- Y Diweddaraf sydd Ar Gael (Diwygiedig)
- Pwynt Penodol mewn Amser (27/03/2020)
- Gwreiddiol (a wnaed Fel)
Version Superseded: 14/09/2020
Point in time view as at 27/03/2020.
There are currently no known outstanding effects for the The National Health Service (General Dental Services Contracts) Regulations 2005.
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Regulation 15
1.—(1) A contractor which provides domiciliary services or sedation services under the contract may only provide those services—
(a)to a person to whom it is providing an entire course of treatment, during that course of treatment; or
(b)as a referral service.
(2) A contractor may only provide advanced mandatory services under the contract as a referral service.
(3) In this paragraph, “entire course of treatment” means a course of treatment provided by only the contractor.
2.—(1) A contractor which provides one or more of the additional services specified in paragraph 1 as a referral service shall, at the time of the first examination of the patient, ensure that the patient is provided with a referral treatment plan on a form supplied for that purpose by [F1the Board] which shall specify—
(a)the name of the patient;
(b)the name of the contractor;
(c)the particulars of the places where the patient will receive the referral service to be provided to him by the contractor;
(d)the telephone number at which the contractor may be contacted during its normal surgery hours;
(e)details of the services which are at the date of that examination considered to be necessary for the contractor to provide having regard to the reason for the referral; and
(f)any proposals the contractor may have for private services as an alternative to the services proposed under the contract, including particulars of the cost to the patient if he were to accept the provision of private services.
(2) If the patient having considered the referral treatment plan provided in accordance with sub-paragraph (1), decides to accept the provision of private services in place of all or part of services under the contract, the contractor shall ensure that the patient signs that plan in the appropriate place to indicate that he has understood the nature of private services to be provided and his acceptance of those private services.
(3) Where the services included in the referral treatment plan need to be varied for clinical reasons, the contractor shall provide the patient with a revised referral treatment plan in accordance with sub-paragraph (1).
(4) The contractor shall, subject to the termination of the contract, or being unable to complete a course of treatment in accordance with paragraph 6(5) or (6) of Schedule 3 (course of treatment), provide the services which are detailed in the referral treatment plan, or where a revised treatment plan is provided pursuant to sub-paragraph (3), pursuant to that revised treatment plan.
(5) This paragraph shall not apply where a patient has been referred to the contractor for advanced mandatory services limited only to examination and advice, and the contractor only provides examination and advice in respect of that patient.
Textual Amendments
F1Words in Sch. 1 para. 2(1) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 18(2) (with Sch. 1)
3. The contractor shall provide sedation services to a patient in accordance with the recommendations contained in the report of the Standing Dental Advisory Committee entitled “Conscious Sedation in the Provision of Dental Care”M1, in so far as those recommendations and guidelines are relevant to—
(a)the type of sedation being administered; and
(b)the patient to whom the sedation is being administered.
Marginal Citations
M1The Standing Dental Advisory Committee is a statutory body established under section 6 of the Act. A copy of the Report can be obtained at www.dh.gov.uk/PublicationsAndStatistics/Publications/PublicationsPolicyAndGuidance/PublicationsPolicyAndGuidanceArticle.
4.—(1) A contract that includes the provision of orthodontic services shall specify that orthodontic services may be provided to—
(a)only persons who are under the age of 18 years at the time of the case assessment;
(b)only persons who have attained or are over the age of 18 years at the time of the case assessment; or
(c)persons falling within paragraph (a) or (b).
(2) Where a contract specifies the matters referred to in sub-paragraph (1)(b) or (1)(c), it shall in addition specify the circumstances in which orthodontic services may be provided to a person over the age of 18 years at the time of a case assessment.
(3) The contractor shall only provide orthodontic treatment to a person who is assessed by the contractor following a case assessment as having a treatment need in—
(a)grade 4 or 5 of the Dental Health Component of the Index of Orthodontic Treatment Need M2; or
(b)grade 3 of the Dental Health Component of that Index with an Aesthetic Component of 6 or above,
unless the contractor is of the opinion, and has reasonable grounds for its opinion, that orthodontic treatment should be provided to a person who does not have such a treatment need by virtue of the exceptional circumstances of the dental and oral condition of the person concerned.
(4) In a case where a person does not have a treatment need but the contractor has reasonable grounds for its opinion that orthodontic treatment should be provided to that person because of the exceptional circumstances of the dental and oral condition of that person, such treatment as is referred to in sub-paragraph (3) may be provided.
Marginal Citations
M2The Development of an Index for Orthodontic Treatment Priority: European Journal of Orthodontics 11, p309-332, 1989 Brooke PH and Shaw WC. The article is available at www.dh.gov.uk.
5.—(1) Subject to sub-paragraph (2), the contractor shall provide orthodontic services to a patient by providing to that patient an orthodontic course of treatment.
(2) The contractor may provide orthodontic services that are not provided by virtue of an orthodontic course of treatment where—
(a)it provides a repair to an orthodontic appliance of a person; and
(b)the orthodontic course of treatment in which that orthodontic appliance was provided is being provided by another contractor, hospital or relevant service provider under Part 1 of the Act.
(3) The contractor shall use its best endeavours to ensure that an orthodontic course of treatment is completed within a reasonable time from the date on which the orthodontic treatment plan was written in accordance with paragraph 6(1).
(4) If an orthodontic course of treatment is—
(a)terminated before it has been completed; or
(b)otherwise not completed within a reasonable time,
any further orthodontic services to be provided to that patient under the contract must be provided as a new orthodontic course of treatment.
(5) An orthodontic course of treatment may only be terminated by—
(a)the contractor where—
(i)the circumstances referred to in paragraph 3(1) of Schedule 3 (violent patients) occur and notice that it will no longer provide services has been given to [F2the Board];
(ii)the patient has refused to pay a charge in the circumstances referred to in paragraph 4 of Schedule 3 (refusal to pay NHS Charges during treatment); or
(iii)in the reasonable opinion of the contractor, there has been an irrevocable breakdown in the relationship between the patient and the contractor and, notice of such a breakdown has been given to the patient and [F3the Board];
(b)the patient; or
(c)a person specified in paragraph 1(2) of Schedule 3 acting on the patient's behalf.
Textual Amendments
F2Words in Sch. 1 para. 5(5)(a)(i) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 18(3) (with Sch. 1)
F3Words in Sch. 1 para. 5(5)(a)(iii) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 18(3) (with Sch. 1)
6.—(1) Where the contractor has, following a case assessment, determined that orthodontic treatment should be provided to a patient, it shall, at the time of that case assessment, ensure that the patient is provided with an orthodontic treatment plan on a form supplied for that purpose by [F4the Board] which shall specify—
(a)the name of the patient;
(b)the name of the contractor;
(c)particulars of the places where the patient will receive orthodontic treatment;
(d)the telephone number at which the contractor may be contacted during normal surgery hours;
(e)details of the orthodontic treatment which is, at the date of the examination, considered necessary to secure the oral health of the patient;
(f)the NHS charge, if any, in respect of those services if provided pursuant to the contract; and
(g)subject to paragraph 10 of Schedule 3 (mixing of services provided under the contract with private services), any proposals the contractor may have for private services as an alternative to the services proposed under the contract, including particulars of the cost to the patient if he were to accept the provision of private services.
(2) If the patient, having considered the treatment plan provided pursuant to sub-paragraph (1), decides to accept the provision of private services in place of orthodontic services under the contract, the contractor shall ensure that the patient signs the treatment plan in the appropriate place to indicate that he has understood the nature of private services to be provided and his acceptance of those private services.
(3) Where, for clinical reasons, the services included in the orthodontic treatment plan under sub-paragraph (1) need to be varied, the contractor shall provide the patient with a revised orthodontic treatment plan in accordance with that sub-paragraph.
(4) Subject to paragraphs 5(4) and (5), the contractor shall provide the orthodontic services which are detailed in the orthodontic treatment plan provided pursuant to sub-paragraph (1) or, where the orthodontic treatment plan is revised, pursuant to the revised orthodontic treatment plan.
Textual Amendments
F4Words in Sch. 1 para. 6(1) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 18(4) (with Sch. 1)
7.—(1) The contract shall require the contractor to monitor, in accordance with this paragraph, the outcome of the orthodontic treatment it provides.
(2) The contractor shall, in respect of orthodontic courses of treatment it provides in which orthodontic treatment is provided following the case assessment, monitor the outcome of that orthodontic treatment in accordance with sub-paragraph (3).
(3) The contractor shall monitor the outcome of orthodontic treatment in accordance with “Methods to determine outcome of orthodontic treatment in terms of improvement and standards”M3 in respect of—
(a)where the total number of cases is 20 or fewer, all the cases of orthodontic courses of treatment it provides; or
(b)where the total number of orthodontic courses of treatment provided is greater than 20—
(i)20 of the cases; and
(ii)in addition, 10 per cent of the number of cases over 20,
of orthodontic courses of treatment it provides.
(4) The contract shall specify the period of time which is relevant for calculating the number of orthodontic courses of treatment that need to be monitored in accordance with this paragraph.
(5) As part of its monitoring of the outcome of orthodontic treatment under sub-paragraph (2), the contractor shall, in respect of the patients whose courses of treatment are monitored calculate a peer assessment rating of the patient's study casts—
(a)taken at or after the case assessment but prior to the commencement of orthodontic treatment; and
(b)taken at the completion of the orthodontic course of treatment,
using either the Clinical Outcome Monitoring Program software M4 or by applying the methodology set out in “An introduction to Occlusal Indices”M5.
(6) In sub-paragraph (5), “peer assessment rating” means an index of treatment standards in which individual scores for the components of alignment and occlusion are summed to calculate an overall score comparing pre- and post- treatment M6.
Marginal Citations
M3European Journal of Orthodontics 14, p125-139, 1992 Richmond S, Shaw WC, Anderson M and Roberts CT. The article is available at www.dh.gov.uk.
M4Clinical Outcome Monitoring Program – Version 3.1 for Windows 98, XP and 2000. See also Weerakone S and Dhopatkar “A Clinical Outcome Monitoring Program (COMP): a new application for use in orthodontic audits and research”, American Journal of Orthodontics and Dentofacial Orthopaedics 2003;123:503-511.
M5Richmond, O'Brien, Buchanan and Burden, 1992, Victoria, University of Manchester, ISBN 1-898922-00-4.
M6A description of this methodology can be found in the European Journal of Orthodontics 14, p180-187, 1992, Richmond S, Shaw WC, Roberts CT and Andrews M: “Methods to determine the outcome of orthodontic treatment in terms of improvement and standards”.
8.—(1) The contractor shall indicate on the form supplied to [F5the Board] pursuant to paragraph 38 of Schedule 3 (notification of a course of treatment) whether or not the orthodontic course of treatment was completed.
(2) If [F5the Board] requests in writing that the contractor provides reasons for the failure to complete one or more orthodontic courses of treatment, the contractor shall, within such period as [F5the Board] may specify, provide the reasons for that failure.
(3) If [F6the Board]—
(a)determines that the number of orthodontic courses of treatment provided by the contractor which have not been completed is excessive; and
(b)does not consider that the reasons given by the contractor for the failure to complete the orthodontic courses of treatment are satisfactory,
it shall be entitled to exercise its powers under paragraph 73 of Schedule 3 on the grounds that the contractor is not, pursuant to paragraph 5(3) of this Schedule, using its best endeavours to ensure orthodontic courses of treatment are completed.
