Opticians Act 1989

• Citation: 1989 c. 44
• Sections: 102

Section 1 Constitution and functions of the Council.

(1) There shall continue to be a body corporate known as the General Optical Council (in this Act referred to as “ the Council ”).

(2) The Council shall have the general function of promoting high standards of professional education, conduct and performance among registrants and the additional functions assigned to the Council by or under this Act.

(2A) The over-arching objective of the Council in exercising their functions is the protection of the public.

(2B) The pursuit by the Council of their over-arching objective involves the pursuit of the following objectives—

(a) to protect, promote and maintain the health, safety and well-being of the public;

(b) to promote and maintain public confidence in the professions regulated under this Act;

(c) to promote and maintain proper professional standards and conduct for members of those professions; and

(d) to promote and maintain proper standards and conduct for business registrants.

(3) There shall continue to be a registrar of the Council.

(4) The Council shall be constituted as provided for by order of the Privy Council, subject to Schedule 1 (which relates to the constitution etc. of the Council), and the provisions of that Schedule shall have effect.

Section 2 The Education Committee.

(1) There shall continue to be a committee of the Council known as the Education Committee, for the purpose of giving advice and assistance to the Council (whether or not in response to a reference from them) on matters relating to optical training, education and assessment .

(2) The Education Committee shall continue to be constituted in accordance with rules made by the Council ...

Section 3 The Companies Committee

(1) There shall continue to be a committee of the Council known as the Companies Committee for the purpose of giving advice and assistance to the Council (whether or not in response to a reference from them) on matters relating to business registrants, other than matters required by this Act to be considered by the Investigation Committee, the Registration Appeals Committee or the Fitness to Practise Committee.

(2) The Companies Committee shall continue to be constituted as provided by rules made under this subsection by the Council .

(3) Before making rules under subsection (2) above, the Council shall consult organisations appearing to the Council to represent the interests of substantial numbers of business registrants.

Section 4 The Investigation Committee

(1) There shall be a committee of the Council known as the Investigation Committee for the purpose of investigating any allegation that—

(a) a registered optometrist’s or a registered dispensing optician’s fitness to practise is impaired;

(b) a business registrant’s fitness to carry on business as an optometrist or a dispensing optician or both is impaired; or

(c) a student registrant’s fitness to undertake training as an optometrist or a dispensing optician is impaired.

(2) The Investigation Committee may refer any allegation before it to the Fitness to Practise Committee for consideration.

(3) The Investigation Committee shall be constituted as provided by rules made under this subsection by the Council .

Section 5 The Registration Committee

(1) There shall be a committee of the Council known as the Registration Committee, for the purpose of giving advice and assistance to the Council (whether or not in response to a reference from them) on matters relating to registration, other than matters required by this Act to be considered by the Registration Appeals Committee.

(2) The Registration Committee shall be constituted as provided by rules made under this subsection by the Council .

Section 5A The Registration Appeals Committee

(1) There shall be a committee of the Council known as the Registration Appeals Committee, for the purpose of hearing and determining appeals against any decision of the registrar refusing to enter the name of an individual or body corporate in, or to restore it to, the appropriate register.

(2) All the members of the Registration Appeals Committee shall be members of the Hearings Panel.

(3) Subject to subsection (2) above, the Registration Appeals Committee shall be constituted as provided by rules made under this subsection by the Council .

(4) The members of the Registration Appeals Committee who are to hear any particular case shall be determined in accordance with rules made by the Council under subsection (3) above.

(5) In exercising a function under section 13K, the Registration Appeals Committee must have regard to the over-arching objective.

Section 5B The Standards Committee

(1) There shall be a committee of the Council known as the Standards Committee for the purpose of giving advice and assistance to the Council (whether or not in response to a reference from them) on matters relating to the standards of conduct and performance expected of registrants or those seeking admission to a register.

(2) The Standards Committee shall be constituted as provided by rules made under this subsection by the Council .

Section 5C The Fitness to Practise Committee

(1) There shall be a Committee of the Council known as the Fitness to Practise Committee for the purpose of inquiring into and determining allegations relating to—

(a) the fitness of registered optometrists and registered dispensing opticians to practise;

(b) the fitness of business registrants to carry on business as an optometrist or a dispensing optician or both; and

(c) the fitness of student registrants to undertake training as an optometrist or a dispensing optician.

(2) All the members of the Fitness to Practise Committee shall be members of the Hearings Panel.

(3) Subject to subsection (2) above, the Fitness to Practise Committee shall be constituted as provided by rules made under this subsection by the Council .

(4) The members of the Fitness to Practise Committee who are to hear any particular case shall be determined in accordance with rules made by the Council under subsection (3) above.

(5) In exercising a function under section 13F or 13H, the Fitness to Practise Committee must have regard to the over-arching objective.

Section 5D The Hearings Panel

(1) The Council shall appoint a panel of persons (“the Hearings Panel”) from whom members of the Fitness to Practise Committee and the Registration Appeals Committee must be selected.

(2) No person shall be appointed to the Hearings Panel—

(a) if he is a member of the Council ; and

(b) unless he satisfies such requirements as may be prescribed by rules made by the Council .

(3) The Council shall pay members of the Hearings Panel such fees, allowances and expenses as the Council may determine.

(4) The Council shall arrange such training for members of the Hearings Panel as the Council consider appropriate.

(5) The Council may by rules make provision in respect of the Hearings Panel and may, in particular, make provision—

(a) as to the number of persons to be appointed to the Hearings Panel;

(b) for the removal or resignation from the Hearings Panel of any person appointed to it;

(c) for the term of appointment of any person appointed to the Hearings Panel; and

(d) for the publication of a list of members of the Hearings Panel.

Section 6 General power to appoint committees.

(1) The Council may set up a committee for any purpose (other than a purpose for which this Act requires that there shall be a committee of the Council) and may delegate to a committee set up under this section, with or without restrictions or conditions, as they think fit, any functions exercisable by them except the following—

(a) the power to make rules under this Act;

(b) any functions expressly conferred by this Act on some other committee; and

(c) subject to any express provision for delegation in the rules, any functions expressly conferred on the Council by rules under this Act.

(2) The number of members of a committee set up under this section and their term of office shall be fixed by the Council.

(3) A committee set up under this section may include persons who are not members of the Council, but at least two-thirds of the members of every such committee shall be members of the Council.

(4) Every member of a committee set up under this section who at the time of his appointment was a member of the Council shall, upon ceasing to be a member of the Council, also cease to be a member of the committee.

(5) For the purposes of this section a member of the Council shall not be deemed to have ceased by reason of retirement to be a member of it if he has again been nominated or elected a member of it not later than the date of his retirement.

(6) Any function delegated to a committee set up under this section may be further delegated by that committee to an officer or employee of the Council except to the extent that the Council limits or prohibits its further delegation.

(7) The delegation of a function under this section shall not prevent the exercise of the function by the committee by whom the delegation is made.

Section 6A Powers of delegation

(1) The Council may delegate to any Committee of the Council , other than a committee set up under section 6 above, or to any officer or employee of the Council , any of the functions exercisable by the Council under this Act, except the following—

(a) the power to make rules; and

(b) any functions expressly conferred by this Act on some other committee.

(2) Any function delegated under this section to a Committee or officer of the Council may be further delegated by the Committee or officer to an employee of the Council except to the extent that the Council limits or prohibits its further delegation.

(3) The registrar may delegate any function of his, whether assigned to him under this Act or by the Council under this section, to any employee of the Council .

(4) The delegation of a function under this section shall not prevent the exercise of the function by the body or person by whom the delegation is made.

Section 7 Registers of opticians.

The Council shall continue to maintain—

(a) a register of optometrists; and

(b) a register of dispensing opticians,

each containing the names and addresses , and such other particulars as may be prescribed, of all persons who are entitled under the provisions of this Act to be registered in it and who apply in the prescribed manner to be so registered.

Section 8 Qualifications for being registered.

(1) A person shall be entitled to have his name in the appropriate register if he satisfies the Council that he—

(a) holds a qualification—

(i) as an optometrist or a dispensing optician;

(ii) which, at the time it was granted, was approved by the Council under section 12(7)(b) below; and

(iii) which was granted to him after receiving instruction from one or more of the establishments approved by the Council under section 12(7)(a) below;

(b) has had adequate practical experience in the work of an optometrist or a dispensing optician; and

(c) is a fit person to practise as an optometrist or a dispensing optician.

(1A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) Subject to subsection (2A), a person shall be entitled to have his name in the appropriate register if he satisfies the Council that he—

(a) holds a qualification as an optometrist or as a dispensing optician granted outside the United Kingdom;

(b) has had adequate practical experience in the work of an optometrist or a dispensing optician; and

(c) is a fit person to practise as an optometrist or a dispensing optician.

