The General Ophthalmic Services Contracts Regulations 2008

• (6) Where a contractor gives notice to the PCT pursuant to sub-paragraph (2) or (4)(b), the PCT may vary the contract, but only to the extent that it is satisfied is necessary to reflect the change in status of the contractor from a partnership to an individual.

• (7) If the PCT varies the contract pursuant to sub-paragraph (6), it shall notify the contractor of the wording of the proposed variation and the date upon which that variation is to take effect.

Variation provisions specific to a contract with two or more individuals practising in partnership increasing the number of partners

36

• (1) Where a contractor has given notice under paragraph 18(1) that a new partner or partners has joined or proposes to join the partnership, if the PCT is satisfied as to the accuracy of the matters specified in paragraph 18(2) that are included in the notice and of the suitability of that person or persons, the PCT shall give notice to the contractor confirming that the contract shall continue with the partnership entered into by the contractor and its partners, from a date that the PCT specifies in that notice.

• (2) Where it is reasonably practicable, the date specified by the PCT pursuant to sub-paragraph (1) shall be the date requested in the notice served by the contractor pursuant to paragraph 18 or, where that date is not reasonably practicable, the date specified shall be a date after the requested date that is as close to the requested date as is reasonably practicable.

• (3) Where a contractor has given notice to the PCT pursuant to sub-paragraph (1), the PCT—

• (a) may vary the contract, but only to the extent that it is satisfied is necessary to reflect the change in the partners; and

• (b) if it does propose to so vary the contract, it shall include in the notice served on the contractor pursuant to sub-paragraph (1) the wording of the proposed variation and the date upon which that variation is to take effect.

Termination by agreement

37

The PCT and the contractor may agree in writing to terminate the contract, and if the parties so agree, they shall agree the date upon which that termination should take effect and any further terms upon which the contract should be terminated.

Termination on the death of an individual contractor

38

• (1) Where the contract is with an individual who dies, the contract shall terminate at the end of the period of 7 days after the date of death unless, before the end of that period—

• (a) subject to sub-paragraph (2), the PCT has agreed in writing with the contractor’s personal representatives that the contract should continue for a further period, not exceeding 3 months, after the end of the period of 7 days; and

• (b) the contractor’s personal representatives have notified the PCT that they are employing one or more ophthalmic practitioners to perform ophthalmic services under the contract throughout the period for which it continues.

• (2) Where the PCT is of the opinion that another contractor may wish to enter into a contract in respect of the services which were provided by the deceased, the 3 month period referred to in sub-paragraph (1)(a) may be extended by a period not exceeding 6 months as may be agreed.

• (3) Sub-paragraph (1) does not affect any other rights to terminate the agreement which the PCT may have under this Part of this Schedule.

Termination by the contractor

39

• (1) A contractor may terminate the contract by serving notice on the PCT at any time.

• (2) Where a contractor serves notice pursuant to sub-paragraph (1), the contract shall terminate on a date 3 months after the date on which the notice is served (“the termination date”), save that if the termination date is not the last calendar day of a month, the contract shall instead terminate on the last calendar day of the month in which the termination date falls.

• (3) This paragraph and paragraph 40 are without prejudice to any other rights to terminate the contract that the contractor may have.

Late payment notices

40

• (1) The contractor may notify (a “late payment notice”) the PCT if the PCT has failed to make any payments due to the contractor in accordance with a term of the contract that has the effect specified in regulation 15 (finance), and the contractor shall specify in the late payment notice the payments that the PCT has failed to make in accordance with that regulation.

• (2) Subject to sub-paragraph (3), the contractor may, at least 28 days after having served a late payment notice, terminate the contract by a further notice if the PCT has still failed to make the payments that were due to the contractor and that were specified in the late payment notice served on the PCT pursuant to sub-paragraph (1).

• (3) If, following receipt of a late payment notice, the PCT refers the matter to the NHS dispute resolution procedure within 28 days of the date upon which it is served with the late payment notice, and it notifies the contractor in writing that it has done so within that period of time, the contractor may not terminate the contract pursuant to sub-paragraph (2) until—

• (a) there has been a determination of the dispute pursuant to paragraph 30 and that determination permits the contractor to terminate the contract; or

• (b) the PCT ceases to pursue the NHS dispute resolution procedure,

whichever is the sooner.