Textual Amendments
F5Words in Sch. 1 para. 8(1)(2) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 18(5) (with Sch. 1)
F6Words in Sch. 1 para. 8(3) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 18(5) (with Sch. 1)
Regulations 17 and 18
1.—(1) Where the contractor provides a banded course of treatment, the contractor provides the number of units of dental activity specified in the appropriate row of Table A.E+W
(2) Where a banded course of treatment is commenced but not completed for whatever reason, the appropriate number of units of dental activity provided shall be calculated on the basis of the components of the course of the treatment which has been—
(a)completed; and
(b)commenced but not completed.
[F7(3) Where a patient is referred by the contractor for advanced mandatory services to another provider of primary dental services, the appropriate number of units of dental activity provided by—
(a)that contractor; and
(b)the other provider of primary dental services, if that provider is also a contractor,
must be calculated on the basis of the components of the course of treatment which they actually provide, notwithstanding that the treatment constitutes a single banded course of treatment for charging purposes.]
Textual Amendments
2. Where the contractor provides a charge exempt course of treatment, the contractor provides the number of units of dental activity specified in the appropriate row of Table B.E+W
Units of dental activity provided under the contract in respect of banded courses of treatment.
Type of course of treatment | Units of dental activity provided |
---|---|
Band 1 course of treatment (excluding urgent treatment) | 1.0 |
Band 1 course of treatment (urgent treatment only) | 1.2 |
Band 2 course of treatment | 3.0 |
Band 3 course of treatment | 12.0 |
Units of dental activity provided under the contract in respect of charge exempt courses of treatment
Type of charge exempt course of treatment | Units of dental activity provided |
---|---|
F8. . . | F8. . . |
Repair of a dental appliance (denture) | 1.0 |
Repair of a dental appliance (bridge) | 1.2 |
Removal of sutures | 1.0 |
Arrest of bleeding | 1.2 |
[F9Conservation treatment of deciduous teeth in a patient who is aged under 18 years at the beginning of a course of treatment] | [F103.0] |
Textual Amendments
F8Words in Sch. 2 para. 2 Table B omitted (1.11.2012) by virtue of The National Health Service (Primary Dental Services) (Amendments Related to Units of Dental Activity) Regulations 2012 (S.I. 2012/2273), regs. 1, 2
F9Words in Sch. 2 para. 2 Table B added (1.4.2007) by The National Health Service (Dental Charges, General Dental Services Contracts and Personal Dental Services Agreements) Amendment Regulations 2007 (S.I. 2007/544), regs. 1(1), 4(a)
F10Words in Sch. 2para. 2 Table B added (1.4.2007) by The National Health Service (Dental Charges, General Dental Services Contracts and Personal Dental Services Agreements) Amendment Regulations 2007 (S.I. 2007/544), regs. 1(1), 4(b)
3.—(1) Where the contractor provides an orthodontic course of treatment to a patient that solely consists of a case assessment, the contractor provides 1.0 unit of orthodontic activity.E+W
(2) Where the contractor provides an orthodontic course of treatment to a patient aged under 10 years that consists of—
(a)a case assessment; and
(b)the provision of orthodontic treatment following the case assessment,
the contractor provides 4.0 units of orthodontic activity.
(3) Where the contractor provides an orthodontic course of treatment to a patient aged between 10 and 17 years that consists of—
(a)a case assessment; and
(b)the provision of orthodontic treatment following the case assessment,
the contractor provides 21.0 units of orthodontic activity.
(4) Where the contractor provides an orthodontic course of treatment to a patient who is aged 18 years or over that consists of—
(a)a case assessment; and
(b)the provision of orthodontic treatment following the case assessment,
the contractor provides [F1123.0] units of orthodontic activity.
(5) Where the contractor—
(a)provides a repair to an orthodontic appliance of a patient; and
(b)the orthodontic course of treatment in which that orthodontic appliance was provided is being provided by another contractor, hospital or relevant service provider under Part 1 of the Act,
the contractor provides 0.8 units of orthodontic activity.
Textual Amendments
F11Figure in Sch. 2 para. 3(4) substituted (1.4.2006) by The National Health Service (General Dental Services Contracts and Personal Dental Services Agreements) Amendment Regulations 2006 (S.I. 2006/563), regs. 1(1), 4
Regulation 18A
Textual Amendments
F12Sch. 2A inserted (1.11.2015) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments) (No. 2) Regulations 2015 (S.I. 2015/1728), regs. 1(1), 8
1.—(1) Where a contractor holding a Blend A prototype agreement provides a banded course of treatment, for the purposes of the agreement the contractor is to be regarded as providing the number of units of dental activity specified in the appropriate row of Table A.E+W
(2) Where a contractor holding a Blend B prototype agreement provides a banded course of treatment, for the purposes of the agreement the contractor is to be regarded as providing the number of units of dental activity specified in the appropriate row of Table B.
(3) Where a banded course of treatment is commenced under a prototype agreement but not completed for whatever reason, the appropriate number of units of dental activity provided is to be calculated on the basis of the components of the course of the treatment which have been—
(a)completed; and
(b)commenced but not completed.
(4) Where a patient is referred by the contractor for advanced mandatory services to another provider of primary dental services, the appropriate number of units of dental activity provided by—
(a)that contractor; and
(b)the other provider of primary dental services, if that provider is also a contractor,
must be calculated on the basis of the components of the course of treatment which each contractor actually provides, notwithstanding that the treatment constitutes a single banded course of treatment for charging purposes.
(5) Where the contractor provides a charge exempt course of treatment, for the purposes of the prototype agreement the contractor provides the number of units of dental activity specified in the appropriate row of Table C.
(6) For the purposes of this paragraph, “Blend A prototype agreement” and “Blend B prototype agreement” have the same meaning as in the Prototype SFE.
[F13(7) This Schedule does not apply where the contractor is a CDS prototype contractor.]
Type of course of treatment | Units of dental activity provided |
Band 1 course of treatment (excluding urgent treatment) | 0.0 |
Band 1 course of treatment (urgent treatment) where the patient is a capitated patient of the practice | 0.0 |
Band 1 course of treatment (urgent treatment) where the patient is not a capitated patient of the practice | 1.2 |
Band 2 course of treatment | 2.0 |
Band 2 course of treatment where a patient is referred for advanced mandatory services by another provider | 3.0 |
Band 3 course of treatment | 11.0 |
Band 3 course of treatment where a patient is referred for advanced mandatory services by another provider | 12.0 |
Type of course of treatment | Units of dental activity provided |
Band 1 course of treatment (excluding urgent treatment) | 0.0 |
Band 1 course of treatment (urgent treatment) where the patient is a capitated patient of the practice | 0.0 |
Band 1 course of treatment (urgent treatment) where the patient is not a capitated patient of the practice | 1.2 |
Band 2 course of treatment | 0.0 |
Band 2 course of treatment where a patient is referred for advanced mandatory services by another provider | 3.0 |
Band 3 course of treatment | 9.0 |
Band 3 course of treatment where a patient is referred for advanced mandatory services by another provider | 12.0 |
Type of charge exempt course of treatment | Units of dental activity provided |
Issue of a prescription | 0.0 |
Repair of a dental appliance (denture) where the patient is a capitated patient of the practice | 0.0 |
Repair of a dental appliance (denture) where the patient is not a capitated patient of the practice | 1.0 |
Repair of a dental appliance (bridge) where the patient is a capitated patient of the practice | 0.0 |
Repair of a dental appliance (bridge) where the patient is not a capitated patient of the practice | 1.2 |
Removal of sutures where a patient is a capitated patient of the practice | 0.0 |
Removal of sutures where a patient is not a capitated patient of the practice | 1.0 |
Arrest of bleeding where the patient is a capitated patient of the practice | 0.0 |
Arrest of bleeding where the patient is not a capitated patient of the practice | 1.2] |
Textual Amendments
Regulation 24
1.—(1) Subject to sub-paragraphs (3) and (5), the contractor may agree to provide mandatory or additional services under the contract to any person if a request is made for such services by—
(a)the person who requires the services; or
(b)a person specified in sub-paragraph (2), on behalf of the person who requires those services.
(2) For the purposes of sub-paragraph (1), a request for services may be made—
(a)on behalf of any child by—
(i)either parent;
(ii)a person duly authorised by a local authority to whose care the child has been committed under the Children Act 1989 M7; or
(iii)a person duly authorised by a voluntary organisation by which the child is being accommodated under the provisions of that Act; or
(b)on behalf of any adult who is incapable of making such an application, or authorising such an application to be made on their behalf, by a relative or the primary carer of that person.
(3) The contractor may refuse to provide mandatory or additional services in relation to a person falling outside a specified group of persons only where the contract provides for the contractor to provide such services to a specified group.
(4) The contractor shall only refuse to provide services under the contract to a person if it has reasonable grounds for doing so which do not relate to—
[F14(a)a person’s age, sex (reassigned or otherwise), religion or belief, sexual orientation, race, cultural and linguistic background, any disability they may have, or medical or dental condition; or]
(b)a person's decision or intended decision to accept or refuse private services in respect of himself or a family member.
(5) Sub-paragraph (1) does not apply—
(a)where the contractor is providing mandatory or additional services in a prison; or
(b)in any event to dental public health services.
Textual Amendments
F14Sch. 3 para. 1(4)(a) substituted (1.6.2011) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments) Regulations 2011 (S.I. 2011/1182), regs. 1, 8(2)
Marginal Citations
2.—(1) Where the contractor has agreed to provide services to a patient, it shall—
(a)inform the patient (or, in the case of a child or incapable adult, the person who made the application on their behalf) of the patient's right to express a preference to receive services from a particular performer; and
(b)record in writing any such preference expressed by or on behalf of the patient.
(2) The contractor shall endeavour to comply with any reasonable preference expressed under sub-paragraph (1) but need not do so if the preferred performer—
(a)has reasonable grounds for refusing to provide services to the patient; or
(b)does not routinely perform the services required by the patient within the practice.
(3) This paragraph does not apply—
(a)where the contractor is providing mandatory or additional services in a prison; or
(b)in any event to dental public health services.
3.—(1) Where—
(a)a patient of the contractor has committed an act of violence or behaved in such a way against any of the persons specified in sub-paragraph (2) as a consequence of which that person has feared for his safety; and
(b)the contractor has reported the incident to the police,
the contractor may notify [F15the Board] that it will no longer provide services to that patient under the contract.
(2) The reference to persons in sub-paragraph (1) means—
(a)the contractor where it is an individual dental practitioner;
(b)in the case of a contract with two or more individuals practising in partnership, a partner in that partnership;
(c)in the case of a contract with a dental corporation, a director, chief executive, secretary or member of, or a legal and beneficial owner of shares in, that corporation;
[F16(ca)in the case of a contract with a limited liability partnership, a member of that partnership;]
(d)a member of the contractor's staff;
(e)a person engaged by the contractor to perform or assist in the performance of services under the contract; or
(f)any other person present—
(i)on the practice premises; or
(ii)in the place where services were provided to the patient under the contract.
(3) Notification under sub-paragraph (1) may be given by any means including telephone, fax or email but if not given in writing shall subsequently be confirmed in writing within seven days (and for this purpose a faxed or email notification is not a written one).
(4) The time at which the contractor notifies [F17the Board] shall be the time at which it makes the telephone call or sends or delivers the notification to [F17the Board].
