Statutory Instruments made by the National Assembly for Wales

" (c) the information and undertakings set out in Schedule 1A.".

(a) that the Health Authority has considered the information provided under paragraph 7 of Schedule 1A and any other information in its possession in relation to this application and considers the ophthalmic medical practitioner or optician is unsuitable to be included in the list;

(b) that having checked the information provided by the ophthalmic medical practitioner or optician in paragraphs 5 and 6 of Schedule 1A, the Health Authority is not satisfied with the information;

(c) that having contacted referees, in accordance with paragraph 9 of that Schedule the Health Authority is not satisfied with the information provided by the referees;

(d) that having checked with the National Health Service Counter Fraud Services for any facts that they consider relevant relating to past or current investigations into a fraud case involving the ophthalmic medical practitioner or optician, and having considered these and any fraud case relating to the ophthalmic medical practitioner or optician, the Health Authority considers these justify such refusal;

(e) that there are any grounds for the Health Authority to consider that admitting the ophthalmic medical practitioner or optician to the list would be prejudicial to the efficiency of the service which the ophthalmic medical practitioner or optician would undertake.

    (2) The grounds on which a Health Authority must refuse to include an ophthalmic medical practitioner or optician are - 

(a) where the ophthalmic medical practitioner or optician has been convicted in the United Kingdom of murder;

(b) where, after 30th July 2002, the ophthalmic medical practitioner or optician has been convicted in the United Kingdom of a criminal offence and sentenced to a term of imprisonment of over six months;

(c) where the ophthalmic medical practitioner or optician is the subject of a national disqualification;

(d) where the ophthalmic medical practitioner or optician has not updated his or her application in accordance with regulation 7B(4);

(e) where the ophthalmic medical practitioner or optician does not notify the Health Authority under regulation 7D(11) that the ophthalmic medical practitioner or optician wishes to be included in the list subject to the specified conditions.

    (3) Where the Health Authority is considering refusal of an ophthalmic medical practitioner or optician under paragraph (1), it shall consider all facts which appear to it to be relevant and shall in particular take into consideration in relation to paragraph (1)(a), (b) and (d) above - 

(a) for the purpose of deciding whether or not to exercise its powers under section 49F, 49G or 49I of the Act;

(b) in order to see whether the ophthalmic medical practitioner or optician has failed to comply with a condition imposed on his or her inclusion under regulation 7D so as to justify removal of the ophthalmic medical practitioner from the list; or

(c) who has been suspended under section 49I(1)(a) of the Act,

the ophthalmic medical practitioner or optician may not withdraw from any list kept by any Health Authority in which the ophthalmic medical practitioner or optician is included, except where the National Assembly has given its consent, until the matter has been finally determined by the Health Authority.

    (2A) Where a Health Authority has decided to remove an ophthalmic medical practitioner or optician from a list under section 49F or 49G of the Act, or contingently remove under section 49G of the Act, or remove the ophthalmic medical practitioner or optician for breach of a condition imposed on inclusion under regulation 7D, but has not yet given effect to its decision, the ophthalmic medical practitioner or optician may not withdraw from any list kept by any Health Authority in which the ophthalmic medical practitioner or optician is included, except where the National Assembly has given its consent.

    (2B) Where a Health Authority has suspended an ophthalmic medical practitioner or optician under section 49I(1)(b), the ophthalmic medical practitioner or optician may not withdraw from any list kept by any Health Authority in which the ophthalmic medical practitioner or optician is included, except where the National Assembly has given its consent, until the decision of the relevant court or body is known and the matter has been considered and finally determined by the Health Authority.".

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

    (3) The contractor shall provide all necessary authority to enable a request to be made by the Health Authority to any employer or former employer, licensing, regulatory or other body in the United Kingdom or elsewhere, for information relating to a current investigation, or an investigation where the outcome was adverse, by them into the contractor referred to in sub-paragraph (5).

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

(a) Information on whether - 


(i) the ophthalmic medical practitioner or optician has any criminal convictions in the United Kingdom;

(ii) the ophthalmic medical practitioner or optician has been bound over United Kingdom;

(iii) the ophthalmic medical practitioner or optician has accepted a police caution in the United Kingdom;

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

(v) the ophthalmic medical practitioner or optician is currently the subject of any proceedings which might lead to such a conviction, which have not yet been notified to the Health Authority;

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

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

(viii) the ophthalmic medical practitioner or optician has been subject to an investigation in respect of any current or previous employment where the outcome was adverse;

(ix) the ophthalmic medical practitioner or optician is currently subject to an investigation into the professional conduct of the ophthalmic medical practitioner or optician in respect of any current or previous employment;

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

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



(b) if the ophthalmic medical practitioner or optician is, has in the preceding six months been, or was at the time of the originating events, a director of a body corporate, information on whether - 



(i) it has any criminal convictions in the United Kingdom;

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

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

(iv) it 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;

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

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



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