Termination by the PCT: general

41

The PCT may only terminate the contract in accordance with the provisions in paragraphs 17(3) or 18(3) or this Part of this Schedule.

Termination by the PCT: contractor’s inability to perform services

42

• (1) Where a contractor is an individual who is an ophthalmic practitioner and ceases to be able to perform as an ophthalmic practitioner by virtue of a suspension specified in sub-paragraph (2), the PCT shall serve notice on the contractor terminating the contract forthwith unless—

• (a) the contractor is able to satisfy the PCT that it has in place adequate arrangements for the provision of ophthalmic services under the contract for so long as the suspension continues; and

• (b) the PCT is satisfied that the circumstances of the suspension are such that if the contract is not terminated forthwith—

• (i) the safety of the contractor’s patients is not at serious risk; and

• (ii) the PCT is not at risk of material financial loss.

• (2) The suspensions referred to in sub-paragraph (1) are—

• (a) suspension of the ophthalmic practitioner by his licensing body; or

• (b) suspension of the ophthalmic practitioner from an ophthalmic performers list.

Termination by the PCT for the provision of untrue etc. information

43

The PCT may serve notice on the contractor terminating the contract forthwith, or from such date as may be specified in the notice if, after the contract has been entered into, it comes to the attention of the PCT that written information—

• (a) provided to the PCT by the contractor before the contract was entered into;

• (b) provided to the PCT by the contractor pursuant to paragraph 17(2), 18(2) or 19(2); or

• (c) which should have been notified under paragraphs 16 to 18,

in relation to the conditions set out in regulation 4, the information as to suitability in Schedule 3 and compliance with those conditions or that information was, when given, untrue or inaccurate in a material respect or, in a case to which sub-paragraph (c) applies, the information that was not notified was material.

Termination by the PCT on grounds of suitability etc.

44

• (1) The PCT shall serve notice on the contractor terminating the contract forthwith, or from such date as may be specified in the notice, if, in the case of a contract with—

• (a) an individual, that individual;

• (b) two or more individuals practising in partnership, any individual or the partnership; or

• (c) a corporate body—

• (i) that body; or

• (ii) any director, chief executive or secretary of that body,

falls within sub-paragraph (2) during the existence of the contract.

• (2) A person falls within this sub-paragraph if—

• (a) it is the subject of a national disqualification or a contract disqualification order;

• (b) subject to sub-paragraph (3), it is disqualified or suspended (other than by an interim suspension order or direction pending an investigation or a suspension on the grounds of ill-health) from practising by any licensing body anywhere in the world;

• (c) subject to sub-paragraph (4), he has been dismissed (otherwise than by reason of redundancy) from any employment by a health service body unless, before the PCT has served a notice terminating the contract pursuant to this paragraph, he is employed by the health service body that dismissed him or by another health service body;

• (d) it is removed from, or refused admission to, a primary care list by reason of inefficiency, fraud or unsuitability (within the meaning of section 151(2), (3) and (4) respectively) unless its name has subsequently been included in such a list;

• (e) he has been convicted in the United Kingdom of—

• (i) murder; or

• (ii) a criminal offence other than murder and has been sentenced to a term of imprisonment of over 6 months;

• (f) subject to sub-paragraph (5), he has been convicted outside the United Kingdom of an offence, which would if committed in England and Wales constitute—

• (i) murder; or

• (ii) a criminal offence other than murder, and been sentenced to a term of imprisonment of over 6 months;

• (g) he has been convicted of an offence referred to in Schedule 1 to the Children and Young Persons Act 1933 (offences against children and young persons with respect to which special provisions apply) or Schedule 1 to the Criminal Procedure (Scotland) Act 1995 (offences against children under the age of 17 years to which special provisions apply);

• (h) it has—

• (i) been adjudged bankrupt or had sequestration of his estate awarded unless (in either case) he has been discharged or the bankruptcy order has been annulled;

• (ii) been made the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 4A to the Insolvency Act 1986, unless that order has ceased to have effect or has been annulled;

• (iii) made a composition or arrangement with, or granted a trust deed for, its creditors unless it has been discharged in respect of it; or

• (iv) been wound up under Part IV of the Insolvency Act 1986;