(5) [F18The Board] shall—
(a)acknowledge in writing receipt of the notice from the contractor under sub-paragraph (1); and
(b)take all reasonable steps to inform the patient concerned as soon as is reasonably practicable.
Textual Amendments
F15Words in Sch. 3 para. 3(1) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(2)(a) (with Sch. 1)
F16Sch. 3 para. 3(2)(ca) inserted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(2)(b) (with Sch. 1)
F17Words in Sch. 3 para. 3(4) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(2)(a) (with Sch. 1)
F18Words in Sch. 3 para. 3(5) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(2)(c) (with Sch. 1)
4. The contractor may—
(a)refuse to begin a course of treatment or an orthodontic course of treatment; or
(b)terminate a course of treatment or orthodontic course of treatment prior to its completion,
if the contractor has, in accordance with the NHS Charges Regulations, requested that the patient pay a charge in respect of that course of treatment or orthodontic course of treatment, and that patient has failed to pay that charge.
5. Where—
(a)in the reasonable opinion of the contractor, there has been an irrevocable breakdown in the relationship between the patient and that contactor; and
(b)notice of such a breakdown has been given to the patient by the contractor,
the contractor may notify [F19the Board] that it will no longer provide services to that patient under the contract.
Textual Amendments
F19Words in Sch. 3 para. 5 substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(3) (with Sch. 1)
5A.—(1) The contractor must give all patients who use the contractor’s practice the opportunity to provide feedback about the service received from the practice through the Friends and Family Test.
(2) The contractor must—
(a)report the results of completed Friends and Family Tests to the Board; and
(b)publish the results of such completed tests,
in the manner approved by the Board.
(3) In this paragraph, “Friends and Family Test” means the arrangements that the contractor is required by the Board to implement to enable its patients to provide anonymous feedback about the patient experience at the contractor’s practice.]
Textual Amendments
6.—(1) Except in the case of orthodontic services and dental public health services, the contractor shall provide mandatory and additional services to a patient by providing to that patient a course of treatment.
(2) The contractor shall use its best endeavours to ensure that a course of treatment is completed within a reasonable time from the date on which—
(a)the treatment plan was written in accordance with paragraph 7(1); or
(b)where a treatment plan is not required pursuant to that paragraph, the initial examination and assessment of the patient took place.
(3) Where a contractor provides urgent treatment to a patient, the urgent treatment provided shall constitute a course of treatment and no other services shall be provided during that course of treatment.
(4) If a course of treatment is—
(a)terminated before it has been completed; or
(b)otherwise not completed within a reasonable time,
any further services to be provided to that patient under the contract must be provided as a new course of treatment.
(5) A course of treatment may only be terminated by—
(a)the contractor—
(i)when the circumstances referred to in paragraph 3(1) of this Schedule (violent patients) occur and notice that it will no longer provide services has been given to [F21the Board];
(ii)where the patient has refused to pay a charge in the circumstances referred to in paragraph 4 of this Schedule (refusal to pay NHS Charges during treatment); or
(iii)where, in the reasonable opinion of the contractor, there has been an irrevocable breakdown in the relationship between the patient and the contractor and notice of such a breakdown has been given to the patient and [F22the Board];
(b)the patient; or
(c)a person specified in paragraph 1(2) of this Schedule acting on the patient's behalf.
(6) If the contractor is unable to complete the course of the treatment which has been commenced for reasons beyond its control, it shall give notice to [F23the Board] of the extent of the treatment so provided and the reason for its inability to complete the remainder.
Textual Amendments
F21Words in Sch. 3 para. 6(5)(a)(i) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(4) (with Sch. 1)
F22Words in Sch. 3 para. 6(5)(a)(iii) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(4) (with Sch. 1)
F23Words in Sch. 3 para. 6(6) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(4) (with Sch. 1)
7.—(1) Subject to sub-paragraph (5), where the contractor agrees to provide a course of treatment to a patient, it shall, at the time of the initial examination and assessment of that patient, ensure that the patient is provided with a treatment plan on a form supplied for that purpose by [F24the Board] which shall specify—
(a)the name of the patient;
(b)the name of the contractor;
(c)particulars of the places where the patient will receive services;
(d)the telephone number at which the contractor may be contacted during normal surgery hours;
(e)details of the services (if any) which are, at the date of the examination, considered necessary to secure the oral health of the patient;
(f)the NHS charge, if any, in respect of those services if provided pursuant to the contract; and
(g)any proposals the contractor may have for private services as an alternative to the services proposed under the contract, including particulars of the cost to the patient if he were to accept the provision of private services.
(2) If the patient, having considered the treatment plan provided pursuant to sub-paragraph (1), decides to accept the provision of private services in place of all or part of services under the contract, the contractor shall ensure that the patient signs the treatment plan in the appropriate place to indicate that he has understood the nature of private services to be provided and his acceptance of those services.
(3) Where the services included in the treatment plan under this paragraph need to be varied, the contractor shall provide the patient with a revised treatment plan in accordance with sub-paragraph (1).
(4) Subject to paragraph 6(5), the contractor shall provide the services which are detailed in the treatment plan, or where the treatment plan is revised, the revised treatment plan.
(5) The obligation to provide a treatment plan under this paragraph shall not apply to a Band 1 course of treatment or a charge exempt course of treatment unless—
(a)the contractor is providing privately any part of that course of treatment pursuant to paragraph 10; or
(b)the patient has requested that he be provided with written details of the course of treatment to be provided or that has been provided to him, whether or not he specifically requests a treatment plan.
(6) Where a patient requests the contractor to provide him with a summary of the care and treatment provided under the treatment plan because he intends to receive services from another contractor, the contractor shall provide him with such a summary as he considers appropriate (including details of the care and treatment which could not easily be observed on visual examination).
(7) The summary referred to in sub-paragraph (6) shall be supplied to the patient on a form supplied for that purpose by [F25the Board] within 28 days of that request.
Textual Amendments
F24Words in Sch. 3 para. 7(1) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(5) (with Sch. 1)
F25Words in Sch. 3 para. 7(7) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(5) (with Sch. 1)
8.—(1) The contractor shall indicate on the form supplied by [F26the Board] pursuant to paragraph 38 whether the course of treatment was completed, and if the course of treatment was not completed, provide the reason for the failure to complete the course of treatment.
(2) If [F26the Board]—
(a)determines that the number of courses of treatment provided by the contractor which have not being completed is excessive; and
(b)does not consider that the reasons given by the contractor for the failure to complete the courses of treatment are satisfactory,
it shall be entitled to exercise its powers under paragraph 59(2) on the grounds that the contractor is not, pursuant to paragraph 6(2), using its best endeavours to ensure courses of treatment are completed.
Textual Amendments
F26Words in Sch. 3 para. 8(1)(2) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(6) (with Sch. 1)
9.—(1) Where a patient requires advanced mandatory services, domiciliary services or sedation services that are not provided under the contract by the contractor, it shall, if the patient agrees, refer that patient in accordance with sub-paragraph (2) for the provision of a referral service by an alternative contractor, a hospital or other relevant service provider under Part 1 of the Act.
(2) In referring a patient pursuant to sub-paragraph (1), the contractor shall provide—
(a)to the patient being referred, a referral notice on a form supplied for that purpose by [F27the Board] which shall specify the services detailed on the treatment plan which will be carried out by the alternative contractor, hospital or other relevant service provider; and
(b)to the alternative contractor, hospital or other relevant service provider, either at the time of referral or as soon as reasonably practicable thereafter—
(i)a copy of the treatment plan provided to the patient pursuant to paragraph 7;
(ii)a copy of the referral notice; and
(iii)a statement of the amount paid to it, or due to be paid to it, by the patient under the NHS Charges Regulations in respect of the course of treatment during which the referral is made.
(3) Where the patient notifies the contractor, whether verbally or in writing, that he does not wish to be referred to the alternative contractor, hospital or other relevant service provider selected by the contractor, the contractor shall, if requested to do so by the patient, use its best endeavours to refer the patient to another suitable contractor, hospital or other relevant service provider under Part 1 of the Act for the provision of the referral service.
Textual Amendments
F27Words in Sch. 3 para. 9(2)(a) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(7) (with Sch. 1)
10.—(1) Subject to sub-paragraph (2) and the requirements in paragraphs 2 (referral services) and 6 (orthodontic treatment plans) of Schedule 1 and paragraph 7(1)(g) of this Schedule, a contractor may, with the consent of the patient, provide privately any part of a course of treatment or orthodontic course of treatment for that patient, including in circumstances where that patient has been referred to the contractor for a referral service.
(2) A contractor may—
(a)not provide privately or under the contract treatment that involves the administration of general anaesthesia or the provision of sedation; and
(b)in the case of an orthodontic course of treatment provide—
(i)the case assessment wholly privately or wholly under the contract; and
(ii)the orthodontic treatment wholly privately or wholly under the contract.
(3) A contractor shall not, with a view to obtaining the agreement of a patient to undergo services privately—
(a)advise a patient that the services which are necessary in his case are not available from the contractor under the contract; or
(b)seek to mislead the patient about the quality of the services available under the contract.
(4) In sub-paragraph (2)(a), “provision of sedation” means the provision of one or more drugs to a patient in order to produce a state of depression of the central nervous system to enable treatment to be carried out.
11.—(1) Subject to sub-paragraph (5), where a restoration specified in sub-paragraph (2) needs to be repaired or replaced the contractor shall repair or replace the restoration at no charge to the patient.
(2) The restorations referred to in sub-paragraph (1) are any filling, root filling, inlay, porcelain veneer or crown provided by the contractor to a patient in the course of providing services under the contract, which within the relevant period has to be repaired or replaced to secure oral health.
(3) The repair or replacement of a restoration specified in sub-paragraph (2) is a banded course of treatment for the purposes of calculating the number of units of dental activity and paragraph 1 of Schedule 2 shall apply notwithstanding that no charge is made or recovered in accordance with the NHS Charges Regulations.
(4) The band in which a restoration specified in sub-paragraph (2) falls shall be determined in accordance with the NHS Charges Regulations.
(5) Sub-paragraph (1) shall not apply where—
(a)within the relevant period, a person other than the contractor has provided treatment on the tooth in respect of which the restoration was provided;
(b)the contractor advised the patient at the time of the restoration and it was recorded on the patient record that—
(i)the restoration was intended to be temporary in nature; or
(ii)in its opinion, a different form of restoration was more appropriate to secure oral health but, notwithstanding that advice, the patient nevertheless requested the restoration which was provided;
(c)in the opinion of the contractor, the condition of the tooth in respect of which the restoration was provided is such that the restoration cannot satisfactorily be repaired or replaced and different treatment is now required; or
(d)the repair or replacement is required as a result of trauma.
(6) In this paragraph, “the relevant period” means the 12 month period beginning on the date on which the restoration was provided, and ceasing twelve months after that date.
12.—(1) The contractor shall ensure that the practice premises used for the provision of services under the contract are—
(a)suitable for the delivery of those services; and
(b)sufficient to meet the reasonable needs of the contractor's patients.
(2) The obligation in sub-paragraph (1) includes providing proper and sufficient waiting-room accommodation for patients.
(3) The contractor shall provide, in relation to all of the services to be provided under the contract, such other facilities and equipment as are necessary to enable it to properly perform that service.
(4) In this paragraph, “practice premises” includes a mobile surgery.
