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The National Health Service (Ophthalmic Services) (Wales) Regulations 2023

Type Welsh-Statutory-Instrument

Publication 2023-09-27

Last updated 2025-04-01

State In force

Jurisdiction Wales

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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(a) the Welsh Ministers;

(b) any other Local Health Board or equivalent body, which to its knowledge—

(i) has a qualified practitioner, or a body corporate of which the qualified practitioner is a director, to whom that information relates included in any of its primary care lists or equivalent lists,

(ii) is considering an application from such a qualified practitioner, or a body corporate of which the qualified practitioner is known to be a director, for inclusion in any of its primary care lists or equivalent lists, or

(iii) has in its area any place where the qualified practitioner provides or assists in the provision of primary ophthalmic services;

(d) the Scottish Ministers;

(e) the Northern Ireland Executive;

(f) the General Medical Council, General Optical Council or any other licensing or regulatory body;

(g) NHS Resolution;

(h) any organisation or employer that, to the knowledge of the Local Health Board, employs or uses any of the services of the qualified practitioner, to whom that information relates, in a professional capacity;

(i) any partnership, any of whose members provide or assist in the provision of primary ophthalmic services and of which, to the knowledge of the Local Health Board, the qualified practitioner is a member or that is considering inviting the qualified practitioner to become a member;

(j) where an allegation of fraud is being considered, the NHS Counter Fraud Authority.

(2) The Local Health Board must disclose to the Welsh Ministers information supplied to it or acquired by it pursuant to these Regulations, as the Welsh Ministers may request.

Publication of information

37

(1) The Local Health Board must make available for inspection at its offices, and at such other places in its area as appear to the Local Health Board to be convenient for informing any person interested, copies of—

(a) these Regulations, and

(b) the Statement.

(2) The Local Health Board is not required to make available copies of both documents referred to in paragraph (1) at every place at which it makes available copies of either of them.

Service of documents on contractors

38

(1) Any document which is required or authorised under these Regulations to be given to a contractor may be given by—

(a) delivering it to them, or

(b) sending it addressed to them at—

(i) any address notified by the contractor to the Local Health Board for inclusion in the ophthalmic list as a place at which the person has undertaken to provide ophthalmic services, or

(ii) in the case of a mobile practice, the address notified to the Local Health Board as the address to which correspondence may be sent.

(2) In paragraph (1), “mobile practice” has the meaning given in Schedule 3.

PART 7 — Consequential, revocation, transitional and saving provisions

Consequential amendments to primary legislation

39

The provisions listed in Schedule 5 are amended in relation to Wales as set out in that Schedule.

Minor and consequential amendments to secondary legislation

40

The provisions listed in Schedule 6 are amended in relation to Wales as set out in that Schedule.

Revocation provisions

41

Subject to the savings in regulation 42, the regulations listed in Schedule 7 are revoked in relation to Wales as set out in that Schedule.

Savings and transitional provisions

42

(1) Where—

(a) general ophthalmic services have been provided under arrangements made in accordance with the 1986 Regulations, but

(b) payments for those services have not been made at the coming into force of these Regulations,

the Local Health Board must make payments for those services in accordance with the 1986 Regulations, which are saved for that purpose.

(2) A Local Health Board’s ophthalmic list is deemed to include, for the relevant transitional period, any person whose name was included in the ophthalmic list of that Local Health Board kept under regulation 6 of the 1986 Regulations (ophthalmic list) immediately before the commencement date (“the previous ophthalmic list”), together with all the information relating to that person which is contained in the previous ophthalmic list.

(3) A Local Health Board’s supplementary list is deemed to include, for the relevant transitional period, any person whose name was included in the supplementary list of that Local Health Board kept under regulation 3 of the 2006 Regulations (supplementary list) immediately before the commencement date (“the previous supplementary list”), together with all the information relating to that person which is contained in the previous supplementary list.

(4) A person who is deemed to be included in a Local Health Board’s ophthalmic or supplementary list under paragraph (2) or (3), respectively, may at any time in the relevant transitional period—

(a) provide general ophthalmic services or assist in the provision of those services (as the case may be);

(b) provide eye examination services or assist in the provision of those services (as the case may be) if they are accredited to do so.

(5) Paragraph (7) applies if, before the end of the compliance period, a person who is deemed to be included in a Local Health Board’s ophthalmic list provides the following to that Local Health Board—

(a) evidence that they are qualified to provide the eye examination services, except in the case of a corporate optician;

(b) an undertaking to provide primary ophthalmic services in the Local Health Board’s area;

(6) Paragraph (7) applies if, before the end of the compliance period, a person who is deemed to be included in a Local Health Board’s supplementary list provides the following to that Local Health Board—

(a) evidence that they are qualified to provide the eye examination services;

(b) an undertaking not to assist in the provision of primary ophthalmic services in the area of another Local Health Board or equivalent body from whose combined list the qualified practitioner has been removed, except where that removal was at the qualified practitioner’s request or in accordance with regulation 17(3)(e), without the consent of that Local Health Board or equivalent body.

(7) Where this paragraph applies—

(a) the person is treated for the purposes of these Regulations as having applied to the Local Health Board for inclusion in the Local Health Board’s ophthalmic or supplementary list (as appropriate) and been approved by that Local Health Board under regulation 13;

(b) the Local Health Board must notify the person that they have been included in the relevant list.

(8) In this regulation, “compliance period”, in relation to a person, means—

(a) the period of 28 days beginning with the commencement date, or

(b) if the Local Health Board in whose list the person is deemed to be included considers that it is not reasonably practicable for the person to comply with paragraph (5) or (6) (as appropriate) before the end of that period, such longer period as may be specified by the Local Health Board.

(9) In this regulation, “relevant transitional period”, in relation to a person, means the period—

(a) beginning with the commencement date, and

(b) ending with the earlier of—

(i) the expiry of the compliance period in relation that person, and

(ii) the date on which the Local Health Board notifies the person that they have been included in the relevant list.

(10) For the period beginning with the commencement date and ending with 31 March 2024, a person registered as a person undertaking training as an optometrist in the register maintained under section 8A of the Opticians Act 1989 (register of students) is treated, for the purposes of regulation 8(3) and paragraph 18 of Schedule 4, as if the person were a student optometrist included in a Local Health Board’s supplementary list.

(11) Paragraph (12) applies where a Local Health Board has—

(a) received an application for inclusion in its previous ophthalmic list or previous supplementary list, but

(b) not determined that application before the commencement date.