(2A) The Council may determine, in relation to any particular person or class of person to which subsection (2) above applies, that before being entitled to have his name in the appropriate register, a person must—

(a) obtain such qualification, approved in accordance with section 12(7)(b) below; or

(b) pass such test, approved in accordance with section 12(7)(c) below,

as they consider appropriate.

(2B) A determination under subsection (2A) may not be made in relation to a person whose qualification—

(a) was granted in a relevant European State, and

(b) indicates, in the opinion of the Council, a level of attainment of competency comparable to that indicated by an approved UK qualification.

(2C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2D) Subsections (2E) to (2H) apply instead of subsections (2) to (2B) in the case of a person whose qualification is a specified state qualification.

(2E) Subject to subsection (2F), a person is entitled to have the person’s name in the appropriate register if the person satisfies the Council that—

(a) the person holds a qualification as an optometrist or as a dispensing optician which is a specified state qualification;

(b) the person has had adequate practical experience in the work of an optometrist or dispensing optician; and

(c) the person is a fit person to practise as an optometrist or dispensing optician.

(2F) A person is not entitled to have the person’s name in the appropriate register by virtue of subsection (2E) if the Council determine that one or more of Conditions 1 to 3 are met in relation to the person’s specified state qualification, unless the person satisfies the Council that the person has met the requirement specified in relation to the person under section 8ZA.

(2G) For the purpose of this section and section 8ZA—

(a) Condition 1 is met where there exists a substantial difference between the knowledge and skill evidenced by a person’s specified state qualification and the knowledge and skill demonstrated by an approved UK qualification;

(b) Condition 2 is met where the professional activities to which an approved UK qualification relates include one or more professional activities that cover substantially different matters from those covered by the person’s specified state qualification;

(c) Condition 3 is met where requiring the person to take an aptitude test or complete an adaptation period would amount to requiring the person to acquire an approved UK qualification.

(2H) The Council may determine in relation to a person who holds a qualification as an optometrist or as a dispensing optician which is a specified state qualification that, before being entitled to have the person’s name in the appropriate register, the person must pass such test, approved in accordance with section 12(7)(c), as they consider appropriate.

(2I) Where the Council make a determination that a specified state professional must take a test approved in accordance with section 12(7)(c), the test must be proportionate to the language skills necessary to practise as an optometrist or a dispensing optician.

(3) Any person who on lst January 1959 was entitled to have his name included in one of the health service ophthalmic lists, and whose name had not at that time been removed from one of those lists by direction of a health service tribunal, shall be entitled to be registered in the appropriate register.

(4) Any person who on an application made not later than lst June 1961 satisfied the Council—

(a) that on the date of his application he held a qualification as an optometrist or dispensing optician recognised by them for the purposes of this subsection; and

(b) that he had had adequate practical experience in the work of an optometrist or dispensing optician; and

(c) that he was of good character,

shall be entitled to be registered in the appropriate register.

(5) Any person who on an application made after lst June 1961 but before this Act came into force satisfied the Council—

(a) that on lst June 1961 he held a qualification such as is mentioned in paragraph (a) of subsection (4) above; and

(b) that he had had adequate practical experience in the work of an optometrist or dispensing optician; and

(c) that he was of good character,

shall be entitled to be registered in the appropriate register.

(6) Any person who on an application made after this Act comes into force satisfies the Council—

(a) that on lst June 1961 he held a qualification such as is mentioned in paragraph (a) of subsection (4) above; and

(b) that he has had adequate practical experience in the work of an optometrist or dispensing optician; and

(c) that he is a fit person to practise as an optometrist or a dispensing optician,

shall be entitled to be registered in the appropriate register.

(7) In the case of a person whose qualifications (including experience) are appropriate for optometrists, the register of optometrists and the register of dispensing opticians are both appropriate registers for the purposes of this section and, in the case of a person whose qualifications (including experience) are only appropriate for a dispensing optician, the register of dispensing opticians is appropriate for those purposes.

(8) A person may have his name in both the register of dispensing opticians and the register of those undertaking training as optometrists.

(8A) Except as provided in subsection (8) above, a person may not have his name in more than one register.

(9) Where the Council have refused to grant an application for registration under subsection (4), (5) or (6) above, the Privy Council, on representations being made to them, may if they think fit, after considering the representations and after communicating with the Council, order the Council to grant the application.

(10) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(11) In this section “ approved UK qualification ” means a qualification that is—

(a) approved under section 12(7)(b), and

(b) granted by an establishment in the United Kingdom that is approved under section 12(7)(a).

Section 8A Registers of students

(1) The Council shall maintain a register of persons undertaking training as optometrists and a register of persons undertaking training as dispensing opticians.

(2) A person who is undertaking training provided by an approved training establishment or obtaining practical experience in the work of an optometrist or a dispensing optician shall have his name in the appropriate register.

(3) A person shall be entitled to have his name in the appropriate register if he satisfies the Council that he is fit to undertake training as an optometrist or a dispensing optician, and either—

(a) he is undertaking, or will be undertaking, training provided by an approved training establishment; or

(b) he is obtaining, or will be obtaining, practical experience in the work of—

(i) an optometrist under the supervision of a registered medical practitioner or a registered optometrist; or

(ii) a dispensing optician under the supervision of a registered medical practitioner, a registered optometrist or a registered dispensing optician.

(4) Each register shall contain the names and addresses of the persons who are registered under this section, together with such other particulars as the Council may prescribe in rules.

(5) The Council may make rules as to the circumstances in which a person’s name may be removed from a register maintained under this section.

Section 8B Visiting opticians from relevant European States: registers

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Section 8C Visiting optometrists: entitlement to registration

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Section 8D Visiting dispensing opticians: entitlement to registration

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Section 8ZA Section 8: further provision relating to specified state qualifications

(1) This section applies where a person who holds a specified state qualification applies to have the person’s name in the appropriate register under section 8 and the Council determine that one or both of Conditions 1 and 2 are met in relation to the person’s qualification.

(2) This section does not apply if the Council determine that Condition 3 is met in relation to the person’s specified state qualification.

(3) Where this section applies, the Council must specify what aptitude test or adaptation period, or aptitude test and adaptation period, must be passed or successfully completed by the person before the person is entitled to have the person’s name in the appropriate register.

(4) An aptitude test or adaptation period specified under this section, or an aptitude test and adaptation period together specified under this section, must be proportionate to the difference sought to be addressed.

(5) The Council must give a person their reasons for specifying an aptitude test or an adaptation period, or both, in relation to the person under this section, if the person makes a written request for them.

(6) If the Council specify aptitude tests in relation to persons under this section, the Council must ensure that such tests are scheduled with reasonable frequency and at least once a year.

Section 9 List of bodies corporate carrying on business as opticians.

(1) The Council shall maintain a register of bodies corporate carrying on business as an optometrist or a dispensing optician or both, containing the names, principal places of business and such other particulars, as may be prescribed by the Council , of the bodies which are entitled under the following provisions of this Act to be registered in it and apply in the prescribed manner to be registered or to have their registration retained in the register.

(2) Subject to subsection (3) below, a body corporate shall be entitled to be registered in the register if it satisfies the Council that it is fit to carry on business as an optometrist or a dispensing optician or to carry on both businesses and—

(a) if it satisfies the Council that a majority of its directors are registered optometrists or registered dispensing opticians or, in the case of a body corporate having only one director, that he is a registered optometrist or registered dispensing optician ;

(b) if on 20th November 1957 its name or a name under which it carried on business was included in one of the health service ophthalmic lists or if it subsequently came into existence on the reconstruction of a body corporate entitled to be registered by virtue of this paragraph;

(c) if it satisfies the Council—

(i) that the greater part of its business consists of activities other than the testing of sight and the fitting and supply of optical appliances; and

(ii) that so much of its business as consists of the testing of sight is carried on under the management of a registered optometrist ; and

(iii) that so much of its business as consists of the fitting and supply of optical appliances is carried on under the management of a registered optometrist or registered dispensing optician ; or

(d) if—

(i) it is a registered society within the meaning of the Co-operative and Community Benefit Societies Act 2014 or a society registered under the Industrial and Provident Societies Act (Northern lreland) 1969; and

(ii) it satisfies the Council that so much of its business as consists of the testing of sight, or of the fitting and supply of optical applicances, as the case may be, is carried on under such management as is mentioned in paragraph (c)(ii) and (iii) above.

(3) A body corporate shall not be entitled to be registered by virtue of subsection (2)(b) above if its name, or the name of any body on whose reconstruction it came into existence, or a name under which it or any such body carried on business has at any time—

(a) been removed from one of the health service ophthalmic lists by direction of a health service tribunal; or

(b) been the subject of an order for erasure from the register maintained under subsection (1) above.