Modifications etc. (not altering text)
C1Sch. 3 para. 12 modified (3.1.2006) by The General Dental Services and Personal Dental Services Transitional Provisions Order 2005 (S.I. 2005/3435), arts. 1(1), 12
13.—(1) The contractor shall not be a party to any contract or other arrangement under which the number for telephone services to be used by—
(a)patients to contact the practice for any purpose related to the contract; or
(b)any other person to contact the practice in relation to services provided as part of the health service,
starts with the digits 087, 090 or 091 or consists of a personal number, unless the service is provided free to the caller.
(2) In this paragraph, “personal number” means a telephone number which starts with the number 070 followed by a further 8 digits.
14. The contractor shall provide services under the contract in accordance with any relevant guidance that is issued by the National Institute for Clinical Excellence M8, in particular the guidance entitled “Dental recall - Recall interval between routine dental examinations”M9.
Marginal Citations
M8The National Institute for Clinical Excellence is established as a Special Health Authority under section 11 of the Act (S.I. 1999/220, as amended by S.I. 1999/2219, 2002/1760 and 2005/497).
M9This guidance is available from NICE's website, www.nice.org.uk.
15. The contractor shall ensure that it has appropriate arrangements for infection control and decontamination.
16. The contractor shall not provide any services under the contract that involve the provision of general anaesthesia.
17. The contractor shall ensure that any prescription form for listed drugs, medicines or appliances issued by a prescriber complies as appropriate with the requirements in this Part.
18.—(1) A presciber may supply to a patient listed drugs, medicines or appliances as are required for immediate use before the issue of a prescription for such drugs, medicines or appliances in accordance with paragraph 19.
(2) A prescriber may personally administer to a patient any drug or medicine required for the treatment of that patient.
19.—(1) A prescriber shall order listed drugs, medicines or appliances (other than those supplied under paragraph 18) as are required for the treatment of any patient to whom it is providing services under the contract by issuing to the patient a prescription form.
(2) Every prescription form shall—
(a)be signed by the prescriber; and
(b)be issued separately to each patient to whom the contractor is providing services under the contract.
(3) For the purposes of this paragraph, “prescription form” means a form that is supplied for the purposes of this paragraph by [F28the Board].
Textual Amendments
F28Words in Sch. 3 para. 19(3) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(8) (with Sch. 1)
20. A prescriber shall not prescribe drugs, medicines or appliances whose cost or quantity, in relation to any patient, is, by reason of the character of that drug, medicine or appliance, in excess of that which was reasonably necessary for the proper treatment of that patient.
[F2921. A dental practitioner may perform dental services under the contract provided—
(a)that dental practitioner is included in the dental performers list held by the Board; and
(b)that dental practitioner’s inclusion in that list is not subject to a suspension.]
Textual Amendments
22.—(1) Prior to the coming into force of the first regulations under section 36A(2) of the Dentists Act M10 (professions complementary to dentistry)—
(a)a dental hygienist; or
(b)a dental therapist
may perform dental services under the contract provided he is enrolled in the appropriate register established in accordance with the Dental Auxiliaries Regulations 1986 M11.
(2) Upon the coming into force of the first regulations under section 36A(2) of the Dentists Act—
(a)a dental hygienist;
(b)a dental therapist; or
(c)a professional or member of a class as specified in regulations made under section 36A(2) of the Dentists Act,
may perform dental services under the contract provided—
(i)he is a dental care professional; and
(ii)his registration in the dental care professional register established under section 36B M12 of the Dentists Act is not subject to a suspension.
Marginal Citations
M10Section 36A was prospectively inserted into the Dentists Act by article 29 of the Dentists Act Order.
M11S.I. 1986/887; relevant amending instruments are S.I. 199/3460 and 2002/1671.
M12Section 36B was prospectively inserted into the Dentists Act by article 29 of the Dentists Act Order.
23.—(1) No health care professional or other person other than one to whom paragraph 22 applies shall perform clinical services under the contract unless he is appropriately registered with his relevant professional body and his registration is not subject to a suspension.
(2) Where—
(a)the registration of a dental practitioner, dental care professional or other health care professional; or
(b)a dental practitioner's inclusion [F30in the dental performers list held by the Board],
is subject to conditions, the contractor shall ensure compliance with those conditions in so far as they are relevant to the contract.
(3) No health care professional or other person shall perform any clinical services under the contract unless he has such clinical experience and training as are necessary to enable him properly to perform such services.
Textual Amendments
F30Words in Sch. 3 para. 23(2)(b) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(10) (with Sch. 1)
24.—[F31(1) A contractor must not employ or engage a dental practitioner to perform dental services under the contract unless the contractor has checked that the practitioner meets the requirements in paragraph 21.]
(2) Where the employment or engagement of a dental practitioner is urgently needed and it is not possible to check the matters referred to in paragraph 21 in accordance with sub-paragraph (1)(b) before employing or engaging him he may be employed or engaged on a temporary basis for a single period of up to 7 days whilst such checks are undertaken.
Textual Amendments
25.—(1) The contractor shall not employ or engage a dental care professional to perform dental services unless it has taken reasonable steps to satisfy itself that he has the clinical experience and training necessary to enable him to properly perform dental services and—
(a)prior to the coming into force of the first regulations under section 36A(2) of the Dentists Act, the contractor has checked that his name is on the roll of the appropriate register established in accordance with the Dental Auxiliaries Regulations 1986; and
(b)from the coming into force of the first regulations under section 36A(2) of the Dentists Act, the contractor has checked that—
(i)his name is included in the register of dental care professionals; and
(ii)his registration in the dental care professional register is not subject to a suspension.
(2) Where the employment or engagement of a person specified in sub-paragraph (1) is urgently needed and it is not possible to check his registration in accordance with sub-paragraph (1) (where it applies) before employing or engaging him, he may be employed or engaged on a temporary basis for a single period of up to 7 days whilst such checks are undertaken.
(3) When considering a person's experience and training for the purposes of sub-paragraph (1), the contractor shall have regard in particular to—
(a)any post-graduate or post-registration qualification held by that person; and
(b)any relevant training undertaken by him and any relevant clinical experience gained by him.
26.—(1) The contractor shall not employ or engage a person to perform dental services under the contract unless—
(a)that person has provided two clinical references that relate to two recent posts (which may include any current post) exercising the profession in which he seeks employment or engagement with the contractor which lasted for three months or more without a significant break, or where this is not possible, that person has provided a full explanation and alternative referees; and
(b)the contractor has checked and is satisfied with the references.
(2) Where the employment or engagement of a person falling within sub-paragraph (1) is urgently needed and it is not possible for the contractor to obtain and check the references in accordance with sub-paragraph (1)(b) before employing or engaging him, he may be employed or engaged on a temporary basis for a single period of up to 14 days whilst his references are checked and considered, and for an additional period of a further 7 days if the contractor believes the person supplying those references is ill, on holiday or otherwise temporarily unavailable.
(3) Where the contractor employs or engages the same person on more than one occasion within a period of three months, it may rely on the references provided on the first occasion, provided that those references are not more than twelve months old.
27.—(1) Before employing or engaging any person to assist it in the provision of services under the contract, the contractor shall take reasonable care to satisfy itself that the person in question is both suitably qualified and competent to discharge the duties for which he is to be employed or engaged.
(2) The duty imposed by sub-paragraph (1) is in addition to the duties imposed by paragraphs 24 to 26.
(3) When considering the competence and suitability of any person for the purpose of sub-paragraph (1), the contractor shall have regard in particular to—
(a)that person's academic and vocational qualifications;
(b)his education and training; and
(c)his previous employment or work experience.
28. The contractor shall ensure that for any dental practitioner or dental care professional who is—
(a)performing dental services under the contract; or
(b)employed or engaged to assist in the performance of such services,
arrangements are in place for the purpose of maintaining and updating his skills and knowledge in relation to the services which he is performing or assisting in performing.
(2) The contractor shall afford to each employee reasonable opportunities to undertake appropriate training with a view to maintaining that employee's competence.
29. The contractor shall carry out its obligations under the contract with reasonable care and skill.
[F3230. The contractor shall ensure that any dental practitioner performing services under the agreement—
(a)participates in the appraisal system (if any) provided by the Board; and
(b)co-operates with the Board in relation to patient safety.]
Textual Amendments
F32Sch. 3 para. 30 substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(12) (with Sch. 1)
31.—(1) The contractor shall not sub-contract any of its rights or duties under the contract to any person in relation to clinical matters unless—
(a)it has taken reasonable steps to satisfy itself that—
(i)it is reasonable in all the circumstances; and
(ii)that the person is qualified and competent to provide the service; and
(b)it is satisfied in accordance with paragraphs 81 and 82 that the sub-contractor holds adequate insurance.
(2) Where the contractor sub-contracts any of its rights or duties under the contract in relation to clinical matters, it shall—
(a)inform [F33the Board] of the sub-contract as soon as is reasonably practicable; and
(b)provide [F33the Board] with such information in relation to the sub-contract as it reasonably requests.
(3) Where the contractor sub-contracts clinical services in accordance with sub-paragraph (1), the parties to the contract shall be deemed to have agreed a variation to the agreement which has the effect of adding to the list of the contractor's premises any premises which are to be used by the sub-contractor for the purpose of the sub-contract and paragraph 60 shall not apply.
(4) A contract with a sub-contractor must prohibit the sub-contractor from sub-contracting the clinical services it has agreed with the contractor to provide.
Textual Amendments
F33Words in Sch. 3 para. 31(2) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(13) (with Sch. 1)
32.—(1) The contractor shall ensure that a full, accurate and contemporaneous record is kept in the patient record in respect of the care and treatment given to each patient under the contract, including treatment given to a patient who is referred to the contractor.
(2) The patient record may be kept in electronic form.
(3) The patient record shall include details of any private services (to the extent that they are provided with services under the contract) and shall be kept with—
(a)a copy of any treatment plan or referral treatment plan given to the patient pursuant to paragraph 2 of Schedule 1 (referral services) or paragraph 7 of this Schedule;
(b)all radiographs, photographs and study casts taken or obtained by it as part of the services provided to that patient;
(c)where an orthodontic course of treatment has been provided to a patient, a copy of the orthodontic treatment plan;
(d)where information is to be submitted to [F34the Board] in accordance with paragraph 38 and that information is submitted electronically—
(i)the written declaration form in respect of exemption under paragraph 1(1) of Schedule 12ZA to the Act duly made and completed in accordance [F35with] regulations made under section 79 of, and paragraph 7(a) to, Schedule 12ZA to that Act; and
(ii)a note of the evidence in support of that declaration; and
(e)the statement concerning any custom-made devices provided by any person as a consequence of regulation 15 of the Medical Devices Regulations 2002 M13 (procedures for custom-made devices) in respect of services being provided to that patient.
(4) The patient record and the items referred to in sub-paragraph (3) shall be retained for a period of 2 years beginning with—
(a)the date on which—
(i)a course of treatment or orthodontic course of treatment is terminated; or
(ii)a course of treatment or an orthodontic course of treatment is completed; or
(b)in respect of courses of treatment or orthodontic courses of treatment not falling within paragraph (a)(i) or (ii) the date by which no more services can be provided as part of that course of treatment or orthodontic course of treatment by virtue of paragraph 5(4)(b) of Schedule 1 (orthodontic course of treatment) or paragraph 6(4)(b) of this Schedule.