(12) The Local Health Board must—

(a) request the relevant evidence and undertakings set out in paragraph (5) or (6) (as appropriate), and

(b) following receipt of the relevant evidence and undertakings, determine the application in accordance with these Regulations.

(13) Any appeal or review started under the 1986 or 2006 Regulations which has not concluded at the commencement date must be conducted in accordance with the 1986 or 2006 Regulations (as appropriate), which are saved for those purposes.

(14) Subject to paragraphs (1) to (13), any action taken by or on behalf of a Local Health Board before the commencement date in relation to its previous ophthalmic list or previous supplementary list (or in relation to the persons or entries on those lists), has effect on and after the commencement date as if such action had been taken by that Local Health Board in relation to the relevant part of the combined list maintained by that Local Health Board on the commencement date or in relation to the persons or entries therein.

(15) Subject to paragraphs (1) to (13), any action taken by or on behalf of any other person before the commencement date in relation to the previous ophthalmic list or the previous supplementary list of a Local Health Board (or in relation to the persons or entries on those lists), has effect on and after the commencement date as if such action had been taken in relation to the relevant part of the combined list maintained by that Local Health Board on the commencement date or in relation to the persons or entries therein.

(16) For the purposes of this regulation—

“the 1986 Regulations” (“Rheoliadau 1986”) means the National Health Service (General Ophthalmic Services) Regulations 1986²⁸ (revoked by regulation 41 and Schedule 7);

“the 2006 Regulations” (“Rheoliadau 2006”) means the National Health Service (General Ophthalmic Services Supplementary List) and (General Ophthalmic Services) (Amendment and Consequential Amendment) (Wales) Regulations 2006²⁹ (revoked by regulation 41 and Schedule 7).

SCHEDULE 1 — Eligibility

Eligibility criteria

1

(1) The eligibility criteria are—

(a) a person is under the age of 16 years;

(b) a person is under the age of 19 years and receiving qualifying full-time education within the meaning of section 71(3) of the Act (arrangements for general ophthalmic services);

(d) a person’s resources are treated under sub-paragraph (2) as being less than, or equal to, that person’s requirements;

(e) a person requires to wear a complex appliance;

(f) a person is registered as sight-impaired or severely sight-impaired in a register kept by a local authority—

(i) in Wales, under section 18(1) of the Social Services and Well-being (Wales) Act 2014 (registers of sight-impaired, hearing-impaired and other disabled people), or

(ii) in England, under section 77(1) of the Care Act 2014³⁰ (registers of sight-impaired adults, disabled adults, etc.);

(g) a person has received a diagnosis of diabetes or glaucoma, or has been advised by an ophthalmologist to be predisposed to the development of glaucoma;

(h) a person is aged 40 or more and is the parent, brother, sister or child of a person who has been diagnosed with glaucoma;

(i) a person is a prisoner;

(j) a person is uniocular;

(k) a person has a hearing impairment;

(l) a person has been diagnosed with retinitis pigmentosa;

(m) a person has been clinically assessed as being at particular risk of developing eye disease.

(2) A person’s resources must be treated as being less than or equal to that person’s requirements if—

(a) the person is in receipt of income support;

(b) the person is a member of the same family as a person who is in receipt of income support;

(c) the person’s income resources as calculated in accordance with Part 4 of, and Schedule 1 to, the National Health Service (Travel Expenses and Remission of Charges) (Wales) Regulations 2007³¹ for the purposes of remission of charges under the Act are less than the person’s requirements as so calculated or exceed the person’s requirements as so calculated by 50 per cent or less of the amount of the charge specified in regulation 3(2)(b) of the National Health Service (Free Prescriptions and Charges for Drugs and Appliances) (Wales) Regulations 2007³² (supply of drugs and appliances by chemists) and the person’s capital resources as so calculated do not exceed the capital limit;

(d) the person is a member of the same family as a person falling within paragraph (c);

(e) the person is in receipt of an income-based jobseeker’s allowance;

(f) the person is a member of the same family as a person falling within paragraph (e);

(g) the person is a relevant child for the purposes of section 23A of the Children Act 1989³³ to whose maintenance a responsible local authority is contributing under section 23B(8) of that Act;

(h) the person is a category 2 young person within the meaning of section 104(2) of the Social Services and Well-being (Wales) Act 2014 to whose maintenance a responsible local authority is contributing under section 109(1) of that Act;

(i) the person is a member of a family—

(i) one member of which is receiving—

(aa) working tax credit and child tax credit,

(bb) working tax credit which includes a disability element or a severe disability element, or

(cc) child tax credit, but is not eligible to receive working tax credit, and

(ii) where the gross annual income of the person or persons to whom an award of a tax credit is made under section 14 of the Tax Credits Act 2002³⁴ is determined at the time of the award not to exceed £15,276;

(j) the person is a person in respect of whom there is a current notice of entitlement;

(k) the person is a member of a family one member of which is receiving pension credit guarantee credit;

(l) the person is in receipt of income-related employment and support allowance;

(m) the person is a member of the same family as a person in receipt of income-related employment and support allowance;

(n) that person is a relevant universal credit recipient.

(3) In sub-paragraph (1)(g), “ophthalmologist” means a medical practitioner whose name is included in the register of specialists kept by the General Medical Council under section 34D of the Medical Act 1983³⁵ (the specialist register) and that register indicates his speciality to be ophthalmology.

(4) In sub-paragraph (2)(n), “relevant universal credit recipient” means a person who, in the relevant assessment period—

(a) had an award of universal credit, either as a single claimant or as one of joint claimants, where—

(i) the award did not include the child element,

(ii) the single claimant or, as the case may be, both joint claimants, did not have limited capability for work, and

(iii) the single claimant had earned income or, as the case may be, the joint claimants had combined earned income, of £435.00 or less;

(b) had an award of universal credit, either as a single claimant or as one of joint claimants, where—

(i) the award included the child element, and

(ii) the single claimant had earned income or, as the case may be, the joint claimants had combined earned income, of £935.00 or less;

(i) the single claimant or, as the case may be, one or both joint claimants, had limited capability for work, and

(ii) the single claimant had earned income or, as the case may be, the joint claimants had combined earned income, of £935.00 or less;

(d) was a qualifying young person for whom a recipient referred to in paragraph (b) or (c) is responsible (within the meaning of Part 1 of the 2012 Act³⁶ (universal credit) and regulations made thereunder).

(5) Where sub-paragraph (6) applies, a person must be treated as falling within the description of a relevant universal credit recipient in sub-paragraph (2)(n).