Section 10 General provisions as to registers and lists.

(1) The Council may make rules with respect to the form and keeping of the registers ... and the making of entries and alterations in them and, in particular—

(a) regulating the making of applications for registration ... or for transfer from one register ... to another, and providing for the evidence to be produced in support of any such application;

(b) providing for—

(i) the notification to the Council of any change in the information provided by the registrant to the Council in accordance with rules made under paragraph (c)(ii) below; and

(ii) the removal from the appropriate register of the name of the registrant if he fails to notify the Council of any such change;

(c) ... prescribing —

(i) a fee to be charged;

(ii) information to be provided to the Council ; and

(iii) the time within which the fee is to be paid and the information provided,

for the entry or retention of a name in, or the restoration of a name to, a register;

(d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e) providing for the entry in the register of qualifications (whether or not approved under section 12(7)(b) below ) possessed by persons whose names are registered in it and for the removal of such qualifications from the register, and prescribing a fee to be charged in respect of the entry;

(f) authorising the registrar to refuse to enter or retain a name in, or restore a name to, the appropriate register until the fee prescribed under paragraph (c)(i) has been paid, and the information prescribed under paragraph (c)(ii) and the evidence required by section 10A(3) has been provided, to the Council ;

(ff) authorising the registrar to remove a person’s name from the appropriate register if he ceases to satisfy the requirements for registration specified in section 8, 8A or 9 above, or ceases to satisfy the requirement to be insured under section 10A(1) below, or fails to pay any fee due or provide any information he is required to provide;

(g) prescribing anything required or authorised to be prescribed by the provisions of this Act relating to the registers ....

(1ZA) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(1ZB) If rules under this section prescribe a fee to be charged on the entry of a person’s name in the register in a case where the person applies for registration in reliance on a specified state qualification, the fee must be—

(a) reasonable and proportionate to the cost of dealing with such a person’s application;

(b) transparent, and made public in advance; and

(c) payable by electronic means through the Council’s own website.

(1ZC) Where a person applies for registration under section 8 in reliance on a specified state qualification, the Council must—

(a) within the period of one month beginning with the date of receipt of the application—

(i) acknowledge receipt of the application; and

(ii) inform the applicant of any missing document required for the purposes of the application;

(b) give the applicant adequate time to complete the requirements and procedures of the application process;

(c) ensure that the documentary and other evidence which is to accompany applications for registration is no more than is necessary to demonstrate to the Council that the applicant satisfies each of the requirements imposed by or under section 8;

(d) accept copies of documents in place of original documents (subject to such provision about verifying copies as is made by rules under subsection (1)) unless the Council require original documents to protect the integrity of the application process;

(e) deal promptly with the application; and

(f) as soon as reasonably practicable and in any event within four months beginning with the relevant date, notify the applicant in writing of the result of the application.

(1ZD) In subsection (1ZC)(f), “ the relevant date ”, in relation to an application, is—

(a) the date on which the Council receive the application; or

(b) if any document required for the purposes of the application is missing when the Council receive the application, the date on which the Council first have all the documents required for those purposes.

(1ZE) If the Council make a request for further evidence, information or documents from the applicant, the period beginning with the date on which the Council make that request and ending with the date on which the applicant complies with that request is to be disregarded in determining whether the period of four months referred to in subsection (1ZC)(f) has expired.

(1A) The Council may make rules—

(a) specifying specialties or levels of proficiency which a registered optometrist or registered dispensing optician may be permitted to register;

(b) enabling the registrar to enter in the appropriate register particulars of a registered optometrist’s or registered dispensing optician’s specialties or proficiencies where such requirements as may be prescribed for inclusion of such an entry have been met;

(c) enabling the registrar to remove from the appropriate register particulars of a registered optometrist’s or registered dispensing optician’s specialties or proficiencies in such circumstances as may be prescribed;

(d) applying with or without modification rules made under subsection (1) above to specialties and proficiencies;

(e) specifying the activities or work which may be performed by registered optometrists or registered dispensing opticians whose registration in the appropriate register includes particulars registered in accordance with rules made under paragraph (b) above; and

(f) providing that the performing of such activities or work by a registered optometrist or registered dispensing optician whose registration in the appropriate register does not include such particulars shall be treated as adversely affecting a registered optometrist’s or registered dispensing optician’s fitness to practise.

(2) On registering the death of a registrant a registrar shall send forthwith by post to the registrar of the Council a copy certified under his hand of the entry relating to the death in the register of deaths; and the cost of the certificate and of sending it by post shall be payable by the registrar of the Council to the registrar of births and deaths from whom it is received.

(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) The Council may make rules providing for—

(a) the communication of documents in electronic form to the Council ; and

(b) the electronic storage of documents communicated to the Council whether or not in electronic form.

Section 10A Indemnity arrangements for individual registrants and persons applying for their name to be registered

(1) A registered optometrist or registered dispensing optician who practises as such must have in force in relation to him an indemnity arrangement which provides appropriate cover for practising as such.

(2) For the purposes of this section, an “indemnity arrangement” may comprise—

(a) a policy of insurance;

(b) an arrangement made for the purposes of indemnifying a person;

(c) a combination of the two.

(3) For the purposes of this section, “appropriate cover”, in relation to practice as a registered optometrist or registered dispensing optician, means cover against liabilities that may be incurred in practising as such which is appropriate, having regard to the nature and extent of the risks of practising as such.

(4) The Council may make rules in connection with the information provided to the registrar—

(a) by or in respect of a person seeking registration in the register of optometrists or dispensing opticians for the purpose of determining whether, if his name is entered in the appropriate register, there will be in force in relation to him by the time he begins to practise an indemnity arrangement which provides appropriate cover;

(b) by or in respect of a person seeking restoration of his name in the register of optometrists or dispensing opticians for the purpose of determining whether, if his name is restored in the appropriate register, there will be in force in relation to him by the time he resumes practice an indemnity arrangement which provides appropriate cover; and

(c) by or in respect of a registered optometrist or registered dispensing optician seeking retention of his name in the register of optometrists or dispensing opticians for the purpose of determining whether, if his name is retained in the appropriate register, there will continue to be in force in relation to him an indemnity arrangement which provides appropriate cover.

(5) Rules made under subsection (4)(c) may require the information mentioned there to be provided—

(a) at the request of the registrar; or

(b) on such dates or at such intervals as the registrar may determine, either generally or in relation to individual registrants or registrants of a particular description.

(6) The Council may also make rules requiring a registered optometrist or registered dispensing optician to inform the registrar if there ceases to be in force in relation to him an indemnity arrangement which provides appropriate cover.

(7) The Council may also make rules requiring a registered optometrist or registered dispensing optician to inform the registrar if there is in force in relation to him, appropriate cover provided under an indemnity arrangement provided by an employer.

(8) Where a person fails to comply with rules made under subsection (4), or there is a failure to comply with rules made under subsection (4) in relation to him, the registrar may—

(a) refuse to register his name in the appropriate register;

(b) refuse to restore his name to the appropriate register; or

(c) remove his name from the appropriate register.

(9) Where a registered optometrist or registered dispensing optician is in breach of subsection (1) or fails to comply with rules made under this section—

(a) the registrar may remove that person’s name from the appropriate register; or

(b) the breach or failure may be treated as misconduct for the purposes of section 13D(2)(a), and the registrar may refer the matter to the Investigation Committee under section 13D(5).

(10) Where a person’s name has been removed from the appropriate register under subsection (8)(c) or (9)(a), that name shall be restored to the appropriate register on that person’s application, if the registrar is satisfied that the person meets the requirements of—

(a) section 8(1) or (2);

(b) this section; and

(c) any rules made under section 7, 11A or 11B(6) which apply to that person’s case.

(11) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section 11 Publication of registers and proof of registration

(1) The Council shall publish from time to time information from each register in such form (including electronic form) as they consider appropriate.

(2) The information published by the Council shall include—

(a) a list of all persons or bodies whose names are in the registers on a date specified by the Council at the time of publication;

(b) the number assigned to the person or body on the appropriate register; and

(c) such other particulars (if any) as the Council may direct in relation to registrants or a particular class of registrants.

(3) A copy of the appropriate register purporting to be published by the Council shall be evidence (and in Scotland sufficient evidence) in all proceedings that the persons or bodies whose names are in the appropriate register are registrants, and the absence of the name of any person or body from such a copy of the appropriate register shall be evidence, until the contrary is shown, that that person or body is not a registrant.

(4) The registrar may issue a certificate that—

(a) a person’s or body’s name is in the appropriate register;

(b) a person’s or body’s name is not in the appropriate register;

(c) a person’s or body’s name was in the appropriate register at a specified date or during a specified period;

(d) a person’s or body’s name was not in the appropriate register at a specified date or during a specified period; or

(e) a person’s or body’s name has never been in the appropriate register.

