SCHEDULE 1 continued PART 3
6. An optometrist or a registered medical practitioner may perform ophthalmic services under the contract provided—
(a) he is included in an ophthalmic performers list; and
(b) his inclusion in that list is not subject to a suspension.
7.—(1) No person shall perform sight tests under the contract unless he is registered and his registration is not subject to a suspension.
(2) Where—
(a) the registration of an ophthalmic practitioner; or
(b) an ophthalmic practitioner’s inclusion in an ophthalmic performers list,
is subject to conditions, the contractor shall ensure compliance with those conditions, in so far as they are relevant to the contract or the delivery of services under it.
8.—(1) A contractor shall not employ an ophthalmic practitioner to perform ophthalmic services under the contract unless—
(a) that practitioner has provided it with his professional registration number and the name and address of the Primary Care Trust on whose ophthalmic performers list his name appears;
(b) it has checked that he meets the requirements in paragraphs 6 and 7 and has obtained and is satisfied with his clinical references; and
(c) it has taken reasonable steps to satisfy itself that he has the clinical experience and training necessary to enable him to properly perform primary ophthalmic services.
(2) Where the employment of a person falling within sub-paragraph (1) is urgently needed and it is not possible for the contractor to obtain and satisfy itself as to the references in accordance with sub-paragraph (1)(b) before employing him, the ophthalmic practitioner may be employed on a temporary basis for a single period of up to 14 days whilst those references are obtained and considered, and for an additional period of a further 14 days if the contractor has good reason to believe the person supplying the references is ill, on holiday or otherwise temporarily unavailable.
(3) Where the contractor employs the same person on more than one occasion within a period of 6 months, it may rely on the references provided on the first occasion, provided that those references are not more than 12 months old.
9.—(1) Before employing any person to assist it in the provision of services under the contract, the contractor shall take reasonable care to satisfy itself that the person in question is both suitably qualified and competent to discharge the duties for which he is to be employed.
(2) When considering the competence and suitability of any person for the purpose of sub-paragraph (1), the contractor shall have regard in particular to that person’s —
(a) academic and vocational qualifications;
(b) education and training; and
(c) previous employment or work experience.
10. The contractor shall carry out its obligations under the contract with reasonable care and skill.
11.—(1) The contractor shall ensure that a full, accurate and contemporaneous record is kept in the patient record in respect of each patient to whom it provides services under the contract, giving appropriate details of sight testing.
(2) The contractor shall retain all such records for a period of at least 7 years.
(3) The patient record may be kept in electronic form.
12. The contractor shall nominate a person with responsibility for practices and procedures relating to the confidentiality of personal data held by it.
13. The contractor shall ensure that there is displayed in a prominent position in its practice premises, in a part to which patients have access—
(a) a notice supplied or approved by the PCT, indicating the services available under the contract;
(b) in respect of its arrangements under paragraph 5, a written statement relating to its commitment to the matters referred to in paragraph 5(4);
(c) a notice supplied or approved by the PCT, indicating to which descriptions of its patients a payment may be made under the Charges Regulations; and
(d) information about the complaints procedure which it operates in accordance with Part 5 of this Schedule, giving the name and title of the person nominated by the contractor in accordance with paragraph 25(2)(a).
14.—(1) The contractor shall, at the request of the PCT—
(a) produce to the PCT or to a person authorised in writing by the PCT in such format, and at such intervals or within such period, as the PCT specifies; or
(b) allow the PCT, or a person authorised in writing by it to access,
the information specified in paragraph (2).
(2) The information specified for the purposes of sub-paragraph (1) is—
(a) any information which is reasonably required by the PCT for the purposes of, or in connection with, the contract; and
(b) any other information which is reasonably required in connection with the PCT’s functions,
and includes the contractor’s patient records.
15.—(1) Subject to sub-paragraph (2), a contractor shall not use in any manner whatsoever the name or part of the name or trading name, either alone or in combination with any other words or letters of, or used by, any person subject to a national disqualification or a contract disqualification order.