• (i) there is—

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

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

• (j) that person is a partnership and—

• (i) a dissolution of the partnership is ordered by any competent court, tribunal or arbitrator; or

• (ii) an event happens that makes it unlawful for the business of the partnership to continue, or for members of the partnership to carry on in partnership;

• (k) he has been—

• (i) removed from the office of charity trustee or trustee for a charity by an order made by the Charity Commissioners or the High Court on the grounds of any misconduct or mismanagement in the administration of the charity for which he was responsible or to which he was privy, or which he by his conduct contributed to or facilitated; or

• (ii) removed under section 7 of the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990 (powers of the Court of Session to deal with management of charities), from being concerned in the management or control of any body;

• (l) he 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); or

• (m) he has refused to comply with a request by the PCT for him to be medically examined on the grounds that it is concerned that he is incapable of adequately providing services under the contract and, in a case where the contract is with two or more individuals practising in partnership or with a corporate body, the PCT is not satisfied that the contractor is taking adequate steps to deal with the matter.

• (3) A PCT shall not terminate the contract pursuant to sub-paragraph (2)(b) where the PCT is satisfied that the disqualification or suspension imposed by a licensing body outside the United Kingdom does not make the person unsuitable to be, as the case may be—

• (a) a contractor;

• (b) in the case of a contract with two or more individuals practising in partnership, a partner; or

• (c) in the case of a contract with a corporate body, a director, chief executive or secretary of that body.

• (4) A PCT shall not terminate the contract pursuant to sub-paragraph (2)(c)—

• (a) until a period of at least 3 months has elapsed since the date of the dismissal of the person concerned; or

• (b) if during the period of time specified in paragraph (a), the person concerned brings proceedings in any competent tribunal or court in respect of his dismissal, until proceedings before that tribunal or court are concluded,

and the PCT may only terminate the contract at the end of the period specified in sub-paragraph (b) if there is no finding of unfair dismissal at the end of those proceedings.

• (5) A PCT shall not terminate the contract pursuant to sub-paragraph (2)(f) where the PCT is satisfied that the conviction does not make the person unsuitable to be, as the case may be—

• (a) a contractor;

• (b) in the case of a contract with two or more individuals practising in partnership, a partner; or

• (c) in the case of a contract with a corporate body, a director, chief executive or secretary of that body.

Immediate Termination by the PCT

45

The PCT may serve notice on the contractor terminating the contract forthwith, or with effect from such date as may be specified in the notice, if—

• (a) the contractor has breached the contract and, as a result of that breach, the safety of the contractor’s patients is at risk if the contract is not terminated;

• (b) the contractor’s financial situation is such that the PCT considers that the PCT is at risk of material financial loss; or

• (c) the contractor has breached the contract and, in the judgment of the PCT, that breach is so significant that it is inappropriate that the contract should continue.

Termination by the PCT: remedial notices and breach notices

46

• (1) Where a contractor has breached the contract other than as specified in paragraphs 42 to 45 and the breach is capable of remedy, the PCT shall, before taking any action it is otherwise entitled to take by virtue of the contract, serve a notice on the contractor requiring it to remedy the breach (“remedial notice”).

• (2) A remedial notice shall specify—

• (a) details of the breach;

• (b) the steps the contractor must take in order to remedy the breach to the satisfaction of the PCT; and

• (c) the period during which the steps must be taken (“the notice period”).

• (3) The notice period shall, unless the PCT is satisfied that a shorter period is necessary to—

• (a) protect the safety of the contractor’s patients; or

• (b) protect itself from material financial loss,

be no less than 28 days from the date that notice is given.

• (4) Where a PCT is satisfied that the contractor has not taken the required steps to remedy the breach by the end of the notice period, the PCT may terminate the contract with effect from such date as the PCT may specify in a further notice to the contractor.

• (5) Where a contractor has breached the contract other than as specified in paragraphs 42 to 45 and the breach is not capable of remedy, the PCT may serve notice on the contractor requiring the contractor not to repeat the breach (“breach notice”).

• (6) If, following a breach notice or a remedial notice, the contractor—

• (a) repeats the breach that was the subject of the breach notice or the remedial notice; or

• (b) otherwise breaches the contract resulting in either a remedial notice or a breach notice,

the PCT may serve notice on the contractor terminating the contract with effect from such date as may be specified in that notice.