(5) A certificate issued under subsection (4) above shall be evidence (and in Scotland sufficient evidence) of the matters certified.

(6) Subsections (3) and (4) above shall apply to entries made in accordance with rules made under section 10(1A) above as they apply to registration in the appropriate register.

Section 11A Requirement for continuing education and training

(1) The Council may by rules make a scheme providing for the continuing education and training of—

(a) registered optometrists and registered dispensing opticians; and

(b) others who have been but who are not so registered and who seek registration, whether by way of restoration or otherwise.

(2) Such a scheme may in particular—

(a) impose requirements on persons to whom the scheme applies for continuing education and training;

(b) provide for a person appointed by the Council (“the administrator”) to administer the scheme;

(c) specify, or provide for the administrator to specify, the steps which persons to whom the scheme applies are expected to take to ensure they meet requirements imposed under the scheme for continuing education and training;

(d) specify the procedures which persons to whom the scheme applies must follow in order to satisfy the Council that the requirements imposed upon them under the scheme have been met;

(e) provide for the Council to impose additional education and training requirements on those persons against whose name in the appropriate register an entry is made in accordance with rules made under section 10(1A) above; and

(f) include provision for education and training undertaken before the scheme comes into force, or undertaken outside the United Kingdom, to count towards the satisfaction of any requirement imposed in accordance with the preceding provisions of this subsection.

(3) The rules may require the administrator to secure the provision of education and training—

(a) sufficient in quantity to meet the reasonable needs of persons to whom the scheme applies; and

(b) of a quality adequate to meet those needs.

(4) The rules may—

(a) require persons (“providers”) who seek to provide education and training for persons to whom the scheme applies to apply to the administrator for approval;

(b) require the approval of the administrator for any curriculum established for the purpose of meeting the educational and training requirements of persons to whom the scheme applies, and for any lessons or activities provided for such persons;

(c) provide for the charging of fees by the administrator for approval by him;

(d) set the level of fees required to be paid for approval by the administrator and to provide for the collection of fees due;

(e) require the keeping of records by providers and specify the period for which those records must be kept;

(f) require records kept by providers to be produced for inspection at such time and such place as may be specified in accordance with the rules;

(g) specify the procedures which must be followed by providers seeking approval under the rules; and

(h) enable the Council to exercise in specified circumstances any of the administrator’s functions.

(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section 11B Failure to satisfy requirements imposed under a scheme

(1) If it appears to the registrar that a person has failed to satisfy requirements for continuing education and training imposed upon him under a scheme made by virtue of section 11A above, the registrar may—

(a) remove from the appropriate register, or refuse to retain in the appropriate register, the registrant’s name; or

(b) refuse to restore the person’s name to the appropriate register.

(1A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(1B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(1C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) If it appears to the registrar that a person has failed to satisfy requirements for additional education and training imposed upon him under a scheme by virtue of section 11A(2)(e) above, the registrar may—

(a) remove from the appropriate register, or refuse to retain in the appropriate register, the registrant’s entry relating to a specialty or proficiency; or

(b) refuse to restore the registrant’s entry relating to a specialty or proficiency in the appropriate register.

(3) The registrar must serve on any person whose name or entry he removes from, or whose name he refuses to retain in or restore to, the appropriate register under this section, notice of his decision and the reasons for it.

(4) If the registrar exercises his powers under subsection (1) above, and the person whose name is removed from, or not retained in, or restored to, the appropriate register—

(a) subsequently satisfies the registrar that he has met the requirements provided for under the scheme as to continuing education and training; and

(b) meets the other requirements for registration,

the registrar must restore his registration.

(5) If the registrar exercises his powers under subsection (2) above, and the registrant whose entry relating to a specialty or proficiency is removed from, not retained in, or restored to, the appropriate register—

(a) subsequently satisfies the registrar that he has now met the requirements for additional education and training; and

(b) meets the other requirements for an entry relating to a specialty or proficiency set out in rules made in accordance with section 10(1A) above,

the registrar must make the entry.

(6) The Council may make rules as to the procedures to be followed before the registrar—

(a) may refuse under this section—

(i) to retain in the register the name of a person; or

(ii) to retain in the register an entry relating to a specialty or proficiency; or

(b) may make a decision whether or not to restore a person’s name to the appropriate register or to restore an entry relating to a proficiency or specialty in accordance with this section.

Section 12 Education and training

(1) The Council shall from time to time establish—

(a) the competencies which a person must be able to demonstrate in order to be granted a qualification as an optometrist or a dispensing optician; and

(b) the content and the standard of education and training (including practical experience) required for the purpose of achieving those competencies.

(2) The Council must consult and seek advice from—

(a) the Standards Committee before establishing the competencies specified in subsection (1)(a) above;

(b) the Education Committee before establishing the requirements specified in subsection (1)(b) above.

(3) The competencies and requirements established under subsection (1) above shall be published by the Council from time to time in such form as appears to the Council to be appropriate.

(4) The Standards Committee and the Education Committee—

(a) must respectively keep under review the competencies and requirements established under subsection (1) above; and

(b) must each advise the Council if they consider changes to be necessary.

(5) The Council must take into account any advice received from the Standards Committee and the Education Committee under subsection (4) above and must, if the Council consider it appropriate to do so, establish and publish revised competencies or requirements.

(6) The Council must ensure that those establishments approved by the Council under subsection (7)(a) below who are engaged in the education, training or assessment of optometrists or dispensing opticians are notified of—

(a) the competencies and requirements established under subsections (1) and (5) above; and

(b) the requirements for the approval of any form of assessment under subsection (7)(b) below.

(7) The Council may approve—

(a) establishments where the instruction given to persons receiving education or training as optometrists or as dispensing opticians appears to the Council to be such as to provide them with adequate knowledge and skills to achieve the competencies for the practice of their profession;

(b) a qualification as an optometrist or a dispensing optician granted to candidates following success in an examination or other form of assessment which in the Council ’s opinion indicates that the candidate has attained all the competencies for the time being established under subsections (1)(a) and (5) above; and

(c) any test of a candidate’s competency in, or knowledge of, the English language carried out by an educational establishment on candidates seeking entry to courses for optometrists or dispensing opticians offered by that establishment.

(8) If—

(a) an establishment referred to in subsection (7)(a) above is outside the United Kingdom; or

(b) a qualification referred to in subsection (7)(b) above is granted by an establishment which is outside the United Kingdom,

the Council may, before determining whether to give their approval, commission others to advise and report on the suitability of the establishment or qualification.

(9) The Council may also approve—

(a) establishments which provide only some of the education or training; or

(b) qualifications which meet only some of the requirements,

needed to achieve the competencies referred to in subsection (1)(a) above.

(10) The Council must from time to time publish, in such form (including electronic form) as they consider appropriate, a list of establishments and qualifications approved by them, indicating the purposes for which the approval was granted.

(11) Subsections (1) to (10) above shall apply in relation to specialties and proficiencies specified under section 10(1A) above as they apply in relation to qualifications as an optometrist or a dispensing optician.

Section 13 Supervision of training establishments and qualifying assessments .

(1) It shall be the duty of the Council to keep themselves informed of the nature of the instruction given by any approved training establishment to persons training as optometrists or dispensing opticians and of the assessments on the results of which approved qualifications are granted.

(2) For the purposes of their duty under subsection (1) above the Council may appoint persons to visit approved training establishments and to attend at the assessments held by the bodies which grant approved qualifications.

(3) No visitor shall interfere with the giving of any instruction or the holding of any assessment .

(4) It shall be the duty of visitors to report to the Council—

(a) as to the sufficiency of the instruction given by the establishments visited by them, or of the assessments attended by them; and

(b) as to any other matters relating to such establishments or assessments which may be specified by the Council either generally or in any particular case.

(5) Where it appears to the Council (as a result of a report under subsection (4) above or otherwise)—

(a) that—

(i) the instruction given by any approved training establishment to persons training as optometrists or dispensing opticians ; or

(ii) the assessment undertaken by such persons,

are not such as to secure the possession by them of adequate knowledge and skill for the practice of their profession; and

(b) that for that reason the approval of the establishment or qualification in question should be withdrawn,

the Council shall give notice in writing to the establishment or body of their opinion, sending with the notice a copy of any report on which their opinion is based.

(5A) Where rules are made under section 23A(2) above, a notice under subsection (5) above or subsection (8) below may be given by means of an electronic communication.

(6) On the receipt of the notice the establishment or body may, within such period (not being less than one month) as the Council may have specified in the notice, make to the Council observations on the notice and any report sent with it or objections to the notice and report.