(6) This sub-paragraph applies where the conditions in paragraph (a), (b), (c) or (d) of sub-paragraph (4) are satisfied in the assessment period in which the sight test takes place and—

(a) there is no relevant assessment period, or

(b) none of those conditions were satisfied in the relevant assessment period.

(7) In sub-paragraph (2), “family” has the meaning assigned to it by section 137(1) of the Social Security Contributions and Benefits Act 1992³⁷ (interpretation of Part VII and supplementary provisions) as it applies to income support except that—

(a) in paragraphs (b), (d) and (k), it has the meaning assigned to it by section 35 of the Jobseekers Act 1995³⁸ (interpretation);

(b) in paragraph (g), it has the meaning assigned to it by regulation 2(2) of the Tax Credits (Definition and Calculation of Income) Regulations 2002³⁹ (interpretation);

(c) in paragraph (m), it has the meaning assigned to it by regulation 2 of the Employment and Support Allowance Regulations 2008⁴⁰ (interpretation).

(8) In this paragraph—

“the 2012 Act” (“Deddf 2012”) means the Welfare Reform Act 2012;

“assessment period” (“cyfnod asesu”) means the assessment period for the purposes of universal credit as specified in regulation 21 of the Universal Credit Regulations 2013⁴¹ (assessment periods);

“capital limit” (“terfyn cyfalaf”) means the amount prescribed for the purposes of section 134(1) of the Social Security Contributions and Benefits Act 1992 (exclusions from benefit) as it applies to income support;

“child element” (“elfen plentyn”) means the child element of universal credit as specified in regulation 24(1) of the Universal Credit Regulations 2013⁴² (the child element);

“child tax credit” (“credyd treth plant”) means child tax credit under section 8 of the Tax Credits Act 2002 (entitlement);

“disability element” (“elfen anabledd”) means the disability element of working tax credit as specified in section 11(3) of the Tax Credits Act 2002 (maximum rate);

“earned income” (“incwm a enillir”) means a person’s earned income as defined by Chapter 2 of Part 6 of the Universal Credit Regulations 2013 (calculation of capital and income – earned income);

“gross annual income” (“incwm blynyddol gros”) means income that is calculated for a tax year for the purposes of Part 1 of the Tax Credits Act 2002 in accordance with regulations made under section 7 of that Act (income test);

“an income-based jobseeker’s allowance” (“lwfans ceisio gwaith yn seiliedig ar incwm”) has the meaning given to it by section 1(4) of the Jobseekers Act 1995⁴³ (the jobseeker’s allowance);

“income support” (“cymhorthdal incwm”) means income support under Part VII of the Social Security Contributions and Benefits Act 1992 and includes personal expenses addition, special transitional addition and transitional addition as defined in regulation 2(1) of the Income Support (Transitional) Regulations 1987⁴⁴ (interpretation);

“income-related employment and support allowance” (“lwfans cyflogaeth a chymorth yn seiliedig ar incwm”) means an employment and support allowance, entitlement to which is based on section 1(2)(b) of the Welfare Reform Act 2007⁴⁵ (income-related employment and support allowance);

“joint claimants” (“hawlwyr ar y cyd”) has the meaning given in section 40 of the 2012 Act (interpretation of Part 1);

“limited capability for work” (“gallu cyfyngedig i weithio”) means limited capability for work or limited capability for work and work-related activity as interpreted in accordance with regulations 39 and 40 respectively of the Universal Credit Regulations 2013⁴⁶ (limited capability for work; limited capability for work and work-related activity);

“pension credit guarantee credit” (“credyd gwarant y credyd pensiwn”) must be interpreted in accordance with sections 1 and 2 of the State Pension Credit Act 2002⁴⁷ (entitlement; guarantee credit);

“prisoner” (“carcharor”) means a person who is detained in a prison, including a young offender institution, a secure training centre, and a naval, military or air force prison, but is, at the time of receiving any general ophthalmic service, on leave from that prison, and for the purposes of this definition— “secure training centre” means a place in which offenders subject to detention and training orders within the meaning given by section 233 of the Sentencing Code⁴⁸ (detention and training order) may be detained and given training and education and prepared for their release, and “young offender institution” means a place for the detention of offenders sentenced to detention in a young offender institution or to custody for life;

“qualifying young person” (“person ifanc cymhwysol”) has the meaning given in section 10(5) of the 2012 Act (responsibility for children and young persons);

“relevant assessment period” (“cyfnod asesu perthnasol”) means the assessment period immediately preceding that in which the sight test take place;

“severe disability element” (“elfen anabledd difrifol”) means the severe disability element of working tax credit as specified in section 11(6)(d) of the Tax Credits Act 2002 (maximum rate);

“single claimant” (“hawlydd unigol”) has the meaning given in section 40 of the 2012 Act (interpretation of Part 1);

“universal credit” (“credyd cynhwysol”) means universal credit under Part 1 of the 2012 Act;

“working tax credit” (“credyd treth gwaith”) means working tax credit under section 10 of the Tax Credits Act 2002 (entitlement).

(9) In this paragraph and paragraph 2—

“complex appliance” (“teclyn cymhleth”) means an optical appliance at least one lens of which— has a power in any one meridian of plus or minus 10 or more dioptres, or is a prism-controlled multifocal lens;

“notice of entitlement” (“hysbysiad o hawlogaeth”) means a notice issued under regulation 8 of the National Health Service (Travelling Expenses and Remission of Charges) (Wales) Regulations 2007 (notices of entitlement).

Specific evidence of eligibility for certain persons

2

(1) Subject to sub-paragraph (2), the specific evidence mentioned in regulation 6(5) is—

(a) for a person who is eligible only by virtue of paragraph 1(1)(d) and (2)(c) or (d), a current notice of entitlement;

(b) for a person who is eligible only by virtue of paragraph 1(1)(e), the prescription for a complex appliance issued to that person on the occasion when the person’s sight was last tested;

(c) for a person who is eligible only by virtue of paragraph 1(1)(g), the name and address of that person’s medical practitioner and consent to the Local Health Board seeking confirmation of the person’s diabetes or glaucoma from that person’s medical practitioner, set out on a form provided for that purpose to contractors by the Local Health Board.

(2) Where an eligible person to whom sub-paragraph (1)(b) applies is unable to meet its requirements, the contractor may instead of satisfying themselves that those requirements are met, satisfy themselves that the person is an eligible person by referring to the contractor’s own records or by measuring the power of the lenses of the person’s existing optical appliance by means of a focimeter or other suitable means.