(5) Nothing in this paragraph shall affect any property right which the contractor may have in relation to the records, radiographs, photographs and study models referred to in this paragraph.
Textual Amendments
F34Words in Sch. 3 para. 32(3)(d) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(14)(a) (with Sch. 1)
F35Word in Sch. 3 para. 32(3)(d)(i) inserted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(14)(b) (with Sch. 1)
Marginal Citations
33. The contractor shall nominate a person with responsibility for practices and procedures relating to the confidentiality of personal data held by it.
34.—(1) The contractor shall ensure that there is displayed in a prominent position in its practice premises, in a part to which patients have access—
(a)in respect of its practice based quality assurance system referred to in paragraph 80, a written statement relating to its commitment to the matters referred to in paragraph 80(4);
(b)such information relating to NHS Charges as is supplied by [F36the Board] for the purposes of providing information to patients; and
(c)information about the complaints procedure which it operates in accordance with Part 6, giving the name and title of the person nominated by the contractor in accordance with paragraph 50(2)(a).
(2) The contractor shall—
(a)compile a document (in this paragraph called a “patient information leaflet”) which shall include the information specified in Schedule 4;
(b)review its patient information leaflet at least once in every period of 12 months and make any amendments necessary to maintain its accuracy; and
(c)make available a copy of the leaflet, and any subsequent updates, to its patients and prospective patients.
(3) The requirements in sub-paragraph (2) do not apply to any contractor to the extent that it provides services to persons detained in prison.
Textual Amendments
F36Words in Sch. 3 para. 34(1)(b) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(15) (with Sch. 1)
35.—(1) The contractor shall, at the request of [F38the Board]—
(a)produce to [F38the Board] or to a person authorised in writing by [F38the Board] in such format, and at such intervals or within such period, as [F38the Board] specifies; or
(b)allow [F38the Board], or a person authorised in writing by it to access,
the information specified in paragraph (2).
(2) The information specified for the purposes of sub-paragraph (1) is—
(a)any information which is reasonably required by [F38the Board] for the purposes of or, in connection with, the contract; and
(b)any other information which is reasonably required in connection with [F39the Board’s] functions,
and includes the contractor's patient records.
Textual Amendments
F37Words in Sch. 3 para. 35 heading substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(16)(c) (with Sch. 1)
F38Words in Sch. 3 para. 35(1) (2)(a) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(16)(a) (with Sch. 1)
F39Words in Sch. 3 para. 35(2)(b) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(16)(b) (with Sch. 1)
F4036. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Textual Amendments
F40Sch. 3 para. 36 omitted (1.4.2008) by virtue of The Local Involvement Networks Regulations 2008 (S.I. 2008/528), reg. 1(2), Sch. para. 9(a)
37.—(1) The contractor shall, subject to sub-paragraphs (2) and (3), sufficiently answer any inquiries whether oral or in writing from [F41the Board] concerning—
(a)any prescription form issued by a prescriber;
(b)the considerations by reference to which prescribers issue such forms;
(c)the referral by or on behalf of the contractor of any patient for any other services provided under the Act; or
(d)the considerations by which the contractor makes such referrals or provides for them to be made on its behalf.
(2) An inquiry referred to in sub-paragraph (1) may only be made for the purpose either of obtaining information to assist [F41the Board] to discharge its functions or of assisting the contractor in the discharge of its obligations under the contract.
(3) The contractor shall not be obliged to answer any inquiry referred to in sub-paragraph (1) unless it is made—
(a)in the case of sub-paragraph (1)(a) or (1)(b), by an appropriately qualified health care professional; or
(b)in the case of sub-paragraph (1)(c) or (1)(d), by an appropriately qualified dental practitioner,
appointed in either case by [F42the Board] to assist it in the exercise of its functions under this paragraph and that person produces, on request, written evidence that he is authorised by [F42the Board] to make such inquiry on its behalf.
Textual Amendments
F41Words in Sch. 3 para. 37(1)(2) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(17) (with Sch. 1)
F42Words in Sch. 3 para. 37(3) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(17) (with Sch. 1)
38.—(1) The contractor shall, within two months of the date upon which—
(a)it completes a course of treatment in respect of mandatory or additional services;
(b)it completes a case assessment in respect of an orthodontic course of treatment that does not lead to a course of treatment;
(c)it provides an orthodontic appliance following a case assessment in respect of orthodontic treatment;
(d)it completes a course of treatment in respect of orthodontic treatment;
(e)a course of treatment in respect of mandatory services or additional services or orthodontic course of treatment is terminated; or
(f)in respect of courses not falling within sub-paragraph (d) or (e), no more services can be provided by virtue of paragraph 5(4)(b) of Schedule 1 (orthodontic course of treatment) or paragraph 6(4)(b) of this Schedule,
[F43subject to sub-paragraph (4), send to the Board by means of electronic submission], the information specified in sub-paragraph (2).
(2) The information referred to in sub-paragraph (1) comprise of—
(a)details of the patient to whom it provides services;
(b)details of the services provided (including any appliances provided) to that patient;
(c)details of any NHS Charge payable (and paid) by that patient; and
[F44(d) in the case of a patient who is exempt from NHS Charges, the information required under sub-paragraph (3).]
[F45(3) In the case of a patient who is exempt from NHS Charges, the contractor must provide the Board (or a person authorised on the Board’s behalf) with—
(a)such details of that exemption as the Board may reasonably request; and
(b)the written declaration.
(4) The Board may accept submission of the information mentioned in sub-paragraph (2) in paper form in such exceptional circumstances as the Board may reasonably determine.
(5) In this paragraph, “electronic submission” means the submission of information electronically via a computer system approved by the Board.]
Textual Amendments
F43Words in Sch. 3 para. 38(1) substituted (1.5.2019) by The National Health Service (Primary Dental Services and General Ophthalmic Services) (Amendment) Regulations 2017 (S.I. 2017/1056), regs. 1(3), 2(3)(a) (with reg. 3)
F44Sch. 3 para. 38(2)(d) substituted (1.5.2019) by The National Health Service (Primary Dental Services and General Ophthalmic Services) (Amendment) Regulations 2017 (S.I. 2017/1056), regs. 1(3), 2(3)(b) (with reg. 3)
F45Sch. 3 para. 38(3)-(5) inserted (1.5.2019) by The National Health Service (Primary Dental Services and General Ophthalmic Services) (Amendment) Regulations 2017 (S.I. 2017/1056), regs. 1(3), 2(3)(c) (with reg. 3)
39.—(1) [F46The Board] shall provide to the contractor an annual report relating to the contract which shall contain the same categories of information for all persons who hold contracts [F47with the Board].
(2) Once [F48the Board] has provided the report referred to in sub-paragraph (1), [F48the Board] shall arrange with the contractor an annual review of its performance in relation to the contract.
(3) [F48The Board] shall prepare a draft record of the review referred to in sub-paragraph (2) for comment by the contractor and, having regard to such comments, shall produce a final written record of the review.
(4) A copy of the final record referred to in sub-paragraph (3) shall be sent to the contractor.
Textual Amendments
F46Words in Sch. 3 para. 39(1) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(19)(a)(i) (with Sch. 1)
F47Words in Sch. 3 para. 39(1) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(19)(a)(ii) (with Sch. 1)
F48Words in Sch. 3 para. 39(2)(3) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(19)(b) (with Sch. 1)
40.—(1) In addition to any requirements of notification elsewhere in the Regulations, the contractor shall notify [F50the Board] in writing, as soon as reasonably practicable, of—
(a)any serious incident that in the reasonable opinion of the contractor affects or is likely to affect the contractor's performance of its obligations under the contract; or
(b)any circumstances which give rise to [F51the Board’s] right to terminate the contract under paragraph 70 or 71(1).
(2) The contractor shall, unless it is impracticable for it to do so, notify [F50the Board] in writing within 28 days of any occurrence requiring a change in the information about it published by [F50the Board] in accordance with regulations made under section 16CA(3) of the Act M14 (primary dental services).
(3) The contractor shall give notice in writing to [F50the Board] when a dental practitioner who is performing or will perform services under the contract (as the case may be)—
(a)leaves the contractor, and the date upon which he left; or
(b)is employed or engaged by the contractor,
which shall include the name of the dental practitioner who has left, or who has been employed or engaged, together with his professional registration number.
Textual Amendments
F49Words in Sch. 3 para. 40 heading substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(20)(c) (with Sch. 1)
F50Words in Sch. 3 para. 40(1)-(3) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(20)(a) (with Sch. 1)
F51Words in Sch. 3 para. 40(1)(b) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(20)(b) (with Sch. 1)
Marginal Citations
M14Section 16CA was inserted into the Act by section 170 of the 2003 Act.
41. A contractor which is a dental corporation shall give notice in writing to [F52the Board] forthwith when—
(a)it passes a resolution or a court of competent jurisdiction makes an order that the contractor be wound up;
(b)circumstances arise which might entitle a creditor or a court to appoint a receiver, administrator or administrative receiver for the contractor;
(c)circumstances arise which would enable the court to make a winding up order in respect of the contractor; or
(d)the contractor is unable to pay its debts within the meaning of section 123 of the Insolvency Act 1986 M15 (definition of inability to pay debts).
Textual Amendments
F52Words in Sch. 3 para. 41 substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(21) (with Sch. 1)
Marginal Citations
42.—(1) A contractor which is a partnership shall give notice in writing to [F53the Board] forthwith when—
(a)a partner leaves or informs his partners that he intends to leave the partnership, and the date upon which he left or will leave the partnership; or
(b)a new partner joins the partnership.
(2) A notice under sub-paragraph (1)(b) shall—
(a)state the date that the new partner joined the partnership;
(b)confirm that the new partner is a dental practitioner, or that he satisfies the conditions specified in section 28M(2)(b) of the Act;
(c)confirm that the new partner meets the conditions imposed by regulation 4 (general conditions relating to all contracts); and
(d)state whether the new partner is a general or a limited partner.
Textual Amendments
F53Words in Sch. 3 para. 42(1) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(22) (with Sch. 1)
42B.—(1) Where a limited liability partnership is a party to a contract it shall give notice to the Board forthwith when—
(a)it passes a resolution or a court of competent jurisdiction makes an order that the contractor be wound up;
(b)circumstances arise which might entitle a creditor or a court to appoint a receiver, administrator or administrative receiver for the contractor;
(c)circumstances arise which would enable the court to make a winding up order in respect of the contractor;
(d)the contractor is unable to pay its debts within the meaning of section 123 of the Insolvency Act 1986 (definition of inability to pay debts); and
(e)any membership changes are notified in accordance with section 9 of the Limited Liability Partnership Act 2000 (registration of membership changes) to the registrar (within the meaning of that Act) in relation to a person who becomes or ceases to be a member or designated member (within the meaning of that Act) and the notice must specify the date on which that person becomes or ceases to be a member or designated member (as the case may be).
(2) A notice under sub-paragraph (e) must confirm—
(a)that any new member joining the partnership meets the conditions imposed by regulation 4 (general prescribed conditions relating to all contracts); and
(b)following the membership changes, the partnership continues to satisfy the conditions in section 102(2A) of the 2006 Act.]
Textual Amendments
F54Sch. 3 para. 42B inserted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(23) (with Sch. 1)
43. Where the contract is varied in accordance with Part 9 of this Schedule and, as a result of that variation there is to be a change in the range of services provided by the contractor, the contractor shall ensure that there is displayed in a prominent position in its practice premises, in a part to which patients have access, written details of that change.