(7) As soon as may be after the expiration of the period specified under subsection (6) above the Council shall determine whether or not to withdraw their approval of the establishment or qualification, taking into account any observations or objections duly made under that subsection.

(8) The Council shall give notice in writing of any decision under this section to withdraw approval of an establishment or qualification to the establishment or body concerned and the decision shall not take effect until the expiration of one month from the date of the giving of the notice or, if during that time that establishment or body makes representations with respect to the decision to the Privy Council, until the representations are finally dealt with.

(9) Where an establishment has been approved as suitable for more than one purpose, the Council, instead of entirely withdrawing approval of the establishment , may withdraw approval in relation to one or some of the purposes only and references in this section to the withdrawal of approval shall be construed accordingly.

(10) Where the Council have decided to withdraw approval of an establishment or a qualification (whether entirely or to a limited extent), the Privy Council, on representations being made to them within one month from the giving of notice of the decision may, if they think fit, after considering the representations and after communicating with the Council, order the Council to annul the withdrawal of approval or, in the case of an establishment approved as suitable for more than one purpose, to withdraw approval in relation to one or some of the purposes only.

(11) The Council may pay to visitors appointed under this section such fees and such travelling and subsistence allowances, to be paid as part of the expenses of the Council, as the Council may ... determine.

Section 13A The Council’s duty to provide guidance on fitness to practise

(1) The Council shall—

(a) provide, in such manner as the Council considers appropriate, guidance for registered optometrists, registered dispensing opticians and student registrants, on matters relating to fitness to practise or, in the case of a student registrant, fitness to undertake training, and in particular on the standards of conduct and performance expected of them; and

(b) establish and keep under review effective arrangements to protect members of the public from registered optometrists, registered dispensing opticians and student registrants whose fitness to practise or, in the case of a student registrant, fitness to undertake training, is impaired.

(2) The Council shall—

(a) provide, in such manner as the Council considers appropriate, guidance to business registrants on matters relating to fitness to carry on business as an optometrist or a dispensing optician or both, and in particular on the standards of conduct and performance expected of such registrants in carrying on that business; and

(b) establish and keep under review effective arrangements to protect the public from business registrants whose fitness to carry on business as an optometrist or a dispensing optician or both is impaired.

(3) Before issuing guidance or varying guidance already issued under this section, the Council shall consult groups which, in the Council ’s opinion, are representative of registrants or of persons with an interest in the subject matter of the guidance.

(4) The Council shall keep under review, and revise as appropriate, guidance provided by them under this section.

Section 13B The Council’s power to require disclosure of information

(1) For the purpose of assisting the Council or any of their Committees in carrying out any of their functions under this Act relating to—

(a) a registered optometrist’s or a registered dispensing optician’s fitness to practise;

(b) a business registrant’s fitness to carry on business as an optometrist or a dispensing optician or both; or

(c) a student registrant’s fitness to undertake training,

the Council may require a registrant or any other person to supply any information or produce any document which appears to the Council relevant to the discharge of those functions.

(2) As soon as reasonably practicable after the date on which an allegation has been made to the Council relating to a registered optometrist’s or registered dispensing optician’s fitness to practise or a student registrant’s fitness to undertake training, the Council shall require, from the registrant to whom the allegation relates, particulars of any person who employs him.

(3) Nothing in this section shall require or permit any disclosure of information which is prohibited by or under any other enactment or the UK GDPR ; but if information is held in a form in which the prohibition operates because the information is capable of identifying an individual, the Council may, in exercising their functions under subsection (1) above, require that the information be put into a form which is not capable of identifying that individual.

(4) In determining for the purposes of subsection (3) whether a disclosure is prohibited, it is to be assumed for the purposes of paragraph 5(2) of Schedule 2 to the Data Protection Act 2018 and paragraph 3(2) of Schedule 11 to that Act (exemptions from certain provisions of the data protection legislation: disclosures required by law) that the disclosure is required by this section.

(5) Subsection (1) above does not apply in relation to the supplying of information or the production of a document which a person could not be compelled to supply or produce in civil proceedings before—

(a) the Court of Session, if the person’s address in the appropriate register is in Scotland, or if he is not registered, if he is resident in Scotland;

(b) the High Court of Justice in Northern Ireland, if the person’s address in the appropriate register is in Northern Ireland, or if he is not registered, if he is resident in Northern Ireland; or

(c) the High Court of Justice in England and Wales, if the person’s address in the appropriate register is in England or Wales, or if he is not registered, he is resident in England or Wales.

(6) If a person fails to supply any information or produce any document within fourteen days of his being required to do so under subsection (1) above, the Council may seek an order of the relevant court requiring the information to be supplied or the document to be produced.

(7) In subsection (6) above, “relevant court” means the county court or, in Scotland, the sheriff.

(8) In subsection (7) above, “the sheriff” means the sheriff in whose sheriffdom is situated the address of the person who fails to supply the information or produce the document.

(9) For the purposes of subsection (3) above, “enactment” includes—

(a) a provision of, or an instrument made under, an Act of the Scottish Parliament;

(b) a provision of, or an instrument made under, Northern Ireland legislation; and

(c) a provision of subordinate legislation (within the meaning of the Interpretation Act 1978).

(10) In this section, “ the UK GDPR ” has the same meaning as in Parts 5 to 7 of the Data Protection Act 2018 (see section 3(10) and (14) of that Act).

Section 13C Notification and disclosure by the Council

(1) As soon as is reasonably practicable after an allegation is received by the Council relating to a registered optometrist’s or registered dispensing optician’s fitness to practise or, in the case of a business registrant, its fitness to carry on business as an optometrist or a dispensing optician or both, or in the case of a student registrant, his fitness to undertake training, they shall notify the persons specified in subsection (2) below of an investigation under this Part by the Council or any of its Committees of—

(a) a registered optometrist’s or a registered dispensing optician’s fitness to practise;

(b) a business registrant’s fitness to carry on business as an optometrist or a dispensing optician, or to carry on both businesses; or

(c) a student registrant’s fitness to undertake training.

(2) The persons specified in this subsection are—

(a) the Secretary of State, the Scottish Ministers, the Department of Health, Social Services and Public Safety in Northern Ireland and the National Assembly for Wales; and

(b) any person in the United Kingdom of whom the Council are aware by whom the registered optometrist, registered dispensing optician or student registrant is employed.

(3) The Council may disclose to any person any information relating to—

(a) a registered optometrist’s or a registered dispensing optician’s fitness to practise;

(b) a business registrant’s fitness to carry on business as an optometrist or a dispensing optician, or to carry on both businesses; or

(c) a student registrant’s fitness to undertake training,

which they consider it to be in the public interest to disclose.

Section 13D Allegations

(1) This section applies where an allegation is made to the Council against—

(a) a registered optometrist or a registered dispensing optician that his fitness to practise is or may be impaired;

(b) a business registrant that its fitness to carry on business as an optometrist or a dispensing optician, or both, is or may be impaired; or

(c) a student registrant that his fitness to undertake training as an optometrist or a dispensing optician is or may be impaired.

(2) The only grounds upon which the fitness to practise of a registered optometrist or registered dispensing optician, or the fitness to undertake training of a student registrant, is “impaired” for the purposes of this Act are—

(a) misconduct;

(b) except in the case of a student registrant, deficient professional performance;

(c) a conviction or caution in the British Islands for a criminal offence, or a conviction elsewhere for an offence which, if committed in England and Wales, would constitute a criminal offence;

(d) the registrant having 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) the registrant, in proceedings in Scotland for an offence, having been the subject of an order under section 246(2) or (3) of the Criminal Procedure (Scotland) Act 1995 discharging him absolutely;

(f) adverse physical or mental health; or

(g) a determination by a body in the United Kingdom responsible under any enactment for the regulation of a health or social care profession to the effect that his fitness to practise as a member of that profession is impaired, or a determination by a regulatory body elsewhere to the same effect.

(3) The only grounds upon which a business registrant’s fitness to carry on business as an optometrist or a dispensing optician or to carry on both businesses is impaired for the purposes of this Act are—

(a) misconduct by the business registrant or by one of its directors;

(b) practices or patterns of behaviour occurring within the business which—

(i) the registrant knew or ought reasonably to have known of; and

(ii) amount to misconduct or deficient professional performance;

(c) the instigation by the business registrant of practices or patterns of behaviour within the business where that practice or behaviour amounts, or would if implemented amount, to misconduct or deficient professional performance;

(d) a conviction or caution in the British Islands of the business registrant or one of its directors for a criminal offence, or a conviction elsewhere for an offence which, if committed in England or Wales, would constitute a criminal offence;

(e) the registrant or one of its directors having accepted a conditional offer under section 302 of the Criminal Procedure (Scotland) Act 1995 or agreed to pay a penalty under section 115A of the Social Security Administration Act 1992;

(f) the registrant or one of its directors, in proceedings in Scotland for an offence, having been the subject of an order under section 246(2) or (3) of the Criminal Procedure (Scotland) Act 1995 discharging it or him absolutely;

(g) a determination by a body in the United Kingdom responsible under any enactment for the regulation of a health or social care profession to the effect that—

(i) the business registrant’s fitness to carry on business as a member of that profession is impaired; or

(ii) the fitness of a director of the business registrant to practise that profession is impaired,

or a determination by a regulatory body elsewhere to the same effect.