• (7) The PCT shall not exercise its right to terminate the contract under sub-paragraph (6) unless it is satisfied that the cumulative effect of the breaches is such that the PCT considers that to allow the contract to continue would be prejudicial to the efficiency of the services to be provided under the contract.

• (8) If the contractor is in breach of any obligation and a breach notice or a remedial notice in respect of that breach has been given to the contractor, the PCT may withhold or deduct monies which would otherwise be payable under the contract in respect of that obligation which is subject of the breach.

Termination by the PCT: additional provisions

47

• (1) If the PCT becomes aware that the contractor is carrying on any business which the PCT considers to be detrimental to the contractor’s performance of its obligations under the contract—

• (a) the PCT shall be entitled to give notice to the contractor requiring that it ceases carrying on that business before the end of a period of not less than 28 days beginning on the day on which the notice is given (“the notice period”); and

• (b) if the contractor has not satisfied the PCT that it has ceased carrying on that business by the end of the notice period, the PCT may, by a further notice, terminate the contract forthwith or from such date as may be specified in the notice.

• (2) Where the contractor is—

• (a) an individual, who is a registered optometrist;

• (b) a partnership and one of the partners is a registered optometrist; or

• (c) a corporate body and it or a director, chief executive or the secretary of that body is a registered optometrist,

who is the subject of a direction pursuant to section 13F of the Opticians Act (powers of the fitness to practice committee)³², or an order pursuant to section 13H (financial penalty order) of that Act, the PCT may, by notice, terminate the contract if it considers that as a consequence the contractortheis no longer suitable to be a contractor.

• (3) Where the contractor is two or more persons practising in partnership, the PCT shall be entitled to terminate the contract by notice on such date as may be specified in that notice where one or more partners have left the practice during the existence of the contract if, in its reasonable opinion, the PCT considers that the change in membership of the partnership is likely to have a serious adverse impact on the ability of the contractor or the PCT to perform its obligations under the contract.

• (4) A notice given to the contractor pursuant to sub-paragraph (3) shall specify—

• (a) the date upon which the contract is to be terminated; and

• (b) the PCT’s reasons for considering that the change in the membership of the partnership is likely to have the serious adverse impact specified in sub-paragraph (3).

Contract sanctions

48

• (1) In this paragraph and paragraph 49, “contract sanction” means—

• (a) termination of specified reciprocal obligations under the contract;

• (b) suspension of specified reciprocal obligations under the contract for a period of up to 6 months; or

• (c) withholding or deducting monies otherwise payable under the contract.

• (2) Where the PCT is entitled to terminate the contract pursuant to this Part of this Schedule, it may instead impose any of the contract sanctions if it is reasonably satisfied that the contract sanction to be imposed is appropriate and proportionate to the circumstances giving rise to its entitlement to terminate the contract.

• (3) If the PCT decides to impose a contract sanction, it must notify the contractor of the contract sanction that it proposes to impose, the date upon which that sanction will be imposed and provide in that notice an explanation of the effect of the imposition of that sanction.

• (4) Subject to paragraph 49, the PCT shall not impose the contract sanction until at least 28 days after it has served notice on the contractor pursuant to sub-paragraph (3), unless the PCT is satisfied that it is necessary to do so in order to—

• (a) protect the safety of the contractor’s patients; or

• (b) protect itself from material financial loss.

• (5) Where the PCT imposes a contract sanction, the PCT shall be entitled to charge the contractor the reasonable costs of additional administration that the PCT has incurred in order to impose, or as a result of imposing, the contract sanction.

Contract sanctions and the NHS dispute resolution procedure

49

• (1) If there is a dispute between the PCT and the contractor in relation to a contract sanction that the PCT is proposing to impose, subject to sub-paragraph (4), the PCT shall not impose the proposed contract sanction, except in the circumstances specified in sub-paragraph (2) or (3).

• (2) If the contractor refers the dispute relating to the contract sanction to the NHS dispute resolution procedure within 28 days beginning on the date on which the PCT served notice on the contractor in accordance with paragraph 30(3) (or such longer period as may be agreed in writing with the PCT), and notifies the PCT that it has done so, the PCT shall not impose the contract sanction unless—

• (a) there has been a determination of the dispute pursuant to paragraph 33 and that determination permits the PCT to impose the contract sanction; or

• (b) the contractor ceases to pursue the NHS dispute resolution procedure,

whichever is the sooner.