SCHEDULE 2 — Recognition of ophthalmic medical practitioners

Qualifications of ophthalmic medical practitioners

1

(1) The prescribed qualifications which a medical practitioner must possess for the purposes of section 71 of the Act (arrangements for general ophthalmic services) are that the medical practitioner has (at the date of consideration of this application under paragraph 2) recent and adequate experience and either—

(a) has held—

(i) an appointment in the health service, otherwise than under Part 4 of the National Health Service Act 1946⁴⁹, Part 2 of the National Health Service Act 1977⁵⁰, or Part 6 of the Act, with the status of consultant ophthalmologist, or

(ii) an appointment for a period of 2 years or more of equivalent status as ophthalmic surgeon or assistant ophthalmic surgeon on the staff of an approved ophthalmic hospital, or

(b) has—

(i) obtained the Membership of the Royal College of Ophthalmologists, or any approved higher degree or qualification, and

(ii) held one or more ophthalmic appointments in an approved ophthalmic hospital for a period totalling 2 years or more, which must include tenure for at least 6 months of a residential appointment or an appointment with duties comparable with those of a residential appointment.

(2) The tenure for 6 months of a residential or comparable appointment referred to in sub-paragraph (1)(b)(ii) is not required in the case of a medical practitioner who has been fully registered for at least 7 years and whose experience is such as to make that requirement unnecessary.

(3) In this paragraph, “approved” means approved by the Ophthalmic Qualifications Committee or by an appeal committee under paragraph 3.

Approval of qualifications of ophthalmic medical practitioners

2

(1) A medical practitioner who wishes to be recognised as an ophthalmic medical practitioner must apply to the Ophthalmic Qualifications Committee for its approval of that person’s qualifications and must give to the Ophthalmic Qualifications Committee such particulars of those qualifications as the Committee may require.

(2) The Ophthalmic Qualifications Committee must consider and determine that applicant’s application and within 2 months beginning with the date of the application must inform that applicant of its determination.

(3) If the Ophthalmic Qualifications Committee is satisfied that the applicant possesses the qualifications prescribed by paragraph 1, the applicant must be considered an ophthalmic medical practitioner.

(4) Despite paragraph 1 and sub-paragraph (1), a medical practitioner who has the prescribed qualifications for the purposes of providing general ophthalmic services in Northern Ireland under the Health and Personal Social Services (Northern Ireland) Order 1972, in Scotland under the National Health Service (Scotland) Act 1978, or in England under the National Health Service Act 2006, must be considered an ophthalmic medical practitioner.

(5) For the purposes of sub-paragraph (2), the date of the application is the later of—

(a) the date on which a completed application with all necessary supporting information is received by the Ophthalmic Qualifications Committee, or

(b) if the Ophthalmic Qualifications Committee requires any further supporting particulars from the applicant, the date on which the Committee receives all the particulars that it requires.

Appeals from Ophthalmic Qualifications Committee

3

(1) Any person (“an appellant”) dissatisfied with a determination of the Ophthalmic Qualifications Committee that the appellant is not qualified to be an ophthalmic medical practitioner may, within 1 month beginning with the date on which the appellant received notice of that determination, or such longer period as the Welsh Ministers may at any time allow, appeal against the determination by sending to the Welsh Ministers a notice of appeal stating the facts and contentions on which the appellant relies.

(2) The Welsh Ministers must—

(a) appoint to determine the appeal an appeal committee of 5 persons of whom at least 3 must be appointed after consultation with such bodies or organisations representing medical practitioners as appear to the Welsh Ministers to be concerned with the issues relating to qualification as an ophthalmic medical practitioner,

(b) refer the appeal to that appeal committee,

(c) send a copy of the notice of appeal to the Ophthalmic Qualifications Committee and to such other persons as appear to the Welsh Ministers to be interested in the appeal, and

(d) inform the appellant, the Ophthalmic Qualifications Committee and any such other persons that the appeal has been referred to an appeal committee and of the address to which communications to the appeal committee must be sent.

(3) The appeal committee may, and if requested to do so by the appellant or the Ophthalmic Qualifications Committee must, hold a hearing in connection with an appeal at such time and place as it may direct.

(4) Notice of the hearing must, at least 14 clear days before the date of the hearing, be sent by recorded delivery service to the appellant, the Ophthalmic Qualifications Committee and any other person to whom the Welsh Ministers have under sub-paragraph (2) sent notice of the appeal.

(5) Either the appellant or the Ophthalmic Qualifications Committee may within 1 month of being informed that the appeal has been referred to an appeal committee, or of being informed that a hearing of the appeal will be held, give notice that they wish to appear before the appeal committee.

(6) Any party to an appeal is entitled to appear and be heard by counsel or a solicitor and—

(a) the Ophthalmic Qualifications Committee is entitled to appear by a member or by their clerk or other officer duly appointed for the purpose;

(b) the appellant is entitled to appear in person, by any member of the appellant’s family, by any friend, or by any officer or member of any organisation of which the appellant is a member.

(7) An appeal committee is to have all the powers of the Ophthalmic Qualifications Committee, including in particular the power of approval, and if satisfied that an appellant possesses the qualifications and experience prescribed by paragraph 1, it must give that approval.

(8) The appeal committee must as soon as practicable notify its determination to the appellant, the Ophthalmic Qualifications Committee, the Welsh Ministers and any other person to whom the Welsh Ministers have sent notice of the appeal under paragraph (2).

(9) Subject to the other provisions in this paragraph, the appeal committee may set the procedure of the appeal as it considers proper.

Interpretation

4

In this Schedule—

“the health service” (“y gwasanaeth iechyd”) has the meaning given in section 206 of the Act;

“qualifications” (“cymwysterau”) includes qualifications as to experience.

SCHEDULE 3 — Combined lists

PART 1 — Information in the combined list

Information in the ophthalmic list

1

A Local Health Board’s ophthalmic list must contain the following information—

(a) the full names of the persons the Local Health Board has included in it;

(b) each such person’s professional registration number, with—

(i) suffixed to that number, the organisational code given by the Welsh Ministers to the Local Health Board, and

(ii) prefixed to that number, the initials OL;

(c) in the case of an individual, where consent is given, that person’s date of birth or where consent is not given or in the case of a corporate optician, the date of their first registration in the register;

(d) the date that the person’s name was first included in the ophthalmic list;

(e) if the qualified practitioner has made arrangements with the Local Health Board to provide mobile services, that fact;

(f) if the qualified practitioner is a mobile practice, that fact;

(g) the addresses of any places in the locality of the Local Health Board at which the qualified practitioner has undertaken to provide primary ophthalmic services other than mobile services, or in the case of a mobile practice, the address to which correspondence in connection with such provision may be sent and the addresses of any day or residential centres visited regularly;

(h) particulars of the days on which and hours between which the qualified practitioner has agreed to provide primary ophthalmic services at those addresses, or in the case of visits to day or residential centres by a mobile practice, the months in which visits are intended to take place and the planned interval between such visits, as agreed with the Local Health Board;

(i) the names of every other qualified practitioner who is regularly engaged as a deputy, director or employee in assisting in the provision of primary ophthalmic services at any of those addresses or in the provision of mobile services.