(4) For the purposes of this section—

(a) references to a conviction include a conviction by court martial; and

(b) the allegation may refer to acts or omissions which occurred outside the United Kingdom or at a time when the registrant was not registered.

(5) The Investigation Committee shall investigate the allegation made against the registrant and decide whether it ought to be considered by the Fitness to Practise Committee.

(6) If the Investigation Committee decide that the allegation ought to be considered by the Fitness to Practise Committee—

(a) they shall give a direction to that effect to the registrar;

(b) the registrar shall refer the allegation to the Fitness to Practise Committee; and

(c) the registrar shall serve a notification of the Investigation Committee’s decision on the registrant who, or which, is the subject of the allegation, and on the person making the allegation.

(7) If the Investigation Committee decide that the allegation ought not to be considered by the Fitness to Practise Committee, they may give a warning to the registrant who, or which, is subject to the allegation regarding his, or its, future conduct or performance.

(7A) In deciding whether to give a warning under subsection (7), the Investigation Committee must have regard to the over-arching objective.

(8) If the Investigation Committee decide that the allegation ought not to be considered by the Fitness to Practise Committee and that no warning is to be given under subsection (7) above—

(a) they shall give a direction to that effect to the registrar; and

(b) the registrar shall serve a notification of the Committee’s decision on the registrant who, or which, is the subject of the allegation, on the person making the allegation and on those persons specified in section 13C(2) above.

(9) If the Investigation Committee are of the opinion that the Fitness to Practise Committee should consider making an order for interim suspension or interim conditional registration under section 13L below in relation to the registrant who, or which, is the subject of the allegation—

(a) they shall give a direction to that effect to the registrar;

(b) the registrar shall refer the matter to the Fitness to Practise Committee for the Committee to decide whether to make such an order; and

(c) the registrar shall serve notification of the decision on the registrant who, or which, is the subject of the allegation, and on the person making the allegation.

(10) In this section—

(a) “enactment” includes—

(i) a provision of, or an instrument made under, an Act of the Scottish Parliament;

(ii) a provision of, or an instrument made under, Northern Ireland legislation; and

(iii) a provision of subordinate legislation (within the meaning of the Interpretation Act 1978); and

(b) “regulatory body” means a regulatory body which has the function of authorising persons to practise as a member of a health or social care profession.

Section 13E Provisions supplementary to section 13D

(1) The Council may make rules providing for—

(a) the registrar; or

(b) any other officer of the Council ,

to exercise the functions of the Investigation Committee under section 13D above, either generally or in relation to such classes of case as may be specified in the rules.

(2) If those rules enable the registrar to exercise the functions of the Investigation Committee under subsections (6), (8) or (9) of section 13D above, those subsections shall apply in relation to him as if paragraph (a) in each of them were omitted.

(3) Section 13D above also applies in any case where—

(a) it comes to the attention of the Council that—

(i) a registered optometrist’s or registered dispensing optician’s fitness to practise;

(ii) a business registrant’s fitness to carry on business as an optometrist or a dispensing optician or both; or

(iii) a student registrant’s fitness to undertake training,

is, or may be, impaired by one or more of the matters mentioned in section 13D(2) above or, as the case may be, section 13D(3) above, but

(b) no allegation to that effect has been made to the Council against that registrant,

and in such cases this Act and rules made under this Act shall apply as if an allegation to that effect has been made to the Council under section 13D above against the registered optometrist, registered dispensing optician, student registrant or, as the case may be, business registrant, and any reference to the person making an allegation shall be disregarded.

Section 13F Powers of the Fitness to Practise Committee

(1) Where an allegation against a registrant is referred under section 13D above (other than under subsection (9) of that section) to the Fitness to Practise Committee, subsections (2) to (5) below shall apply.

(2) If the Fitness to Practise Committee find that—

(a) a registered optometrist’s or registered dispensing optician’s fitness to practise is impaired;

(b) a business registrant’s fitness to carry on business as an optometrist or a dispensing optician or both is impaired; or

(c) a student registrant’s fitness to undertake training is impaired,

they may if they think fit give a direction specified in subsection (3) or (4) below.

(3) The directions specified in this subsection are that—

(a) except in a health case, the name of the registrant be erased from the appropriate register;

(b) the registrant’s registration be suspended (that is to say, is not to have effect) during such period not exceeding twelve months as may be specified in the direction;

(c) the registrant’s registration is to be conditional on his or its compliance, during such period not exceeding three years as may be specified in the direction, with such requirements so specified as the Committee see fit to impose for the protection of members of the public or in his or its interests.

(4) Where the Fitness to Practise Committee find that a registered optometrist’s or registered dispensing optician’s fitness to practise is impaired on the ground of deficient professional performance, and the deficiency relates to the performance of a specialty or proficiency particulars of which are entered in the appropriate register in respect of him, the Committee may, instead of any of the directions specified in subsection (3) above or, in addition to any of the directions specified in subsection (3)(b) or (c) above, direct that—

(a) the entry relating to that specialty or proficiency be removed from the appropriate register;

(b) the entry relating to that specialty or proficiency be removed from the appropriate register temporarily, that is to say, for such period not exceeding twelve months as may be specified in the direction; or

(c) the entry relating to that specialty or proficiency be conditional upon the registered optometrist’s or registered dispensing optician’s compliance, during such period not exceeding three years as may be specified in the direction, with such requirements so specified as the Committee see fit to impose for the protection of members of the public or in his interests.

(5) If the Fitness to Practise Committee find that—

(a) the registered optometrist’s or the registered dispensing optician’s fitness to practise is not impaired;

(b) the business registrant’s fitness to carry on the business of an optometrist or a dispensing optician or both is not impaired; or

(c) the student registrant’s fitness to undertake training is not impaired,

they may nevertheless give the registrant a warning regarding his or its future conduct or performance.

(6) Subsection (7) below applies if the Fitness to Practise Committee have directed that the registration of a registrant be suspended under subsection (3) above or (13) below.

(7) If this subsection applies, the Fitness to Practise Committee may, if they think fit—

(a) direct that the current period of suspension be extended for such further period from the time when it would otherwise expire as is specified in the direction;

(b) except in a case to which subsection (8) below applies, direct that the name of the registrant be erased from the appropriate register;

(c) direct that the registrant’s registration is, as from the expiry of the current period of suspension, to be conditional on his or its compliance, during such period not exceeding three years as may be specified in the direction, with such requirements so specified as the Committee think fit to impose for the protection of members of the public or in his or its interests,

but, except as provided in subsection (8) below, the Committee shall not extend any period of suspension under this section for more than twelve months at a time.

(8) In a case where—

(a) the Fitness to Practise Committee find that the registered optometrist's, the registered dispensing optician’s or the student registrant’s impairment is due to adverse physical or mental health; and

(b) that person’s name has been suspended from the appropriate register under the preceding provisions of this section,

they may give a direction extending his period of suspension indefinitely if the conditions specified in subsection (9) below are satisfied.

(9) The conditions specified in this subsection are—

(a) the period of suspension will, on the date on which the direction takes effect, have lasted for at least two years; and

(b) that direction is made not more than two months before the date on which the period of suspension would otherwise expire.

(10) Where the Fitness to Practise Committee have given a direction under subsection (8) above extending indefinitely the suspension of a person’s name from the appropriate register, the Fitness to Practise Committee must review the direction if—

(a) the person requests them to do so;

(b) at least two years have elapsed since the date on which the direction took effect; and

(c) in a case where the direction has previously been reviewed under this subsection, at least two years have elapsed since the date of the last such review.

(11) On a review under subsection (10) above, the Fitness to Practise Committee may—

(a) confirm the direction;

(b) direct that the suspension be terminated; or

(c) direct that the registrant’s registration be conditional on his or its compliance, during such period not exceeding three years as may be specified in the direction, with such requirements so specified as the Committee see fit to impose for the protection of members of the public or in his or its interests.

(12) Where a direction that the inclusion of a person’s name in the appropriate register be subject to conditions has been given under subsection (3), (7) or (11) above, subsection (13) below applies.