• (3) If the contractor does not invoke the NHS dispute resolution procedure within the time specified in sub-paragraph (2), the PCT shall be entitled to impose the contract sanction forthwith.

• (4) If the PCT is satisfied that it is necessary to impose the contract sanction before the NHS dispute resolution procedure is concluded in order to—

• (a) protect the safety of the contractor’s patients; or

• (b) protect itself from material financial loss,

the PCT shall be entitled to impose the contract sanction forthwith, pending the outcome of that procedure.

Termination and the NHS dispute resolution procedure

50

• (1) Where the PCT is entitled to serve notice on the contractor terminating the contract pursuant to any provision of this Schedule, the PCT shall, in the notice served on the contractor pursuant to those provisions, specify a date on which the contract terminates, that is not less than 28 days after the date on which the PCT has served that notice on the contractor, unless sub-paragraph (2) applies.

• (2) This sub-paragraph applies if the PCT is satisfied that a period less than 28 days is necessary in order to—

• (a) protect the safety of the contractor’s patients;

• (b) protect itself from material financial loss; or

• (c) otherwise protect the interest of the public.

• (3) In a case falling with sub-paragraph (1), where the exceptions in sub-paragraph (2) do not apply, where the contractor invokes the NHS dispute resolution procedure before the end of the period of notice referred to in sub-paragraph (1), and it notifies the PCT that it has done so, the contract shall not terminate at the end of the notice period, but instead shall only terminate in the circumstances specified in sub-paragraph (4).

• (4) The contract shall only terminate if and when—

• (a) there has been a determination of the dispute pursuant to paragraph 31 and that determination permits the PCT to terminate the contact; or

• (b) the contractor ceases to pursue the NHS dispute resolution procedure,

whichever is the sooner.

• (5) If the PCT is satisfied that it is necessary to terminate the contract before the NHS dispute resolution procedure is concluded in order to—

• (a) protect the safety of the contractor’s patients; or

• (b) protect itself from material financial loss,

sub-paragraphs (3) and (4) shall not apply and the PCT shall be entitled to confirm, by notice to be served on the contractor, that the contract will nevertheless terminate at the end of the period of the notice the PCT served pursuant to the provisions of this Part of this Schedule.

PART 8 — Miscellaneous

Insurance: negligent performance and public liability

51

• (1) The contractor shall at all times hold adequate—

• (a) insurance against liability arising from negligent performance of clinical services under the contract; and

• (b) public liability insurance in relation to liabilities to third parties arising under or in connection with the contract which are not covered by the insurance referred to in (a).

• (2) In this paragraph—

• (a) “insurance” means a contract of insurance or other arrangement made for the purpose of indemnifying the contractor; and

• (b) a contractor shall be regarded as holding insurance in relation to any of its employees if it is held by that employee in connection with clinical services which that employee provides under the contract.

Gifts

52

• (1) The contractor shall keep a register of gifts which are given to any of the persons specified in sub-paragraph (2) by or on behalf of—

• (a) a patient;

• (b) a relative of a patient; or

• (c) any person who provides or wishes to provide services to the contractor or its patients in connection with the contract,

and have, in its reasonable opinion, an individual value of more than £100.00.

• (2) The persons referred to in sub-paragraph (1) are—

• (a) the contractor;

• (b) where the contract is with two or more individuals practising in partnership, any partner;

• (c) where the contract is with a corporate body, a director, chief executive or secretary of that body;

• (d) any person employed by the contractor for the purposes of the contract;

• (e) any ophthalmic practitioner engaged by the contractor for the purposes of the contract;

• (f) any spouse or civil partner of a contractor (where the contractor is an individual) or of a person specified in paragraphs (b) to (e); or

• (g) any person whose relationship with the contractor (where the contractor is an individual) or with a person specified in paragraphs (b) to (e) has the characteristics of the relationship between husband and wife or civil partners.

• (3) Sub-paragraph (1) does not require a gift to be registered where—

• (a) there are reasonable grounds for believing that the gift is unconnected with services provided or to be provided by the contractor;

• (b) the contractor is not aware of the gift; or

• (c) in a case falling within sub-paragraph (1)(c), the contractor is not aware that the donor wishes to provide services to the contractor.