Information in the supplementary list

2

A Local Health Board’s supplementary list must contain the following information—

(a) the full names of the persons the Local Health Board has included in it;

(b) each such person’s professional registration number, with—

(i) suffixed to that number, the organisational code given by the Welsh Ministers to the Local Health Board, and

(ii) prefixed to that number, the initials SOL;

(c) date of birth, where the qualified practitioner has given consent, or if consent is not given, the date of the qualified practitioner’s first registration in the register;

(d) the date on which that person’s name was included in the supplementary list.

PART 2 — Information and undertakings to be provided in applications

Ophthalmic lists: information to be included in an application

3

A qualified practitioner applying to be included in a Local Health Board’s ophthalmic list must provide the following information—

(a) the qualified practitioner’s full name;

(b) the qualified practitioner’s professional registration number, with—

(i) suffixed to that number, the organisational code given by the Welsh Ministers to the Local Health Board, and

(ii) prefixed to that number, the initials OL;

(c) in the case of an individual, where consent is given, that person’s date of birth or where consent is not given or in the case of a corporate optician, the date of their first registration in the register;

(d) details of the addresses of any places in the Local Health Board’s locality at which the qualified practitioner undertakes to provide primary ophthalmic services;

(e) the names of every other ophthalmic medical practitioner or optometrist who is regularly engaged as a deputy, director or employee in assisting in the provision of primary ophthalmic services at any of those addresses or in the provision of mobile services;

(f) if the qualified practitioner wishes to provide mobile services, the addresses to which correspondence in connection with such provision may be sent;

(g) particulars of the days on which and hours between which the qualified practitioner agrees to provide primary ophthalmic services;

(h) company number, if appropriate;

(i) the qualified practitioner’s private address, or in the case of a corporate optician, the address of its registered office, and, in either case, a telephone number;

(j) qualifications and where they were obtained;

(k) chronological details of the qualified practitioner’s professional experience (including starting and finishing dates of each appointment together with an explanation of any gaps between appointments), with any supporting particulars, and an explanation of why the qualified practitioner was dismissed from any post;

(l) names and addresses of two referees who are willing to provide references in respect of two recent posts (which may include any current post) as a qualified practitioner, which lasted for at least 3 months without a significant break, and where this is not possible, a full explanation and the names and addresses of alternative referees;

(m) any information that the qualified practitioner has undertaken to provide under this Schedule;

(n) particulars of any outstanding or deferred application for inclusion in the ophthalmic list, or any other list of a Local Health Board or equivalent body, with the name of the Local Health Board or equivalent body in question;

(o) particulars of any Local Health Board or equivalent body in whose lists the qualified practitioner is included, or from which the qualified practitioner has been removed or contingently removed, or is suspended, or to which they have been refused admission or in which they have been conditionally included, with an explanation as to why;

(p) if the applicant is a director of a body corporate that is included in any list or equivalent list, or which has an outstanding application (including a deferred application) for inclusion in such a list, the name and address of the registered office of that body and details of the Local Health Board or equivalent body concerned;

(q) if the applicant is, or was in the preceding 6 months, or was at the time of the originating events, a director of a body corporate, details of any list or equivalent list to which that body has been refused admission, in which it has been conditionally included, from which it has been removed, contingently removed or from which it is currently suspended, with an explanation as to why and details of the Local Health Board or equivalent body concerned;

(r) all necessary authority to enable a request to be made by the Local Health Board 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 qualified practitioner;

(s) any other information the Local Health Board may reasonably require.

4

A qualified practitioner applying to be included in a Local Health Board’s ophthalmic list must provide the following undertakings and consent—

(a) an undertaking to provide the information required by this Schedule and any further information requested by the Local Health Board;

(b) an undertaking to notify the Local Health Board within 7 days of any material changes to the information provided in the application until the application is finally determined;

(c) an undertaking to neither provide nor assist in the provision of primary ophthalmic services in the area of another Local Health Board or equivalent body from whose combined list or equivalent list the qualified practitioner has been removed, except where that removal was at the qualified practitioner’s request or in accordance with regulation 17(3)(e), without the consent, in writing of that Local Health Board or equivalent body;

(d) consent to the disclosure of information in accordance with these Regulations.

Supplementary lists: information to be provided in an application

5

A qualified practitioner applying to be included in a Local Health Board’s supplementary list must provide the following information—

(a) the qualified practitioner’s full name;

(b) the qualified practitioner’s date of birth;

(d) details of the qualified practitioner’s qualifications and where they were obtained;

(e) a declaration that the qualified practitioner is a fully registered ophthalmic medical practitioner or optometrist, or student optometrist, included in the register;

(f) the qualified practitioner’s professional registration number and their date of first registration in the register;

(g) chronological details of the qualified practitioner’s professional experience (including starting and finishing dates of each appointment together with an explanation of any gaps between appointments), with any supporting particulars, and an explanation of why the qualified practitioner was dismissed from any post;

(h) except where the applicant is a student optometrist, names and addresses of two referees who are willing to provide references in respect of two recent posts (which may include any current post) as a qualified practitioner, which lasted for at least 3 months without a significant break, and where this is not possible, a full explanation and the names and addresses of alternative referees;

(i) whether the qualified practitioner has any outstanding application, including a deferred application, to be included in a combined list or an equivalent list and, if so, particulars of that application;

(j) details of any Local Health Board or equivalent list from which the qualified practitioner has been removed or contingently removed, or to which they have been refused admission or in which they have been conditionally included, with an explanation as to why;

(k) if the qualified practitioner is the director of a body corporate that is included in any combined list or equivalent list, or which has an outstanding application (including a deferred application) for inclusion in such a list, the name and address of the registered office of that body and details of the Local Health Board or equivalent body concerned;

(l) where the practitioner is or was, in the preceding six months or at the time of the originating events, a director of a body corporate, details of any combined list or equivalent list to which that body has been refused admission, in which it has been conditionally included, from which it has been removed, contingently removed or from which it is currently suspended, with an explanation as to why and details of the Local Health Board or equivalent body concerned;

(m) any other information the Local Health Board may reasonably require.

