceedings, where and approximately when the investigation or those proceedings took place or are to take place, and any outcome.

• (3) The contractor shall provide all necessary authority to enable a request to be made by the Health Authority to 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, by them into the contractor referred to in sub-paragraph (5).

• (4) Having supplied the information referred to in paragraph (1), the contractor shall inform the Health Authority within 7 days if the ophthalmic medical practitioner or optician—

• (a) is convicted of any criminal offence in the United Kingdom;

• (b) is bound over to keep the peace in the United Kingdom;

• (c) accepts a police caution in the United Kingdom;

• (d) is convicted elsewhere of an offence, or what would constitute a criminal offence if committed in England and Wales, or is subject to a penalty which would be the equivalent of being bound over or cautioned;

• (e) is charged in the United Kingdom with a criminal offence, or is charged elsewhere with an offence which, if committed in England and Wales, would constitute a criminal offence;

• (f) is notified by any licensing, regulatory or other body anywhere in the world, of the outcome of any investigation into the professional conduct of the ophthalmic medical practitioner or optician, and there is a finding against the ophthalmic medical practitioner or optician;

• (g) becomes the subject of any investigation into the professional conduct of the ophthalmic medical practitioner or optician by any licensing, regulatory or other body;

• (h) becomes subject to an investigation into the professional conduct of the ophthalmic medical practitioner or optician in respect of any current or previous employment, or is notified of the outcome of any such investigation and any finding against the ophthalmic medical practitioner or optician;

• (i) becomes the subject of any investigation by the National Health Service Counter Fraud Service in relation to a fraud case;

• (j) becomes the subject of any investigation by another Health Authority or equivalent body, which might lead to the removal of the ophthalmic medical practitioner or optician from any of that Health Authority’s lists or equivalent lists;

• (k) is removed, contingently removed, suspended, refused admission to, or conditionally included in any list or equivalent list kept by another Health Authority or equivalent body,

and if so, give details of any investigation or proceedings which were or are to be brought, including the nature of the investigation or proceedings, where and approximately when that investigation or those proceedings took place or are to take place, and any outcome.

• (5) Having supplied the information referred to in paragraph (2), the contractor shall inform the Health Authority within 7 days if the body corporate of which the ophthalmic medical practitioner or optician is, or was in the preceding six months or was at the time of the originating events a director—

• (a) is convicted of any criminal offence in the United Kingdom;

• (b) has been convicted elsewhere of an offence, or what would constitute a criminal offence if committed in England and Wales, or is subject to a penalty which would be the equivalent of being bound over or cautioned;

• (c) is charged in the United Kingdom with a criminal offence, or is charged elsewhere with an offence which, if committed in England and Wales, would constitute a criminal offence;

• (d) is notified 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 the body corporate;

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

• (f) becomes the subject of any investigation by the National Health Service Counter Fraud Service in relation to a fraud case or is notified of the outcome of such an investigation where it is adverse;

• (g) becomes the subject of any investigation by another Health Authority or equivalent body, which might lead to its removal from any of that Health Authority’s lists or equivalent lists;

• (h) is removed, contingently removed, suspended, refused admission to, or conditionally included in any list or equivalent list kept by another Health Authority or equivalent body,

and if so, give the name and registered office of the body corporate and details, of any investigation or proceedings which were or are to be brought, including the nature of the investigation or proceedings, where and approximately when the investigation or proceedings took place or are to take place, and any outcome.

• (6) Where paragraphs (4) or (5) apply, the ophthalmic medical practitioner or optician shall provide all necessary authority to enable a request to be made by the Health Authority to 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, by them into the ophthalmic medical practitioner or optician or a body corporate referred to in sub-paragraph (5).

Applications to other lists

6B

An ophthalmic medical practitioner or optician shall inform the Health Authority—

• (a) if the ophthalmic medical practitioner or optician, or a body corporate of which the ophthalmic medical practitioner or optician is a director, applies to be included in any list held by another Health Authority or equivalent body, and of the outcome of any such application; and

• (b) if the ophthalmic medical practitioner or optician becomes a director of a body corporate that is included in any list held by a Health Authority, or applies to be included in such a list, and the outcome of any such application.”.