(2) Nothing in sub-paragraph (1) shall prevent a contractor other than a body corporate from using its own name or, being a body corporate, from using the name by which it is registered pursuant to the provisions of the Opticians Act.
16.—(1) In addition to any requirements of notification elsewhere in the Regulations, the contractor shall notify the PCT, as soon as reasonably practicable, of—
(a) any serious incident that, in the reasonable opinion of the contractor, affects or is likely to affect the contractor’s performance of its obligations under the contract; or
(b) any circumstances which give rise to the PCT’s right to terminate the contract under Part 7 of this Schedule.
(2) The contractor shall, unless it is impracticable for it to do so, notify the PCT within 28 days of any occurrence requiring a change in the information about it published by the PCT in accordance with regulations made under section 115(5) (primary ophthalmic services).
(3) The contractor shall notify the PCT when an ophthalmic practitioner who is performing or will perform services under the contract (as the case may be)—
(a) leaves the contractor, and the date upon which he left or is to leave; or
(b) is or is to be employed by the contractor,
and the notification shall include the name of the ophthalmic practitioner who has left, or who has been or is to be employed, together with his professional registration number and the name and address of the Primary Care Trust in whose ophthalmic performers list he is included.
17.—(1) A contractor which is a corporate body shall notify the PCT forthwith when—
(a) it passes a resolution or a court of competent jurisdiction makes an order that the contractor be wound up;
(b) circumstances arise which might entitle a creditor or a court to appoint a receiver, administrator or administrative receiver for the contractor;
(c) circumstances arise which would enable the court to make a winding up order in respect of the contractor;
(d) it is unable to pay its debts within the meaning of section 123 of the Insolvency Act 1986 (definition of inability to pay debts)(27); or
(e) it has a new director, chief executive or secretary.
(2) Where sub-paragraph (1)(e) applies, the notice shall—
(a) confirm that the new director, chief executive or secretary meets the conditions imposed by regulation 4 (general conditions relating to all contracts);
(b) contain an application form in accordance with Schedule 3 in relation to that person.
(3) Where the PCT is not satisfied that that person meets the conditions of regulation 4, it shall so notify the contractor and—
(a) the contractor shall within 28 days remove that new secretary, director or chief executive, as the case maybe, and so notify the PCT; and
(b) if the contractor does not do so, the PCT shall terminate the contract in accordance with the provisions of paragraph 45.
18.—(1) A contractor which is a partnership shall notify the PCT forthwith when—
(a) a partner leaves or informs his partners that he intends to leave the partnership, and the date upon which he left or will leave the partnership; or
(b) a new partner joins or proposes to join the partnership.
(2) A notice under sub-paragraph (1)(b) shall—
(a) state the date that the new partner joined or it is proposed he will join the partnership;
(b) state whether the new partner is an ophthalmic practitioner;
(c) confirm that the new partner meets the conditions imposed by regulation 4 (general conditions relating to all contracts);
(d) contain an application form in accordance with Schedule 3 from that new partner; and
(e) state whether the new partner is or is to be a general or a limited partner.
(3) Where the PCT is not satisfied that a new partner meets the conditions of regulation 4, it shall so notify the contractor and—
(a) the contractor shall within 28 days remove the new partner; and
(b) if the contractor does not do so, the PCT shall terminate the contract in accordance with the provisions of paragraph 45.
19.—(1) Subject to the conditions in sub-paragraph (2), the contractor shall allow persons authorised in writing by the PCT to enter and inspect the practice premises at any reasonable time.
(2) The conditions referred to in sub-paragraph (1) are that—
(a) reasonable notice of the intended entry 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.
20. The contractor must comply with regulation 3 of the Local Involvement Networks (Duty of Services-Providers to Allow Entry) Regulations 2008(28) in so far as it applies to the contractor.
21. The contractor shall allow any other person who has a legal right to enter and inspect the practice premises to do so.