Supplementary lists: undertakings and consents

6

A qualified practitioner applying to be included in a Local Health Board’s supplementary list must provide the following undertakings and consents—

(a) an undertaking to provide the information and document, if applicable, required by regulation 16;

(b) an undertaking not to assist in the provision of primary ophthalmic services in the area of another Local Health Board or equivalent body from whose combined list or equivalent list the qualified practitioner has been removed, except where that removal was at the qualified practitioner’s request or in accordance with regulation 17(3)(e), without the consent in writing of that Local Health Board or equivalent body;

(c) an undertaking to notify the Local Health Board within 7 days of any material changes to the information provided in the application until the application is finally determined;

(d) an undertaking to notify the Local Health Board if the qualified practitioner is included, or applies to be included, in any other combined list or equivalent list held by a Local Health Board or equivalent body;

(e) consent to the disclosure of information in accordance with these Regulations;

(f) consent a request being made by the Local Health Board 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 qualified practitioner.

Declarations

7

(1) A qualified practitioner applying to be included in the Local Health Board’s combined list must declare whether the qualified practitioner—

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

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

(d) has accepted a conditional offer under section 302 of the Criminal Procedure (Scotland) Act 1995⁵¹ (fixed penalty: conditional offer by procurator fiscal) or agreed to pay a penalty under section 115A of the Social Security Administration Act 1992⁵² (penalty as alternative to prosecution);

(e) has, in proceedings in Scotland for an offence, been the subject of an order under section 246(2) or (3) of the Criminal Procedure (Scotland) Act 1995 (admonition and absolute discharge) discharging the practitioner absolutely;

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

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

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

(i) has been subject to any investigation into the professional conduct of the qualified practitioner by any licensing, regulatory or other body anywhere in the world, where the outcome was adverse;

(j) is currently subject to any investigation into the professional conduct of the qualified practitioner by any licensing, regulatory or other body anywhere in the world;

(k) is, or has been where the outcome was adverse, the subject of any investigation into the professional conduct of the qualified practitioner in respect of any current or previous employment;

(l) becomes to the qualified practitioner’s knowledge the subject of any investigation by the NHS Counter Fraud Authority in relation to fraud, or is notified of the outcome of such an investigation, where it is adverse;

(m) is the subject of an investigation by another Local Health Board or equivalent body, which might lead to the qualified practitioner’s removal from a primary care list or equivalent list;

(n) has been removed, contingently removed or suspended from, refused admission to or conditionally included in a primary care list or equivalent list, and if so, why and the name of that Local Health Board or equivalent body;

(o) is, or has ever been, subject to a national disqualification.

(2) A declaration under sub-paragraph (1) must give details, including approximate dates, of where the investigation or proceedings were or are to be brought, the nature of that investigation or those proceedings, and any outcome.

(3) If the qualified practitioner applying to be included in the Local Health Board’s combined list is, has in the preceding 6 months been, or was at the time of the originating events, a director of a body corporate, the qualified practitioner must declare whether the body corporate—

(a) has any criminal convictions 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;

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

(d) 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;

(e) 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;

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

(g) becomes to the qualified practitioner’s knowledge the subject of any investigation by the NHS Counter Fraud Authority in relation to fraud, or is notified of the outcome of such an investigation, where it is adverse;

(h) is the subject of any investigation by another Local Health Board which might lead to its removal from a primary care list or equivalent list;

(i) has been removed, contingently removed or suspended from, refused admission to or conditionally included in a primary care list or equivalent list, and if so, why and the name of that Local Health Board or equivalent body.

(4) A declaration under sub-paragraph (3) must give the name and address of the 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 that investigation or those proceedings took place or are to take place, and any outcome.

(5) Where the qualified practitioner applying to be included in a Local Health Board’s ophthalmic list is a corporate optician, the qualified practitioner must declare whether any of its directors—

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

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

(d) has accepted a conditional offer under section 302 of the Criminal Procedure (Scotland) Act 1995 (fixed penalty: conditional offer by procurator fiscal) or agreed to pay a penalty under section 115A of the Social Security Administration Act 1992 (penalty as alternative to prosecution);

(e) has, in proceedings in Scotland for an offence, been the subject of an order under section 246(2) or (3) of the Criminal Procedure (Scotland) Act 1995 (admonition and absolute discharge) discharging that director absolutely;

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

(g) is currently the subject of any proceedings which might lead to such a conviction which have not yet been notified to the Local Health Board;

(h) is currently subject to any investigation into that director’s professional conduct by any licensing, regulatory or other body;

(i) is to that director’s knowledge the subject of any investigation by the NHS Counter Fraud Authority in relation to fraud, or is notified of the outcome of such an investigation, where it is adverse;

(j) is the subject of any investigation by another Local Health Board or equivalent body which might lead to that director’s removal from a primary care list or equivalent list;

(k) has been removed, contingently removed or suspended from, refused admission to, or conditionally included in a primary care list or equivalent list, and if so, why and the name of that Local Health Board or equivalent body.

(6) A declaration under sub-paragraph (5) must give details, including approximate dates, of where any investigation or proceedings were or are to be brought, the nature of that investigation or those proceedings, and any outcome.

PART 3 — Determination of applications

8

The grounds on which a Local Health Board must refuse to include a qualified practitioner in its combined list are that—

(a) the qualified practitioner has been convicted in the United Kingdom of murder;

(b) the qualified practitioner is the subject of a national disqualification;

(d) the qualified practitioner has not notified the Local Health Board under regulation 28(6);

(e) the Local Health Board is not satisfied of the qualified practitioner’s intention to provide or assist in the provision of primary ophthalmic services (as the case may be) in the Local Health Board’s area;

(f) the qualified practitioner—

(i) applies to be included in the ophthalmic list, but is included in the supplementary list of any Local Health Board, or

(ii) applies to be included in the supplementary list, but is included in either the ophthalmic list of any Local Health Board or the supplementary list of another Local Health Board unless, in either case, the qualified practitioner has given notice in writing to that Local Health Board that they wish to withdraw from that list;

(g) except in relation to a student optometrist, the Local Health Board considers that the qualified practitioner is not qualified to provide, or assist in the provision of, primary ophthalmic services (as appropriate);

(h) in relation to a student optometrist, the Local Health Board considers that the person is not qualified to assist in the provision of services under supervision.