Insertion of Schedule 1A

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Savings

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SCHEDULE — Substitution of references to Health Authority

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Signed

Signed on behalf of the National Assembly for Wales under section 66(1) of the Government of Wales Act 1998[^f00014]

John Marek — The Deputy Presiding Officer of the National Assembly — 18th July 2002

Explanatory note

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Footnotes

[^f00001]: 1977 c. 49; see section 128(1) as amended by the National Health Service and Community Care Act 1990 (c. 19), section 26(2)(g) and (i), for the definitions of “prescribed” and “regulations”. Section 38 was amended by the Health Services Act 1980 (c. 53) (“the Health Services Act”), section 1 and Schedule 1, paragraph 51; by the Health and Social Security Act 1984 (c. 48) (“the Health and Social Security Act”), section 1(3); by S.I. 1985/39, article 7(11); by the Health and Medicines Act 1988 (c. 49) (“the Health and Medicines Act”), section 13(1); and by the Health Authorities Act 1995 (c. 17) (“the Health Authorities Act”), Schedule 1, paragraph 27. Section 39 was extended by the Health and Medicines Act, section 17; and amended by the Health Services Act, section 1 and Schedule 1, paragraph 52; by the Health and Social Security Act, section 1(4), Schedule 1, Part I, paragraph 1 and Schedule 8, Part I; by S.I. 1985/39, article 7(12); by the Health Authorities Act, Schedule 1, paragraph 28; by the Health Act 1999 (c. 8), section 9(4) and the Health and Social Care Act 2001 (c. 15), (“the 2001 Act”) section 20(5) and 23(4). As regards Wales, the functions of the Secretary of State under sections 38, 39 and 126(4) of the 1977 Act are transferred to the National Assembly for Wales under article 2 of, and Schedule 1 to, the National Assembly for Wales (Transfer of Functions) Order 1999, S.I. 1999/672; section 68 of the 2001 Act provides that Schedule 1 shall be construed so as to include the amendments made by that Act to the 1977 Act, which are sections 43ZA and 49F to 49R; those Regulations therefore extend only to Wales.

[^f00002]: 2001 c. 15.

[^f00003]: S.I. 1986/975; relevant amending Regulations are 1988/486, 1989/395, 1990/1051, 1991/583, 1992/404, 1995/558, 1996/705, 1996/2320, 1999/2562, 1999/2841 and 2001/414.

[^f00004]: S.I. 2002/1920

[^f00005]: Section 49S was inserted by the Health and Social Care Act 2001 (c. 15), section 27(1).

[^f00006]: The National Health Service Counter Fraud Service may be contacted by writing to them at Hannibal House, Elephant and Castle, London SE1 6TE, or e-mailing them on DCFS@doh.gov.UK.

[^f00007]: 1997 c. 46.

[^f00008]: Section 46 was substituted by the Health Act 1999 c. 8.

[^f00009]: 1997 c. 51.

[^f00010]: 1984 c. 22.

[^f00011]: 1952 c. 52.

[^f00012]: 1997 c. 51.

[^f00013]: The National Clinical Assessment Authority is a Special Health Authority established under section 11 of the Act by S.I. 2000/2961.

[^f00014]: 1998 c. 38.

[^f00015]: Regulation 6 was amended by S.I. 1996/705.

[^f00016]: Regulation 7 was amended by S.I. 1996/705.

[^f00017]: Regulation 9 was amended by S.I. 1996/705.

[^f00018]: Regulation 12 was amended by S.I. 1989/395 and 1996/705.

[^f00019]: Regulation 13A was inserted by S.I. 1989/395.

[^f00020]: Regulation 13B was inserted by S.I. 1989/395.

[^f00021]: Paragraph 4 was amended by S.I. 1988/486.

[^f00022]: Paragraph 6 was amended by S.I. 1988/486.

[^f00023]: Paragraph 7 was amended by S.I. 1988/486 and 1996/705.