43A. [F56Where the contractor has elected to enter into a prototype agreement, apart from CDS prototype contractors, the contractor shall]—
(a)send to the Board details of any private treatment provided to a capitated patient attending the practice, in electronic form, whether or not this treatment is associated with services that are provided under the prototype agreement; and
(b)provide all patients attending for treatment at its practice with a privacy notice in a form approved by the Board notifying them of the obligation referred to in sub-paragraph (a).]
Textual Amendments
F55Sch. 3 para. 43A inserted (1.11.2015) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments) (No. 2) Regulations 2015 (S.I. 2015/1728), regs. 1(1), 9
44.—(1) Subject to—
(a)the conditions in sub-paragraph (2); and
(b)sub-paragraph (3),
the contractor shall allow persons authorised in writing by [F58the Board] to enter and inspect the practice premises at any reasonable time.
(2) The conditions referred to in sub-paragraph (1) are that—
(a)reasonable notice of the intended entry has been given;
(b)written evidence of the authority of the person seeking entry is produced to the contractor on request; and
(c)entry is not made to any premises or part of the premises used as residential accommodation without the consent of the resident.
(3) Where the contractor is providing services under the contract in a prison, the contractor shall not be obliged to comply with sub-paragraph (1), or paragraphF59... 46, if—
(a)the contractor has used its best endeavours to allow [F60the Board] F61...or the [F62Care Quality Commission] (as the case may be) to enter and inspect the practice premises; but
(b)entry and inspection has been prevented by the prison authorities despite the contractor's best endeavours.
(4) In this paragraph “practice premises” includes a mobile surgery.
Textual Amendments
F57Words in Sch. 3 para. 44 heading substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(24)(b) (with Sch. 1)
F58Words in Sch. 3 para. 44(1) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(24)(a) (with Sch. 1)
F59Words in Sch. 3 para. 44(3) omitted (1.4.2008) by virtue of The Local Involvement Networks Regulations 2008 (S.I. 2008/528), reg. 1(2), Sch. para. 9(b)(i)
F60Words in Sch. 3 para. 44(3)(a) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(24)(a) (with Sch. 1)
F61Words in Sch. 3 para. 44(3)(a) omitted (1.4.2008) by virtue of The Local Involvement Networks Regulations 2008 (S.I. 2008/528), reg. 1(2), Sch. para. 9(b)(ii)
F62Words in Sch. 3 para. 44(3)(a) substituted (1.4.2009) by The Health and Social Care Act 2008 (Commencement No.9, Consequential Amendments and Transitory, Transitional and Saving Provisions) Order 2009 (S.I. 2009/462), art. 1(4), Sch. 5 para. 17(a)
F6345. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Textual Amendments
F63Sch. 3 para. 45 omitted (1.4.2008) by virtue of The Local Involvement Networks Regulations 2008 (S.I. 2008/528), reg. 1(2), Sch. para. 9(c)
46. [F65Subject to paragraph 44(3), the contractor shall allow persons authorised by the Care Quality Commission to enter and inspect the premises in accordance with section 62 of the Health and Social Care Act 2008 (entry and inspection).]]
Textual Amendments
F64Sch. 3 para. 46 and heading substituted (1.4.2009) by The Health and Social Care Act 2008 (Commencement No.9, Consequential Amendments and Transitory, Transitional and Saving Provisions) Order 2009 (S.I. 2009/462), art. 1(4), Sch. 5 para. 17(b)
F65Sch. 3 para. 46 substituted (1.10.2010) by The Health and Social Care Act 2008 (Miscellaneous Consequential Amendments) Order 2010 (S.I. 2010/1881), arts. 1(1), 18
46A. The contractor must comply with the requirement to allow an authorised representative to enter and view premises and observe the carrying-on of activities on those premises in accordance with regulations made under section 225 (duties of services- providers to allow entry by Local Healthwatch organisations or contractors) of the Local Government and Public Involvement Health Act 2007.]
Textual Amendments
F66Sch. 3 para. 46A substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(25) (with Sch. 1)
Textual Amendments
F67Sch. 3 Pt. 5A inserted (1.4.2009) by The Local Authority Social Services and National Health Service Complaints (England) Regulations 2009 (S.I. 2009/309), reg. 1(2), Sch. para. 5(2) (with Sch. para. 8)
46B. As regards complaints relating to any matter reasonably connected with the provision of services under the contract which are received on or after 1st April 2009, the contractor must have in place a complaints procedure which meets the requirements of the Local Authority Social Services and National Health Service Complaints (England) Regulations 2009.]E+W
F6847. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Textual Amendments
F68Sch. 3 paras. 47, 48 omitted (1.4.2013) by virtue of The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(26) (with Sch. 1)
F6848. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Textual Amendments
F68Sch. 3 paras. 47, 48 omitted (1.4.2013) by virtue of The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(26) (with Sch. 1)
F6949. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Textual Amendments
F69Sch. 3 paras. 49, 50 omitted (1.4.2013) by virtue of The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(26) (with Sch. 1)
F6950. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Textual Amendments
F69Sch. 3 paras. 49, 50 omitted (1.4.2013) by virtue of The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(26) (with Sch. 1)
51.—(1) The contractor shall co-operate with—
(a)any investigation of a complaint in relation to any matter reasonably connected with the provision of services under the contract undertaken by—
(i)[F70the Board]; and
(ii)[F71the Health Service Commissioner]; and
(b)any investigation of a complaint by an NHS body or local authority which relates to a patient or former patient of the contractor.
(2) In sub-paragraph (1)—
“NHS body” means [F72the Board], an NHS trust, an NHS foundation trust, F73... a Local Health Board, a Health Board, a Health and Social Services Board, a Health and Social Services Trust or, a Health Board or Special Health Board constituted under section 2 of the National Health Service (Scotland) Act 1978 M16;
“local authority” means—
any of the bodies listed in section 1 of the Local Authority Social Services Act 1970 M17 (local authorities);
the Council of the Isles of Scilly; F74...
a council constituted under section 2 of the Local Government etc. (Scotland) Act 1994 M18 (constitution of councils); [F75or]
[F76a council of a county or county borough in Wales;]
[F77“Health Service Commissioner” means the person appointed Health Service Commissioner for England in accordance with section 1 of, and Schedule 1 to, the Health Service Commissioners Act 1993].
(3) The co-operation required by sub-paragraph (1) includes—
(a)answering questions reasonably put to the contractor by [F78the Board];
(b)providing any information relating to the complaint reasonably required by [F78the Board]; and
(c)attending any meeting to consider the complaint (if held at a reasonably accessible place and at a reasonable hour, and due notice has been given) if the contractor's presence at the meeting is reasonably required by the Primary Care Trust.
Textual Amendments
F70Words in Sch. 3 para. 51(1)(a)(i) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(27)(a) (with Sch. 1)
F71Words in Sch. 3 para. 51(1)(a)(ii) substituted (1.4.2009) by The Local Authority Social Services and National Health Service Complaints (England) Regulations 2009 (S.I. 2009/309), reg. 1(2), Sch. para. 5(3)(b)(i) (with Sch. para. 8)
F72Words in Sch. 3 para. 51(2) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(27)(b)(i) (with Sch. 1)
F73Words in Sch. 3 para. 51(2) omitted (1.4.2013) by virtue of The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(27)(b)(ii) (with Sch. 1)
F74Word in Sch. 3 para. 51(2) omitted (6.4.2016) by virtue of The Social Services and Well-being (Wales) Act 2014 (Consequential Amendments) (Secondary Legislation) Regulations 2016 (S.I. 2016/211), reg. 1(2), Sch. 3 para. 66(a)
F75Word in Sch. 3 para. 51(2) inserted (6.4.2016) by The Social Services and Well-being (Wales) Act 2014 (Consequential Amendments) (Secondary Legislation) Regulations 2016 (S.I. 2016/211), reg. 1(2), Sch. 3 para. 66(b)
F76Words in Sch. 3 para. 51(2) inserted (6.4.2016) by The Social Services and Well-being (Wales) Act 2014 (Consequential Amendments) (Secondary Legislation) Regulations 2016 (S.I. 2016/211), reg. 1(2), Sch. 3 para. 66(c)
F77Words in Sch. 3 para. 51(2) inserted (1.4.2009) by The Local Authority Social Services and National Health Service Complaints (England) Regulations 2009 (S.I. 2009/309), reg. 1(2), Sch. para. 5(3)(b)(ii) (with Sch. para. 8)
F78Words in Sch. 3 para. 51(3)(a)(b) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(27)(a) (with Sch. 1)
Marginal Citations
M171970 c. 42; section 1 was amended by the Local Government Act 1972 (c. 70), section 195 and by the Local Government (Wales) Act 1994 (c. 19), Schedule 10, paragraph 7.
52. The contractor shall inform [F79the Board], at such intervals as [F79the Board] requires, of the number of complaints it has received under the procedure established in accordance with [F80the Local Authority Social Services and National Health Service Complaints (England) Regulations 2009].
Textual Amendments
F79Words in Sch. 3 para. 52 substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(28)(a) (with Sch. 1)
F80Words in Sch. 3 para. 52 substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(28)(b) (with Sch. 1)
53. In the case of any dispute arising out of or in connection with the contract, the contractor and [F81the Board] must make every reasonable effort to communicate and co-operate with each other with a view to resolving the dispute, before referring the dispute for determination in accordance with the NHS dispute resolution procedure (or, where applicable, before commencing court proceedings).
Textual Amendments
F81Words in Sch. 3 para. 53 substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(29) (with Sch. 1)
54.—[F82(1) In the case of a contract that is not an NHS contract, any dispute arising out of or in connection with the contract, except matters dealt with under the complaints procedure pursuant to Part 6, may be referred for consideration and determination to the Secretary of State—
(a)if it relates to a period when the contractor was a health service body, by the contractor or by the Board; or
(b)in any other case, by the contractor or, if the contractor agrees in writing, by the Board.]
(2) In the case of a dispute referred to the Secretary of State under sub-paragraph (1)—
(a)the procedure to be followed is the NHS dispute resolution procedure; and
(b)the parties agree to be bound by any determination made by the adjudicator.
Textual Amendments
55.—(1) The procedure specified in the following sub-paragraphs and paragraph 56 applies in the case of any dispute arising out of or in connection with the contract which is referred to the Secretary of State—
(a)in accordance with section 4(3) of the 1990 Act (where the contract is an NHS contract); or
(b)in accordance with paragraph 54 (where the contract is not an NHS contract).
(2) Any party wishing to refer a dispute as mentioned in sub-paragraph (1) shall send to the Secretary of State a written request for dispute resolution which shall include or be accompanied by—
(a)the names and addresses of the parties to the dispute;
(b)a copy of the contract; and
(c)a brief statement describing the nature and circumstances of the dispute.
(3) Any party wishing to refer a dispute as mentioned in sub-paragraph (1) must send the request under sub-paragraph (2) within a period of three years beginning with the date on which the matter giving rise to the dispute happened or should reasonably have come to the attention of the party wishing to refer the dispute.
(4) Where the dispute relates to a contract which is not an NHS contract, the Secretary of State may determine the matter herself or, if she considers it appropriate, appoint a person or persons to consider and determine it M19.