(13) If this subsection applies, the Fitness to Practise Committee may (whether or not of their own motion), if they think fit—

(a) except in a health case, direct that the name of the registrant be erased from the appropriate register;

(b) direct that a registrant’s registration in the appropriate register be suspended during such period not exceeding twelve months as may be specified in the direction;

(c) direct that the current period of conditional registration be extended for such further period from the time when it would otherwise expire as may be specified in the direction; or

(d) revoke the direction, or revoke or vary any of the conditions imposed by the direction, for the remainder of the current period of conditional registration,

but the Committee must not extend any period of conditional registration under this section for more than three years at a time.

(14) Subsections (6) to (13) above shall apply—

(a) to the temporary removal of an entry relating to a specialty or proficiency under subsection (4)(b) above as they apply to a registrant’s registration being suspended under subsection (3)(b) above; and

(b) to an entry relating to a specialty or proficiency being made conditional under subsection (4)(c) above as they apply to a registrant’s registration being made conditional under subsection (3)(c) above.

(15) Where subsection (6) to (13) above apply by virtue of subsection (14) above—

(a) references in subsections (7)(b) and (13)(a) above and section 13G(1) below to the name of a registrant being erased from the appropriate register shall be read as if it included a reference to the removal from the appropriate register (otherwise than temporarily) of an entry relating to a specialty or proficiency;

(b) references in subsections (7) to (11) above and section 13G(1) and (2) below to a period of suspension or suspension shall be read as if it included a reference to a period of time specified for the temporary removal or temporary removal from the appropriate register of an entry relating to a specialty or proficiency;

(c) references in subsection (13) above and section 13G(1), (4) and (5) below to being suspended shall be read as if it included a reference to an entry relating to a specialty or proficiency being removed from the appropriate register for a specified period; and

(d) references in subsections (7), (11) and (13) above and section 13G(1) and (2) below to a registrant’s registration being conditional or to conditional registration shall be read as if it included a reference to an entry relating to a specialty or proficiency being conditional.

Section 13G Provisions supplementary to section 13F

(1) If, under section 13F above, the Fitness to Practise Committee—

(a) give a direction—

(i) that a registrant’s name be erased from the appropriate register;

(ii) for suspension; or

(iii) for conditional registration; or

(b) vary any of the conditions imposed by a direction for conditional registration,

the registrar must forthwith serve on the registrant concerned notification of the direction or variation, and of the registrant’s right to appeal against it under section 23G below.

(2) In subsection (1) above references to—

(a) a direction for suspension include a reference to a direction extending a period of suspension; and

(b) a direction for conditional registration include a reference to a direction extending a period of conditional registration.

(3) While a registrant’s registration in the appropriate register is suspended by virtue of a direction under section 13F above—

(a) the registrant shall be treated, except as provided in subsection (4) below, as not being registered in the appropriate register and the registrar shall make a note in the appropriate register of that fact and of the period for which the registration is to be suspended, but

(b) sections 13D, 13E and 13F above, this section and section 13H below shall continue to apply to the individual or body whose registration is suspended.

(4) An individual registrant shall be treated for the purposes of compliance with rules made under sections 11A and 11B above as if his registration in the appropriate register was not suspended.

(5) The registrar shall erase any note made under subsection (3)(a) above when the direction for suspension ceases to have effect.

(6) In section 13F above and section 13H below, “health case” means any case in which the Fitness to Practise Committee has determined that a registered optometrist’s or registered dispensing optician’s fitness to practise or a student registrant’s fitness to undertake training—

(a) is impaired by reason of a matter falling within paragraph (f) of subsection (2) of section 13D above, but

(b) is not impaired by any matter falling within any other paragraph of that subsection.

Section 13H Financial penalty order

(1) In any case other than a health case in which the Fitness to Practise Committee have the power to impose a direction under section 13F above, they may impose, either in addition to the direction or instead of it, a financial penalty order.

(2) A financial penalty order may specify any sum not exceeding the maximum penalty.

(3) In this section, the “maximum penalty” means a sum not exceeding £50,000 or such higher sum as may be substituted by an order made under subsection (4) below.

(4) If it appears to the Council that there has been a change in the value of money since the last occasion when the financial penalty was fixed, whether by this section or by an order under this section, the Council may by order amend subsection (3) above so as to substitute for the sum for the time being specified in subsection (3) above such other sum as appears to the Council justified by the change.

(5) The Council shall publish an order made under subsection (4) above in such form as they consider appropriate.

(6) An amendment made by order under subsection (4) above shall not apply where the event which gave rise to the allegation occurred before the order came into force.

(7) A financial penalty order shall specify the period within which the sum specified in it is to be paid.

(8) The Council may recover the sum specified in a financial penalty order from the person or body against whom the order was made if that person or body does not comply with it within the period specified in the order.

(9) The Council shall pay any sum paid under a financial penalty order or recovered under subsection (8) above into the Consolidated Fund.

Section 13I Power to order immediate suspension etc. after a finding of impairment of fitness to practise

(1) On giving—

(a) a direction for erasure or a direction for suspension under section 13F(2) above; or

(b) a direction for removal from the appropriate register of an entry relating to a specialty or proficiency under section 13F(4)(a) or (b) above,

the Fitness to Practise Committee, if satisfied that to do so is—

(i) necessary for the protection of members of the public;

(ii) otherwise in the public interest; or

(iii) in the best interests of the individual or body corporate,

may order that the registration of the registrant shall be suspended forthwith or, in the case of an entry relating to a specialty or proficiency, that the removal from the register of the entry relating to the specialty or proficiency take place forthwith in accordance with this section.

(2) On giving—

(a) a direction for conditional registration under section 13F(2) above; or

(b) a direction that an entry in the register relating to a specialty or proficiency be made conditional under section 13F(4)(c) above,

the Fitness to Practise Committee, if satisfied that to do so is—

(i) necessary for the protection of members of the public;

(ii) otherwise in the public interest; or

(iii) in the best interests of the individual or body corporate,

may order that the registration of the registrant be made conditional forthwith or, in the case of an entry relating to a specialty or proficiency, that the entry in the register relating to the specialty or proficiency be made conditional forthwith, in accordance with this section.

(3) Where, on the giving of a direction mentioned in subsection (1) or (2) above, an order under subsection (1) or (2) above is made in respect of a registrant, the registration in the appropriate register of that individual or body shall, subject to subsection (4) below, be suspended (that is to say, shall not have effect) or made conditional, as the case may be, or in the case of an entry in the register relating to a specialty or proficiency, removed or made conditional, from the time when the order is made until the time when—

(a) the direction takes effect in accordance with section 23H below; or

(b) an appeal against it under section 23G below is (otherwise than by the dismissal of the appeal) determined.

(4) Where the Fitness to Practise Committee make an order under subsection (1) or (2) above, the registrar shall forthwith serve a notification of the order on the individual to whom, or body corporate to which, it applies.

(5) If, when an order under subsection (1) or (2) above is made, the individual to whom, or body to which, it applies is neither present nor represented at the proceedings, subsection (3) above shall have effect as if, for the reference to the time when the order is made, there were substituted a reference to the time of service of a notification of the order as determined for the purposes of section 23A below.

(6) Except as provided in subsection (7) below, while the registration of an individual or body corporate is suspended from the appropriate register by virtue of subsection (1) above, the individual or body shall be treated as not being registered in the appropriate register notwithstanding that his or its name still appears in any published copy of the appropriate register.

(7) Notwithstanding subsection (6) above—

(a) sections 13D to 13H above shall continue to apply to an individual or body corporate whose registration in the appropriate register is suspended; and

(b) an individual registrant shall be treated for the purposes of compliance with rules made under sections 11A and 11B above as if his registration were not suspended.

(8) The relevant court may revoke any order imposed under subsection (1) or (2) above, and the decision of the court on any application under this subsection shall be final.

(9) In subsection (8) above, “relevant court” means—

(a) in the case of a person whose address in the appropriate register is, or if he were registered would be, in Scotland, means the Court of Session;

(b) in the case of a person whose address in the appropriate register is, or if he were registered would be, in Northern Ireland, means the High Court of Justice in Northern Ireland; and

(c) in the case of any other person, means the High Court of Justice in England and Wales.

Section 13J Removal from a register on grounds of fraud or error

(1) If it is proved to the satisfaction of the Fitness to Practise Committee that the entry of a person’s name in a register has been fraudulently procured or incorrectly made, or that an entry relating to a specialty or proficiency has been fraudulently procured or incorrectly made in a register, the Committee may, if they think fit, direct that the person’s name or, as the case may be, entry, be removed.

(2) Where the Fitness to Practise Committee direct that a person’s name or entry relating to a specialty or proficiency shall be removed from a register under this section, the registrar shall serve a notification of the direction on that person and of that person’s right of appeal against it in accordance with section 23G below.