9

The grounds on which a Local Health Board may refuse to include a qualified practitioner in its combined list are that—

(a) the Local Health Board, having reviewed the qualified practitioner’s application and any other relevant information or documents, considers the qualified practitioner is unsuitable to be included in its combined list;

(b) the Local Health Board, having checked the information provided by the qualified practitioner, is not satisfied with the information provided in the qualified practitioner’s application;

(c) having obtained references from the referees named by the qualified practitioner under Part 2 of Schedule 3, the Local Health Board is not satisfied with those references;

(d) having checked with the NHS Counter Fraud Authority for any facts that the Local Health Board considers relevant relating to any past or current fraud investigation involving or relating to the qualified practitioner and, having considered these and any other facts in its possession relating to fraud or relating to the qualified practitioner, the Local Health Board considers that these justify such refusal;

(e) the Local Health Board considers that there are reasonable grounds for concluding that including the qualified practitioner in the combined list would be prejudicial to the efficiency of the services which the qualified practitioner would provide or assist with;

(f) having checked with the Welsh Ministers for any facts that they consider relevant relating to past or current investigations or proceedings involving or relating to the qualified practitioner and, having considered these and any other facts in its possession involving or relating to the qualified practitioner, the Local Health Board considers that these justify such refusal;

(g) on or after 30 July 2002 in the case of the ophthalmic list, or on or after 1 February 2006 in the case of the supplementary list, the qualified practitioner has been convicted in the United Kingdom of any criminal offence (other than murder) and has been sentenced to a term of imprisonment (whether suspended or not) of over 6 months.

10

(1) Where the Local Health Board is considering a refusal of a qualified practitioner’s application on a ground contained in paragraph 9, it must consider all facts which appear to it to be relevant including—

(a) the nature of any offence, investigation or incident;

(b) the length of time since any such offence, incident, conviction or investigation;

(d) any action taken or penalty imposed by any licensing, regulatory or other body, the police or the courts as a result of any such offence, incident or investigation;

(e) the relevance of any offence, investigation or incident in respect of the qualified practitioner’s provision of (or assistance in providing, as applicable) primary ophthalmic services and any likely risk to any patients or to public finances;

(f) whether any criminal offence was a sexual offence for the purposes of Part 1 of the Sexual Offences Act 2003⁵³, or which if it had been committed in England and Wales, would have been such an offence;

(g) whether the qualified practitioner has been refused admission to, conditionally included in, removed, contingently removed, or is currently suspended from, a primary care list or equivalent list, and if so, the facts relating to the matter which led to such action and the reasons given by the Local Health Board or equivalent body for such action;

(h) whether the qualified practitioner is, has in the preceding 6 months been, or was at the time of the originating events, a director of a body corporate which was refused admission to, conditionally included in, removed or contingently removed from a primary care list or equivalent list or is currently suspended from any such list, and if so, what the facts were in each such case and the reasons given by the Local Health Board or equivalent body in each case for such action;

(i) in the case of a corporate optician, whether any of its directors, or anyone who has in the preceding 6 months been one of its directors, has been refused admittance to, conditionally included in, removed, contingently removed or suspended from a primary care list, or equivalent list and, if so, the facts relating to the matter which led to such action and the reasons given by the Local Health Board or equivalent body for such action.

(2) When the Local Health Board takes into consideration the matters set out in sub-paragraph (1), it must consider the overall effect of all the matters being considered.

PART 4 — Deferral of decisions

11

(1) The circumstances referred to in regulation 15 are—

(a) the qualified practitioner is suspended from a primary care list or equivalent list;

(b) a body corporate of which the qualified practitioner is, has in the preceding 6 months been, or was at the time of the originating events, a director, is suspended from a primary care list or equivalent list;

(c) any of the circumstances mentioned in sub-paragraph (2), where the Local Health Board considers it likely that a conviction, or equivalent to a conviction, or a finding against the qualified practitioner would lead to the qualified practitioner’s removal from its combined list if they were included on it.

(2) The circumstances are—

(a) active criminal proceedings in relation to the qualified practitioner in the United Kingdom;

(b) active proceedings in relation to the qualified practitioner elsewhere in the world relating to conduct, which, if it had occurred in the United Kingdom, would constitute a criminal offence;

(c) in respect of a body corporate of which the qualified practitioner is, has in the preceding 6 months been, or was at the time of the originating events a director—

(i) active criminal proceedings in relation to that body corporate in the United Kingdom;

(ii) active proceedings in relation to that body corporate elsewhere in the world relating to conduct, which, if it had occurred in the United Kingdom, would constitute a criminal offence;

(d) in the case of a corporate optician, where in respect of any of its directors—

(i) there are active criminal proceedings in the United Kingdom;

(ii) there are active proceedings elsewhere in the world relating to conduct, which, if it had occurred in the United Kingdom, would constitute a criminal offence;

(e) there is an active investigation anywhere in the world by the qualified practitioner’s licensing or regulatory body or any other investigation (including one by another Local Health Board or equivalent body) relating to the qualified practitioner in their professional capacity;

(f) the First-tier Tribunal is considering an appeal by the qualified practitioner against a decision of a Local Health Board to refuse to admit the qualified practitioner to its combined list, or to conditionally include them in, or to remove or contingently remove them from any list kept by the Local Health Board;

(g) the First-tier Tribunal is considering an appeal by a body corporate of which the qualified practitioner is, has in the preceding 6 months been, or was at the time of the originating events a director against a decision of a Local Health Board to refuse to admit the body corporate to its combined list, or to conditionally include them in, or to remove or contingently remove them from any lists kept by a Local Health Board or equivalent body;

(h) the qualified practitioner is being investigated by the NHS Counter Fraud Authority in relation to any fraud;

(i) a body corporate, of which the qualified practitioner is, has in the preceding 6 months been, or was at the time of the originating events, a director, is being investigated in relation to any fraud;

(j) the First-tier Tribunal is considering an application from a Local Health Board for a national disqualification of the qualified practitioner;

(k) the First-tier Tribunal is considering an application from a Local Health Board for a national disqualification of a body corporate of which the qualified practitioner is, or has in the preceding 6 months been, or was at the time of the originating events a director.

PART 5 — Removal from a combined list

Procedure for removal under these Regulations

12

(1) In the circumstances in sub-paragraph (4), a Local Health Board must give the qualified practitioner—

(a) notice of any allegation against the qualified practitioner;

(b) notice of the action the Local Health Board is considering and on what grounds;

(c) the opportunity to make written representations to the Local Health Board within 28 days of the date of notification under paragraph (b) (“the specified period”);

(d) the opportunity to make representations at an oral hearing before the Local Health Board within the specified period if the qualified practitioner requests one.