• (4) The contractor shall take reasonable steps to ensure that it is informed of gifts which fall within sub-paragraph (1) and which are given to any of the persons specified in sub-paragraph (2)(b) to (2)(g).

• (5) The register referred to in sub-paragraph (1) shall include the following information—

• (a) the name of the donor;

• (b) in a case where the donor is a patient, the patient’s National Health Service number or, if the number is not known, his address;

• (c) in any other case, the address of the donor;

• (d) the nature of the gift;

• (e) the estimated value of the gift; and

• (f) the name of the person or persons who received the gift.

• (6) The contractor shall make the register available to the PCT on request.

Compliance with legislation and guidance

53

The contractor shall—

• (a) comply with all relevant legislation; and

• (b) have regard to all relevant guidance issued by the PCT, the relevant Strategic Health Authority or the Secretary of State.

Third party rights

54

The contract shall not create any right enforceable by any person not a party to it.

Signing of documents

55

• (1) In addition to any other requirement that may relate to the signing of documents whether in these Regulations or otherwise, the contractor shall ensure such documents include—

• (a) the name of anyone who signed the documents;

• (b) if he is a member of a clinical profession, that fact, identifying the profession; and

• (c) the name of the contractor on whose behalf it is signed.

• (2) The reference to documents in sub-paragraph (1) include—

• (a) forms that are required to be completed as a consequence of these Regulations, where such forms require a signature;

• (b) any clinical document.

SCHEDULE 2 — ADDITIONAL SERVICES

Contents of the contract and interpretation

1

A contract shall contain all the terms required under Schedule 1, except—

• (a) that any reference to “mandatory services” in Schedule 1 shall be replaced by “additional services”, and

• (b) in so far as any such term is added to, removed or varied by the provisions of this Schedule, in which case the contract shall contain the term as so added, removed or varied,

and in this Schedule any reference to a contract is to a contract for the provision of additional services and any reference to a contractor is to a person who has contracted to provide such services.

Recording of details

2

In addition to complying with the requirements of paragraph 1 of Schedule 1, the contractor shall record on the sight test form the reason given by the patient, or on his behalf, for—

• (a) not being able to leave home unaccompanied; or

• (b) if the reason the patient is entitled to the provision of mobile services is other than that in (a), that reason.

Provision of information

3

The contractor shall—

• (a) compile a document (in this paragraph and in Schedule 4 called “patient information leaflet”) which shall include the information specified in Schedule 4;

• (b) review its patient information leaflet at least once in every period of 12 months and make any amendments necessary to maintain its accuracy; and

• (c) make available a copy of the leaflet, and any subsequent updates, to its patients and prospective patients.

Inspection of premises where additional services are being provided

4

In the application of paragraphs 19 and 21 of Schedule 1 to a contract, any reference to “practise premises” shall be varied to apply to the place where the additional services are being provided.

Facilities and equipment

5

• (1) A contractor shall provide such facilities and equipment as are necessary to enable it to properly perform mobile services, and in addition to the right to inspect under paragraph 4, a contractor shall allow an authorised officer of the PCT to inspect the facilities and equipment that it uses either—

• (a) during an inspection under paragraph 4; or

• (b) subject to the conditions in sub-paragraph (2), at any reasonable time.

• (2) The conditions referred to in sub-paragraph (1)(b) are that—

• (a) reasonable notice of the intended inspection has been given;

• (b) written evidence of the authority of the person seeking entry is produced to the contractor on request; and

• (c) entry is not made to any premises or part of the premises used as residential accommodation without the consent of the resident.

Notice of provision of additional services

6

• (1) A contractor may provide additional services only in accordance with sub-paragraph (2), after giving notice in accordance with sub-paragraph (3).

• (2) The contractor may only provide additional services if—

• (a) an eligible person has requested the contractor to provide those services to him, or, where the eligible person is incapable of making such a request, a relative of his, a primary carer of that eligible person or a duly authorised person has made such a request; and

• (b) subject to sub-paragraphs (5), (6) and (7), it has notified the PCT in accordance with sub-paragraphs (3) and, if applicable, (4) and the PCT has not informed the contractor that it is not content with the changes notified under sub-paragraph (4).