Section 13K Restoration of names to a register

(1) A person whose name has been erased from a register under section 13F above or who has had an entry relating to a specialty or proficiency removed under section 13F above (otherwise than for a specified period) may apply to the registrar for his name, or his entry relating to a specialty or proficiency, to be restored to the appropriate register.

(2) No application for the restoration of a name, or an entry relating to a specialty or proficiency, to the appropriate register under this section shall be considered by the Registration Appeals Committee—

(a) before the expiration of two years from the date of erasure or removal of an entry; or

(b) during any period of twelve months after any previous such application.

(3) Subject to subsection (4), the registrar shall refer an application under this section to the Registration Appeals Committee.

(4) An application is invalid if made earlier than—

(a) twenty two months after the date of erasure or removal of an entry relating to a specialty or proficiency; or

(b) ten months after determination of a previous application for restoration.

(5) An application for restoration under this section may be for—

(a) restoration to the register from which the applicant’s name was erased, or the entry relating to a specialty or proficiency was removed; or

(b) admission to a different register or, in the case of an entry relating to a specialty or proficiency, inclusion of the entry in a different register,

but in the case of an application for restoration of an entry relating to a specialty or proficiency, an application may only be made for restoration of the entry to a register in which the applicant’s name is or will be included.

(6) Subject to subsections (2) and (5) above, the Registration Appeals Committee may, if they think fit, on an application made under this section, direct the registrar to restore the person’s name, or the entry relating to a specialty or proficiency, to the appropriate register.

(7) Before determining whether to give a direction under this section, the Registration Appeals Committee shall require an applicant for restoration to provide such evidence as they consider appropriate as to his fitness to practise or fitness to undertake training or, as the case may be, the fitness of the body corporate to carry on the business of an optometrist or a dispensing optician or both; and they must not give such a direction if that evidence does not satisfy them.

(8) If, during the same period of erasure, a second or subsequent application for the restoration to the appropriate register of a name or an entry relating to a specialty or proficiency, made by or on behalf of the individual or body corporate whose name has been erased or whose entry relating to a specialty or proficiency has been removed, is unsuccessful, the Registration Appeals Committee may direct that the individual’s or body’s right to make any further such applications shall be suspended indefinitely.

(9) Where the Registration Appeals Committee give a direction under subsection (8) above, the registrar shall forthwith serve on the person in respect of whom it has been made a notification of the direction and of the person’s right to appeal against it in accordance with section 23G below.

(10) Any person in respect of whom a direction has been given under subsection (8) above may, after the expiration of two years from the date on which the direction was given, apply to the registrar for that direction to be reviewed by the Registration Appeals Committee and, thereafter, may make further applications for review; but no such application may be entertained before the expiration of three years from the date of the most recent review decision.

Section 13L Interim orders

(1) Where the Fitness to Practise Committee are satisfied that it is necessary for the protection of members of the public or is otherwise in the public interest, or is in the interests of a registrant, for—

(a) his registration to be suspended or to be made subject to conditions; or

(b) an entry relating to a specialty or proficiency to be removed temporarily or made subject to conditions,

the Committee may make an order specified in subsection (2) below.

(2) The orders specified in this subsection are that—

(a) the registrant’s registration in the appropriate register shall be suspended (that is to say, shall not have effect), or that an entry relating to a specialty or proficiency of his shall be removed, during such period not exceeding eighteen months as may be specified in the order (an “interim suspension order”); or

(b) his registration or entry relating to a specialty or proficiency shall be conditional on his compliance, during such period not exceeding eighteen months as may be specified in the order, with such requirements so specified as the Committee think fit to impose (an “order for interim conditional registration”).

(3) Subject to subsection (9) below, if the Fitness to Practise Committee make an order under subsection (1) above, the Committee—

(a) must review that order within the period of six months beginning on the date on which the order was made, and must also, for so long as the order remains in force, further review it—

(i) before the end of the period of six months beginning on the date of the immediately preceding decision, or

(ii) if after the end of the period of three months beginning on the date of the decision of the immediately preceding review, the person concerned requests an earlier review, as soon as practicable after that request; and

(b) may review it if new evidence relevant to the order becomes available after the order is made.

(4) Where an interim suspension order or an order for interim conditional registration has been made in relation to a person under any provision of this section (including this subsection), the Fitness to Practise Committee may—

(a) revoke the order or revoke the condition imposed by the order;

(b) vary any condition imposed by the order; or

(c) if satisfied that to do so is necessary for the protection of members of the public or is otherwise in the public interest, or is in the interests of that person, replace—

(i) an order for interim conditional registration with an interim suspension order having effect for the remainder of the term of the former; or

(ii) an interim suspension order with an order for interim conditional registration having effect for the remainder of the term of the former.

(5) If an order is made under any provision of this section, the registrar shall forthwith serve a notification of the order on the person.

(6) The Council may apply to the relevant court for an order made by the Fitness to Practise Committee under subsection (1) or (4) above to be extended, and may apply again for further extensions.

(7) On such an application the relevant court may extend (or further extend) for up to twelve months the period for which the order has effect.

(8) Any references in this section to an interim suspension order, or to an order for interim conditional registration, include a reference to such an order as extended under subsection (7) above.

(9) For the purposes of subsection (3) above the first review after the relevant court’s extension of an order made by the Fitness to Practise Committee, or after the Fitness to Practise Committee makes a replacement order under subsection (4)(c) above, shall take place—

(a) if the order (or the order which has been replaced) had not been reviewed at all under subsection (3) above, within the period of six months beginning on the date on which the relevant court ordered the extension or on which a replacement order under subsection (4)(c) above was made; and

(b) if it had been reviewed under the provision, within the period of three months beginning on that date.

(10) Where an order has effect under any provision of this section, the relevant court may—

(a) in the case of an interim suspension order, terminate the suspension, or temporary period of removal in the case of an entry relating to a specialty or proficiency;

(b) in the case of an order for interim conditional registration, revoke or vary any condition imposed by the order; or

(c) in either case, substitute for the period specified in the order (or in the order extending it) some other period which could have been specified in the order when the Order was made,

and the decision of the relevant court under any application under this subsection shall be final.

(11) If an order is made in relation to any person under any provision of this section, the Fitness to Practise Committee shall (if the order remains in effect at the time of the hearing of the allegation against the person before the Committee) revoke that order immediately after it has determined the allegation in accordance with section 13F above and rules made under section 23C below.

(12) The revocation of an interim suspension order or an order for interim conditional registration under subsection (11) shall take effect forthwith.

Section 13M Provisions supplementary to section 13L

(1) While a registrant’s registration in the appropriate register is suspended by virtue of an interim suspension order under this section—

(a) the registrant shall be treated, except as provided in subsection (2) below, as not being registered in the appropriate register, and the registrar shall make a note in the appropriate register of that fact and of the period for which the registration is to be suspended, but

(b) sections 13D to 13H above and this section shall continue to apply to the individual or body whose registration is suspended.

(2) An individual registrant shall be treated for the purposes of compliance with rules made under sections 11A and 11B above as if his registration in the appropriate register was not suspended.

(3) The registrar shall erase any note made under subsection (1)(a) above when the direction for suspension ceases to have effect.

(4) In section 13L above “the relevant court” means—

(a) in the case of a person whose address in the appropriate register is, or if he were registered would be, in Scotland, means the Court of Session;

(b) in the case of a person whose address in the appropriate register is, or if he were registered would be, in Northern Ireland, means the High Court of Justice in Northern Ireland; and

(c) in the case of any other person, means the High Court of Justice in England and Wales.

Section 13AA Information to be provided to specified state professionals

(1) The Council must make information about the following matters available to specified state professionals—

(a) the relevant laws to be applied regarding disciplinary action, financial responsibility or liability and other relevant matters;

(b) the principles of discipline and enforcement of professional standards, including disciplinary jurisdiction and consequential effects on practising professional activities;

(c) the processes and procedures for the ongoing verification of competence;

(d) the criteria for, and procedures relating to, erasure or removal from the appropriate register;

(e) the documentation required of specified state professionals and the form in which it should be presented; and

(f) the documents and certificates issued in relation to professional qualifications or other conditions that apply to the practice of registered optometrists or registered dispensing opticians that are acceptable to the Council.

(2) The Council must deal promptly with enquiries from specified state professionals about conditions that apply to the practice of registered optometrists or registered dispensing opticians.

Section 14 Disciplinary orders.

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Section 15 Suspension orders.

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Section 16 Penalty orders.

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Section 17 Powers of Disciplinary Committee.

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Section 18 Restoration of names erased as result of disciplinary cases etc.

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Section 19 Erasure from register and list on grounds of fraud or error.

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Section 20 Service of notifications.

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Section 21 Procedure of Disciplinary Committee.

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Section 22 Assessors to Disciplinary Committee.

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Section 23 Appeals in disciplinary and other cases.

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