(2) If the qualified practitioner requests an oral hearing, the hearing must take place within the specified period and before the Local Health Board reaches its decision.

(3) If the qualified practitioner makes written representations or an oral hearing takes place, the Local Health Board must take any representations made by the qualified practitioner into account before reaching its decision.

(4) This paragraph applies where a Local Health Board is considering—

(a) removal on the grounds in regulation 17(3),

(b) removal for breach of a condition imposed under regulation 14, or

Procedure for removal under the Act

13

A Local Health Board must follow the procedure set out in paragraph 12(1) to (3) where it is considering—

(a) removing a qualified practitioner from its ophthalmic list under section 107 of the Act (disqualification of practitioners), or

(b) contingently removing a qualified practitioner from its ophthalmic list under section 108 of the Act.

Factors to be considered before removal

14

In making any decision under section 107 of the Act (disqualification of practitioners) or regulation 17(3)(d) of these Regulations, the Local Health Board must take into account the overall effect of any relevant incidents and offences relating to the qualified practitioner of which it is aware, whichever condition it relies on.

Factors relating to unsuitability cases

15

(1) Where a Local Health Board is considering whether to remove a qualified practitioner from its combined list under section 107(4) of the Act (disqualification of practitioners) or under regulation 17(3)(d) of these Regulations, in relation to an unsuitability case, it must—

(a) consider any information relating to the qualified practitioner which it has received in accordance with any provision of Part 2 of Schedule 3 or Schedule 4,

(b) check with the Welsh Ministers for, and consider, any facts that the Welsh Ministers consider relevant relating to past or current investigations or proceedings involving or relating to the qualified practitioner, and

(2) The matters referred to in sub-paragraph (1)(c) are—

(a) the nature of any offence, investigation or incident;

(b) the length of time since any offence, incident, conviction or investigation occurred or was concluded;

(d) any action taken or penalty imposed by any licensing or regulatory body, the police or the courts as a result of any such offence, incident or investigation;

(e) the relevance of any offence, incident or investigation to the qualified practitioner’s provision of (or assistance in providing, as applicable) primary ophthalmic services and any likely risk to any patients or to public finances;

(f) whether any offence was a sexual offence for the purposes of Part 1 of the Sexual Offences Act 2003, or which if it had been committed in England and Wales, would have been such an offence;

(g) whether the qualified practitioner has been refused admission to, conditionally included in, removed, contingently removed, or is currently suspended from, a primary care list or equivalent list, and if so, the facts relating to the matter which led to such action and the reasons given by the Local Health Board or equivalent body for such action;

(h) whether the qualified practitioner is, has in the preceding 6 months been, or was at the time of the originating events, a director of a body corporate which was refused admission to, conditionally included in, removed or contingently removed from a primary care list or equivalent list or is currently suspended from any such list, and if so, what the facts were in each such case and the reasons given by the Local Health Board or equivalent body in each case for such action;

(i) in the case of a corporate optician, whether a person who, at the time of the originating events, was one of its directors, has been refused admittance to, conditionally included in, removed, contingently removed or suspended from a primary care list, or equivalent list and, if so, the facts relating to the matter which led to such action and the reasons given by the Local Health Board or equivalent body for such action.

Factors relating to fraud cases

16

(1) Where a Local Health Board is considering whether to remove a qualified practitioner from its combined list under section 107(3) of the Act (disqualification of practitioners) or under regulation 17(3)(d) of these Regulations, in relation to a fraud case, it must—

(a) consider any information relating to the qualified practitioner which it has received in accordance with any provision of Part 2 of Schedule 3 or Schedule 4,

(b) check with the Welsh Ministers for, and consider, any facts that the Welsh Ministers consider relevant relating to past or current investigations or proceedings involving or relating to the qualified practitioner, and

(2) The matters referred to in sub-paragraph (1)(c) are—

(a) the nature of any cases of fraud;

(b) the length of time since the last case of fraud occurred and since any investigation into it was concluded;

(d) any action taken by any licensing, regulatory or other body, the police or the courts as a result of any such offence, investigation or case;

(e) the relevance of any investigation into a case of fraud to the qualified practitioner’s provision of (or assistance in providing, as applicable) primary ophthalmic services and the likely risk to patients or to public finances;

(f) whether the qualified practitioner has been refused admission to, conditionally included in, removed, or contingently removed or is currently suspended from, a primary care list or equivalent list, and, if so, the facts relating to the matter which led to such action and the reasons given by the Local Health Board or equivalent body for such action;

(g) whether the qualified practitioner is, has in the preceding 6 months been, or was at the time of the originating events, a director of a body corporate, which was refused admission to, conditionally included in, removed or contingently removed from, a primary care list or equivalent list, or is currently suspended from any such list, and if so, what the facts were in each such case and the reasons given by the Local Health Board or equivalent body in each case;

(h) in the case of a corporate optician, whether a person who, at the time of the originating events, was one of its directors, has been refused admittance to, conditionally included in, removed, contingently removed or suspended from a primary care list or equivalent list and, if so, the facts relating to the matter which led to such action and the reasons given by the Local Health Board or equivalent body for such action.

Factors relating to efficiency cases

17

(1) Where a Local Health Board is considering the removal of a qualified practitioner from its combined list under section 107(2) of the Act (disqualification of practitioners) or under regulation 17(3)(d) of these Regulations, in relation to an efficiency case, it must—

(a) consider any information relating to the qualified practitioner which it has received in accordance with any provision of Part 2 of Schedule 3 or Schedule 4,

(b) check with the Welsh Ministers for, and consider, any facts that the Welsh Ministers consider relevant relating to past or current investigations or proceedings involving or relating to the qualified practitioner, and

(2) The matters referred to in sub-paragraph (1)(c) are—

(a) whether the continued inclusion of the qualified practitioner in the combined list would be prejudicial to the efficiency of the primary ophthalmic services—

(i) provided by the qualified practitioner, or

(ii) which the qualified practitioner assists in providing;

(b) the length of time since the last incident occurred and since any investigation into it was concluded;

(c) any action taken by any licensing, regulatory or other body, the police or the courts as a result of any such incident;

(d) the nature of the incident and whether there is a likely risk to patients;

(e) whether the qualified practitioner has previously failed to supply information, make a declaration or comply with an undertaking required by these Regulations;

(f) whether the qualified practitioner has ever failed to comply with a request by the Local Health Board to take an assessment by NHS Resolution or any of its predecessor bodies;

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