(5) Before reaching a decision as to who should determine the dispute, either under sub-paragraph (4) or under section 4(5) of the 1990 Act, the Secretary of State shall, within the period of seven days beginning with the date on which the matter was referred to her, send a written request to the parties to make in writing, within a specified period, any representations which they may wish to make about the matter.
(6) The Secretary of State shall give, with the notice given under sub-paragraph (5), to the party other than the one which referred the matter to dispute resolution a copy of any document by which the matter was referred for dispute resolution.
(7) The Secretary of State shall give a copy of any representations received from a party to the other party and shall in each case request (in writing) a party to whom a copy of the representations is given to make within a specified period any written observations which it wishes to make on those representations.
(8) Following receipt of any representations from the parties or, if earlier, at the end of the period for making such representations specified in the request sent under sub-paragraph (5) or (7), the Secretary of State shall, if she decides to appoint a person or persons to hear the dispute—
(a)inform the parties in writing of the name of the person or persons whom she has appointed; and
(b)pass to the person or persons so appointed any documents received from the parties under sub-paragraphs (2), (5) or (7).
(9) For the purpose of assisting him in his consideration of the matter, the adjudicator may—
(a)invite representatives of the parties to appear before him to make oral representations either together or, with the agreement of the parties, separately, and may in advance provide the parties with a list of matters or questions to which he wishes them to give special consideration; or
(b)consult other persons whose expertise he considers will assist him in his consideration of the matter.
(10) Where the adjudicator consults another person under sub-paragraph (9)(b), he shall notify the parties accordingly in writing and, where he considers that the interests of any party might be substantially affected by the result of the consultation, he shall give to the parties such opportunity as he considers reasonable in the circumstances to make observations on those results.
(11) In considering the matter, the adjudicator shall consider—
(a)any written representations made in response to a request under sub-paragraph (5), but only if they are made within the specified period;
(b)any written observations made in response to a request under sub-paragraph (7), but only if they are made within the specified period;
(c)any oral representations made in response to an invitation under sub-paragraph (9)(a);
(d)the results of any consultation under sub-paragraph (9)(b); and
(e)any observations made in accordance with an opportunity given under sub-paragraph (10).
(12) In this paragraph, “specified period” means such period as the Secretary of State shall specify in the request, being not less than two, nor more than four, weeks beginning with the date on which the notice referred to is given, but the Secretary of State may, if she considers that there is good reason for doing so, extend any such period (even after it has expired) and, where she does so, a reference in this paragraph to the specified period is to the period as so extended.
(13) Subject to the other provisions of this paragraph and paragraph 56, the adjudicator shall have wide discretion in determining the procedure of the dispute resolution to ensure the just, expeditious, economical and final determination of the dispute.
Marginal Citations
M19Where the dispute relates to a contract which is an NHS contract, section 4(5) of the 1990 Act applies.
56.—(1) The adjudicator shall record his determination and the reasons for it, in writing and shall give notice of the determination (including a record of the reasons) to the parties.
(2) In the case of a contract referred for determination in accordance with paragraph 54(1), subsection (8) of section 4 of the 1990 Act shall apply as that subsection applies in the case of a contract referred for determination in accordance with subsection (3) of section 4 of that Act.
(3) In the case of a contract referred for determination in accordance with paragraph 54(1), subsection (5) of section 28P of the Act M20 (GDS contracts: disputes and enforcement) shall apply as that subsection applies in the case of a contract referred for determination in accordance with subsection (3) of section 4 of the 1990 Act.
Marginal Citations
M20Section 28P was inserted into the Act by section 175(1) of the 2003 Act.
57.—(1) In this Part, reference to any dispute arising out of or in connection with the contract include any dispute arising out of or in connection with the termination of the contract.
(2) Any term of the contract that makes provision in respect of the requirements in this Part shall survive even where the contract has terminated.
58.—(1) This paragraph and paragraph 59 apply where services are to be provided under the contract from 1st April in any financial year.
(2) In this paragraph and paragraph 59, references to requirements to provide units of dental activity or orthodontic activity are to such requirements under the terms of the contract giving effect to regulation 17 (units of dental activity) or 18 (units of orthodontic activity).
(3) [F83The Board] shall, by 31st October in each financial year, determine the number of—
(a)units of dental activity; or
(b)units of orthodontic activity,
that the contractor has provided between 1st April and 30th September of that financial year based on the data provided to it by virtue of paragraph 38.
(4) Where [F83the Board] determines under sub-paragraph (3) that the contractor has, between 1st April and 30th September, provided less than 30 per cent of the total number of—
(a)units of dental activity; or
(b)units of orthodontic activity,
that it is required to provide in that financial year, sub-paragraph (5) shall apply.
(5) Where this sub-paragraph applies, [F83the Board] may—
(a)notify the contractor that it is concerned about the level of activity provided under the contract in the first half of the financial year, setting out—
(i)the number of units of dental activity or units of orthodontic activity (as the case may be) that it has determined that the contractor has provided; and
(ii)the percentage of the total number of units of dental activity or units of orthodontic activity (as the case may be) required to be provided during the financial year that the number in sub-paragraph (i) represents; and
(b)require in that notification that the contractor participate in a mid-year review of its performance in relation to the contract with [F83the Board].
(6) Where a mid-year review is required by [F83the Board] pursuant to sub-paragraph (5), [F83the Board] and the contractor shall discuss at that review—
(a)any written evidence the contractor puts forward to demonstrate that it has performed a greater number of units of dental activity or units of orthodontic activity during the first half of the financial year than those notified to it under sub-paragraph (5)(a)(i); and
(b)any reasons that the contractor puts forward for the level of activity in the first half of the financial year.
(7) [F83The Board] shall prepare a draft record of the mid-year review for comment by the contractor and, having regard to such comments, shall produce a final written record of the review.
(8) A copy of the final record of the mid-year review shall be sent to the contractor.
Textual Amendments
F83Words in Sch. 3 para. 58(3)-(7) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(31) (with Sch. 1)
59.—(1) Where, following the mid-year review and the sending of the final record of that review to the contractor, [F85the Board], having taken account of any evidence or reasons put forward by the contractor at that review, nevertheless has serious concerns that the contractor is unlikely to provide the number of—
(a)units of dental activity; or
(b)units of orthodontic activity,
that it is required to provide by the end of the financial year, [F85the Board] shall be entitled to take either or both of the steps specified in sub-paragraph (2).
(2) [F85The Board] may—
(a)require the contractor to comply with a written plan drawn up by [F85the Board] to ensure that the level of activity during the remainder of the financial year is such that the contractor will provide the number of units of dental activity or units of orthodontic activity it is required to provide; or
(b)withhold monies payable under the contract.
(3) The maximum amount that may be withheld pursuant to sub-paragraph (2)(b) is—
(a)the amount that is payable under the contract in respect of the number of units of dental activity or units of orthodontic activity required to be provided in a financial year, less
(b)the amount that would be payable under the contract as a relevant proportion of that amount if the contractor provided in the whole of the financial year only twice the number of units of dental activity or orthodontic activity that he provided between 1st April and 30th September.
(4) Nothing in this paragraph shall prevent [F86the Board] and the contractor agreeing to vary the contract in accordance with paragraph 61 to adjust—
(a)the level of activity to be provided under the contract; or
(b)the monies to be paid by [F86the Board] to the contractor under the contract.
(5) Where [F86the Board] withholds monies under to paragraph (2), it shall ensure that it pays the withheld monies to the contractor as soon as possible following the end of the financial year where the contractor has—
(a)provided the number of units of dental activity or units of orthodontic activity required to be provided; or
(b)failed to provide that number of units of dental activity or units of orthodontic activity, but that failure amounts to 4 per cent or less of the total number of units of dental activity or units of orthodontic activity that ought to have been provided during that financial year (and therefore regulation 19 applies).
Textual Amendments
F84Words in Sch. 3 para. 59 heading substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(32)(b) (with Sch. 1)
F85Words in Sch. 3 para. 59(1)(2) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(32)(a) (with Sch. 1)
F86Words in Sch. 3 para. 59(4)(5) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(32)(a) (with Sch. 1)
60.—(1) Subject to paragraph 31(3), no amendment or variation shall have effect unless it is in writing and signed by or on behalf of [F87the Board] and the contractor.
(2) In addition to the specific provision made in paragraphs 62(6), 63(6) and 75, [F87the Board] may vary the contract without the contractor's consent where it—
(a)is reasonably satisfied that it is necessary to vary the contract so as to comply with the Act, any regulations made pursuant to the Act, or any direction given by the Secretary of State pursuant to the Act; and
(b)notifies the contractor in writing of the wording of the proposed variation and the date upon which that variation is to take effect,
and, where it is reasonably practicable to do so, the date that the proposed variation is to take effect shall be not less than 14 days after the date on which the notice under paragraph (b) is served on the contractor.
Textual Amendments
F87Words in Sch. 3 para. 60 substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(33) (with Sch. 1)
61.—(1) Where the contractor or [F88the Board] is of the opinion that there needs to be a variation to the number of—
(a)units of dental activity; or
(b)units of orthodontic activity,
to be provided under the contract, sub-paragraphs (2) and (3) shall apply.
(2) The contractor or [F88the Board] (as the case may be) shall notify the other party to the contract in writing of its opinion of the need for a variation, specifying in that notice the variation that it considers necessary, together with its reasons.
(3) Following service of the notice referred to in sub-paragraph (2), both parties shall use their best endeavours to communicate and co-operate with each other with a view to determining what (if any) variation should be made to the number of—
(a)units of dental activity; or
(b)units of orthodontic activity,
and any related variations to the contract, including to the monies to be paid to the contractor under the contract, and shall where appropriate effect the variation in accordance with paragraph 60.
Textual Amendments
F88Words in Sch. 3 para. 61(1)(2) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(34) (with Sch. 1)
62.—(1) If a contractor which is an individual dental practitioner proposes to practise in partnership with one or more persons during the existence of the contract, the contractor shall notify [F89the Board] in writing of—
(a)the name of the person or persons with whom it proposes to practise in partnership; and
(b)the date on which the contractor wishes to change its status as a contractor from that of an individual dental practitioner to that of a partnership, which shall be not less than 28 days after the date upon which it has served the notice on [F89the Board] pursuant to this sub-paragraph.
(2) A notice under sub-paragraph (1) shall in respect of the person or each of the persons with whom the contractor is proposing to practise in partnership, and also in respect of itself as regards the matters specified in sub-paragraph (c)—
(a)confirm that he is either—
(i)a dental practitioner; or
(ii)a person who satisfies the conditions specified in section 28M(2)(b) of the Act M21;
(b)confirm that he is a person who satisfies the conditions imposed by regulation 4; and
(c)state whether or not it is to be a limited partnership, and if so, who is to be a limited and who is to be a general partner,
and the notice shall be signed by the individual dental practitioner and by the person, or each of the persons (as the case may be), with whom he is proposing to practise in partnership.
(3) The contractor shall ensure that any person who will practise in partnership with it is bound by the contract, whether by virtue of a partnership deed or otherwise.
(4) If [F90the Board] is satisfied as to the accuracy of the matters specified in sub-paragraph (2) that are included in the notice, [F90the Board] shall give notice in writing to the contractor confirming that the contract shall continue with the partnership entered into by the contractor and its partners, from a date that [F90the Board] specifies in that notice.