• (3) The contractor shall notify the PCT of its intention to provide additional services—

• (a) where they are to be provided to 3 or more eligible persons at a day centre or residential centre, at least 3 weeks and not more than 8 weeks in advance of that provision; or

• (b) in any other case, not more than 8 weeks, but not less then 48 hours (except that no part of a Saturday, Sunday or bank holiday shall count towards that period of 48 hours) before that provision,

identifying the persons to whom the services are to be provided and specifying the date and approximate time when it will provide them.

• (4) If the contractor wishes to change any of the matters of which it has notified the PCT under sub-paragraph (3), it must so notify the PCT at least 48 hours (except that no part of a Saturday, Sunday or bank holiday shall count towards that period) before—

• (a) if it wishes to provide additional services to further or different persons, that provision;

• (b) if it wishes to change the date or time of the provision of those services, both—

• (i) the previously notified date of that provision, and

• (ii) if the notification is to change the date, the date so notified.

• (5) If the contractor is unable to attend the place at which it has notified the PCT that it would be attending, it may instead, on that day and at that approximate time, provide additional services at another location, provided that the PCT notifies the contractor that the PCT agrees to that.

• (6) In a case to which paragraph (5) applies the contractor may attend and provide additional services at the originally notified place at such time as the PCT shall agree.

• (7) In a case where circumstances have arisen whereby it was not possible to notify in accordance with sub-paragraph (4)(a), the contractor may provide additional services to up to 3 other eligible persons at the previously notified time and place.

Improper inducements and advice

7

The contractor shall not—

• (a) offer any inducement (except any discount or special offer available to patients) to use the additional services provided by the contractor and in particular no such inducement shall be offered by it, directly or indirectly, to the proprietor, manager or staff of a residential home or day centre to secure that the contractor is asked or permitted to provide additional services at that home or centre; or

• (b) seek to mislead any person about the availability, quality and extent of additional services under the contract.

SCHEDULE 3 — APPLICATIONS FOR A CONTRACT

1

Subject to paragraph 9, any applicant for a contract shall complete and send to the PCT an application in accordance with the following provisions of this Schedule, in such form as the PCT may require.

2

That application form shall include—

• (a) where the applicant is an individual, the information required in paragraphs 3 to 5 and 7 and 8;

• (b) where the applicant is a partnership, the information required in paragraph 7 and, in relation to each partner, the information required in paragraphs 3 to 5 and 8; and

• (c) where the applicant is a corporate body—

• (i) the information required in paragraphs 5 to 8, and

• (ii) in relation to any director, chief executive or secretary of that corporate body, the information required in paragraphs 3 to 5 and 8.

3

His sex, date of birth and private address.

4

Where it is applicable in relation to him—

• (a) his qualifications and where they were obtained;

• (b) if he is a healthcare professional, which profession, the licensing body which regulates it, his professional registration number and date of first registration in which the register maintained by that licensing body; and

• (c) if he is included in a primary care list, which list and the name and address of that PCT.

5

Information on whether it—

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

• (b) has been bound over following a criminal conviction in the United Kingdom;

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

• (d) has accepted a conditional offer under section 302 of the Criminal Procedure (Scotland) Act 1995³³ (fixed penalty: conditional offer by procurator fiscal) or agreed to pay a penalty under section 115A of the Social Security Administration Act 1992³⁴ (penalty as alternative to prosecution);

• (e) has, in summary proceedings in Scotland in respect of an offence, been the subject of an order discharging him absolutely (without proceeding to conviction);

• (f) has been convicted elsewhere of an offence, or what would constitute a criminal offence if committed in England and Wales;

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

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

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

• (j) has been subject to an investigation into his professional or business conduct in respect of any current or previous employment or business where the outcome was adverse;

• (k) is currently subject to an investigation into his professional conduct in respect of any current or previous employment;

• (l) to its knowledge is the subject of any investigation by the NHS Business Services Authority³⁵ in relation to fraud, or has been notified of the outcome of such an investigation, where it is adverse;

• (m) is the subject of any investigation by another PCT, which might lead to his removal from any primary care list or the termination of any contract with that PCT;

• (n) has been removed, contingently removed or suspended from, refused admission to or conditionally included in any primary care list,

and if so, give details, including approximate dates, of where the investigation or proceedings were or are to be brought, the nature of that investigation or proceedings, and any outcome, with an explanation as to why and details of the PCT or equivalent body concerned.

6

Details of its registration as a company, the address of its registered office, and, if different, its principal place of business, with in either case, the relevant telephone number.

7

Details of—

• (a) the premises, equipment and record keeping arrangements; and

• (b) the staff,

it has or will have available by the date the contract is to be commenced, to provide or in relation to the services under the proposed contract;

8

Any other information the PCT may reasonably require.

9

In the case of an applicant who, at the time of its application was included in the ophthalmic list of the PCT, that applicant need only notify the PCT that it wishes to enter into a contract and supply such of the information specified in this Schedule as—

• (a) it has not already provided to the PCT; or

• (b) has changed since it provided it.

SCHEDULE 4 — PATIENT INFORMATION LEAFLET

A patient information leaflet shall include—

1 The name of the contractor.

2 In the case of a contract with a partnership— a whether or not it is a limited partnership; and b the names of all the partners and, in the case of a limited partnership, their status as a general or limited partner.

3 In the case of a contract with a corporate body— a the names of the directors, chief executive and secretary of that body, in so far as those positions exist in relation to it; and b the address of its registered office.

4 The contractor’s telephone number, any fax number or e-mail address and the address of its website (if any).

5 How to request services as a patient.

6 The services available under the contract.

7 How patients may make a complaint or comment on the provision of service.

8 The rights and responsibilities of the patient, including keeping appointments.

9 Details of who has access to patient information (including information from which the identity of the individual can be ascertained) and the patient’s rights in relation to disclosure of such information.

10 A statement that the contractor is a party to a contract with the relevant PCT to provide additional services and that the contractor will provide, on request, the name, postal, e-mail and website address and telephone number of that PCT, from which details of primary ophthalmic services in the area may be obtained.

Signed

Signed by authority of the Secretary of State for Health.

Ann Keen — Parliamentary Under-Secretary of State, — Department of Health — 28th April 2008

Explanatory note

(This note is not part of the Regulations)

EXPLANATORY NOTE

These Regulations set out, for England, the framework for general ophthalmic services contracts under section 117 of the National Health Service Act 2006 (“the Act”) and are made under the provisions of sections 28WA, 28WB, 28WC, 28WE and 28WF of the National Health Service Act 1977, which has force in relation to ophthalmic matters until the coming into force of the relevant provisions of the Health Act 2006 (see section 277(3) and (4) of the Act), which will occur on 1st August 2008.

Part 2 of and Schedule 3 to the Regulations prescribes the conditions which, in accordance with section 118 of the Act, must be met by a contractor before the PCT may enter into a general ophthalmic services contract with it.

Part 3 of the Regulations prescribes the procedure for pre-contract dispute resolution, in accordance with section 122(1) of the Act. Part 3 applies to cases where the contractor is not a health service body. In cases where the contractor is such a body, the procedure for dealing with pre-contract disputes is set out in section 9 of the Act.

Part 4 of the Regulations sets out the procedures, in accordance with section 122(3) of the Act, by which the contractor may obtain health service body status.

Part 5 of (and Schedules 1 and 2 to) the Regulations prescribe the terms which, in accordance with sections 121 and 122 of the Act, must be included in a general ophthalmic service contract (in addition to those contained in the Act). It includes, in regulation 13, a description of the services which must be provided to patients under a general ophthalmic services contract pursuant to 117 of the Act.

The prescribed terms include terms relating to—

• (a) the type and duration of the contract (regulations 9 to 12);

• (b) the services to be provided and the manner in which they are to be provided (regulations 13 and 14, Schedules 1 and 2);

• (c) finance, fees and charges (regulations 15 and 16);

• (d) the conditions to be met by those who perform services or are employed or engaged by the contractor (Schedules 1 and 2);

• (e) patient records, the provision of information and rights of entry and inspection (Schedules 1 and 2);

• (f) complaints (Schedule 1, Part 5);

• (g) procedures for dispute resolution (Schedule 1, Part 6);

• (h) procedures for variation and termination of contracts (Schedule 1, Part 7); and

• (i) contracts for additional services (Schedule 2).

Part 6 (regulation 20) of the Regulations makes transitional provision.

An Impact Assessment has not been produced for this Instrument as it has no significant impact on the cost of business, charities or voluntary bodies.

Footnotes