(5) Where it is reasonably practicable, the date specified by [F91the Board] pursuant to sub-paragraph (4) shall be the date requested in the notice served by the contractor pursuant to sub-paragraph (1), or, where that date is not reasonably practicable, the date specified shall be a date after the requested date that is as close to the requested date as is reasonably practicable.
(6) Where a contractor has given notice to [F91the Board] pursuant to sub-paragraph (1), [F91the Board]—
(a)may vary the contract but only to the extent that it is satisfied is necessary to reflect the change in status of the contractor from an individual dental practitioner to a partnership; and
(b)if it does propose to so vary the contract, it shall include in the notice served on the contractor pursuant to sub-paragraph (4) the wording of the proposed variation and the date upon which that variation is to take effect.
Textual Amendments
F89Words in Sch. 3 para. 62(1) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(35) (with Sch. 1)
F90Words in Sch. 3 para. 62(4) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(35) (with Sch. 1)
F91Words in Sch. 3 para. 62(5)(6) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(35) (with Sch. 1)
Marginal Citations
M21Section 28M was inserted into the Act by section 175(1) of the 2003 Act.
63.—(1) Subject to sub-paragraph (4), where a contractor consists of two or more individuals practising in partnership in the event that the partnership is terminated or dissolved, the contract shall only continue with one of the former partners if that partner is—
(a)nominated in accordance with sub-paragraph (3); and
(b)a dental practitioner,
and provided that the requirements in sub-paragraphs (2) and (3) are met.
(2) A contractor shall notify [F92the Board] in writing at least 28 days in advance of the date on which the contractor proposes to change its status from that of a partnership to that of an individual dental practitioner pursuant to sub-paragraph (1).
(3) A notice under sub-paragraph (2) shall—
(a)specify the date on which the contractor proposes to change its status from that of a partnership to that of an individual dental practitioner;
(b)specify the name of the dental practitioner with whom the contract will continue, which must be one of the partners; and
(c)be signed by all of the persons who are practising in partnership.
(4) If a partnership is terminated or dissolved because, in a partnership consisting of two individuals practising in partnership, one of the partners has died, sub-paragraphs (1) to (3) shall not apply and—
(a)the contract shall continue with the individual who has not died only if that individual is a dental practitioner; and
(b)that individual shall in any event notify [F93the Board] in writing as soon as is reasonably practicable of the death of his partner.
(5) When [F94the Board] receives a notice pursuant to sub-paragraph (2) or (4)(b), it shall acknowledge in writing receipt of the notice, and in relation to a notice served pursuant to sub-paragraph (2), [F95the Board] shall do so before the date specified pursuant to sub-paragraph (3)(a).
(6) Where a contractor gives notice to [F96the Board] pursuant to sub-paragraph (2) or (4)(b), [F96the Board] may vary the contract but only to the extent that it is satisfied is necessary to reflect the change in status of the contractor from a partnership to an individual dental practitioner.
(7) If [F96the Board] varies the contract pursuant to sub-paragraph (6), it shall notify the contractor in writing of the wording of the proposed variation and the date upon which that variation is to take effect.
Textual Amendments
F92Words in Sch. 3 para. 63(2) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(36)(a) (with Sch. 1)
F93Words in Sch. 3 para. 63(4)(b) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(36)(a) (with Sch. 1)
F94Words in Sch. 3 para. 63(5) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(36)(b)(i) (with Sch. 1)
F95Words in Sch. 3 para. 63(5) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(36)(b)(ii) (with Sch. 1)
F96Words in Sch. 3 para. 63(6)(7) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(36)(a) (with Sch. 1)
64. [F97The Board] and the contractor may agree in writing to terminate the contract, and if the parties so agree, they shall agree the date upon which that termination should take effect and any further terms upon which the contract should be terminated.
Textual Amendments
F97Words in Sch. 3 para. 64 substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(37) (with Sch. 1)
65.—(1) Where the contract is with an individual dental practitioner and that practitioner dies, the contract shall terminate at the end of the period of [F9828 days] after the date of his death unless, before the end of that period—
(a)subject to sub-paragraph (2), [F99the Board] has agreed in writing with the contractor's personal representatives that the contract should continue for a further period, [F100not exceeding 6 months] after the end of the period of [F9828 days]; and
(b)the contractor's personal representatives have confirmed in writing to [F99the Board] that they are employing or engaging one or more dental practitioners to assist in the provision of dental services under the contract throughout the period for which it continues.
(2) Where [F99the Board] is of the opinion that another contractor may wish to enter into a contract in respect of the mandatory services which were provided by the deceased dental practitioner, the [F1016 month period] referred to in sub-paragraph (1)(a) may be extended by a period not exceeding six months as may be agreed.
(3) Sub-paragraph (1) does not affect any other rights to terminate the agreement which [F99the Board] may have under paragraphs 69 to 74.
Textual Amendments
F98Words in Sch. 3 para. 65(1) substituted (1.6.2011) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments) Regulations 2011 (S.I. 2011/1182), regs. 1, 8(3)(a)
F99Words in Sch. 3 para. 65(1)-(3) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(38) (with Sch. 1)
F100Words in Sch. 3 para. 65(1)(a) substituted (1.6.2011) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments) Regulations 2011 (S.I. 2011/1182), regs. 1, 8(3)(b)
F101Words in Sch. 3 para. 65(2) substituted (1.4.2012) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments) Regulations 2012 (S.I. 2012/502), regs. 1, 2(4)
66.—(1) A contractor may terminate the contract by serving notice in writing on [F102the Board] at any time.
(2) Where a contractor serves notice pursuant to sub-paragraph (1), the contract shall terminate on a date three months after the date on which the notice is served (“the termination date”), save that if the termination date is not the last calendar day of a month, the contract shall instead terminate on the last calendar day of the month in which the termination date falls.
(3) This paragraph and paragraph 67 are without prejudice to any other rights to terminate the contract that the contractor may have.
Textual Amendments
F102Words in Sch. 3 para. 66(1) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(39) (with Sch. 1)
67.—(1) The contractor may give notice in writing (a “late payment notice”) to [F103the Board] if [F104the Board] has failed to make any payments due to the contractor in accordance with a term of the contract that has the effect specified in regulation 21 (finance), and the contractor shall specify in the late payment notice the payments that [F104the Board] has failed to make in accordance with that regulation.
(2) Subject to sub-paragraph (3), the contractor may, at least 28 days after having served a late payment notice, terminate the contract by a further written notice if [F105the Board] has still failed to make the payments that were due to the contractor and that were specified in the late payment notice served on [F105the Board] pursuant to sub-paragraph (1).
(3) If, following receipt of a late payment notice, [F105the Board] refers the matter to the NHS dispute resolution procedure within 28 days of the date upon which it is served with the late payment notice, and it notifies the contractor in writing that it has done so within that period of time, the contractor may not terminate the contract pursuant to sub-paragraph (2) until—
(a)there has been a determination of the dispute pursuant to paragraph 56 and that determination permits the contractor to terminate the contract; or
(b)[F105the Board] ceases to pursue the NHS dispute resolution procedure,
whichever is the sooner.
Textual Amendments
F103Words in Sch. 3 para. 67(1) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(40)(a)(i) (with Sch. 1)
F104Words in Sch. 3 para. 67(1) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(40)(a)(ii) (with Sch. 1)
F105Words in Sch. 3 para. 67(2)(3) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(40)(b) (with Sch. 1)
68. [F107The Board] may only terminate the contract in accordance with the provisions in this Part.
Textual Amendments
F106Words in Sch. 3 para. 68 heading substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(41) (with Sch. 1)
F107Words in Sch. 3 para. 68 substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(41) (with Sch. 1)
69.—(1) Subject to sub-paragraph (2), [F109the Board] shall serve notice in writing on the contractor terminating the contract forthwith if—
(a)the contract was entered into pursuant to section 28M(1)(a) of the Act (persons eligible to enter into GDS contracts); and
(b)the contractor is no longer a dental practitioner.
(2) Where a contractor ceases to be a dental practitioner by virtue of a suspension specified in sub-paragraph (6), sub-paragraph (1) shall not apply unless—
(a)the contractor is unable to satisfy [F109the Board] that it has in place adequate arrangements for the provision of dental services under the contract for so long as the suspension continues; or
(b)[F109the Board] is satisfied that the circumstances of the suspension are such that if the contract is not terminated forthwith—
(i)the safety of the contractor's patients is at serious risk; or
(ii)[F109the Board] is at risk of material financial loss.
(3) Except in a case to which paragraph 63(4) applies, where the contractor is two or more persons practising in partnership and the condition prescribed in section 28M(2)(a) of the Act is no longer satisfied, [F109the Board] shall—
(a)serve notice in writing on the contractor terminating the contract forthwith; or
(b)serve notice in writing on the contractor confirming that [F109the Board] will allow the contract to continue for a period specified by [F109the Board] in accordance with sub-paragraph (4) (the “interim period”) if [F109the Board] is satisfied that the contractor has in place adequate arrangements for the provision of dental services for the interim period.
(4) The period specified by [F109the Board] under sub-paragraph (3)(b) shall not exceed—
(a)six months; or
(b)in a case where the failure of the contractor to continue to satisfy the condition in section 28M(2)(a) of the Act is the result of a suspension referred to in sub-paragraph (6), the period for which that suspension continues.
(5) Where the contract was entered into pursuant to section 28M(1)(b) of the Act, but the contractor ceases to be a dental corporation, [F109the Board] shall serve notice in writing on the contractor terminating the contract forthwith.
[F110(5A) Where the contract was entered into pursuant to section 102(1)(d) of the 2006 Act, and the contractor ceases to—
(a)be a limited liability partnership; or
(b)satisfy the conditions in section 102(2A) of that Act;
the Board shall serve notice in writing on the contractor terminating the contract forthwith.]
(6) The suspensions referred to in sub-paragraphs (2) and (4)(b) are—
(a)until the coming into force of article 18 of the Dentists Act Order (substitution of sections 27 and 28)—
(i)suspension by the Health Committee under section 28 of the Dentists Act (powers of the Health Committee);
(ii)suspension by the Professional Conduct Committee or the Health Committee under section 30(3) of that Act (orders for immediate suspension); or
(iii)suspension by the Preliminary Proceedings Committee under section 32 of that Act (orders for interim suspension); or
(b)from the coming into force of article 18 of the Dentists Act Order for all purposes—
(i)suspension by the Health Committee, the Professional Performance Committee or the Professional Conduct Committee under section 27B or 27C of the Dentists Act, except under section 27C(1)(d) (indefinite suspension), following a relevant determination;
(ii)suspension by the Health Committee, the Professional Performance Committee or the Professional Conduct Committee under section 30(1) of that Act (orders for immediate suspension); or
(iii)suspension by the Health Committee, the Professional Performance Committee, the Professional Conduct Committee or the Interim Orders Committee under section 32 of that Act (interim orders).
(7) For the purposes of sub-paragraph (6)(b)(i), a “relevant determination” is a determination that a person's fitness to practise is impaired based solely on the ground mentioned in—
(a)section 27(2)(b) of the Dentists Act (deficient professional performance); or
(b)section 27(2)(c) of that Act (adverse physical or mental health).
Textual Amendments
F108Words in Sch. 3 para. 69 heading substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(42)(c) (with Sch. 1)
F109Words in Sch. 3 para. 69(1)-(5) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(42)(a) (with Sch. 1)
70. [F112The Board] may serve notice in writing on the contractor terminating the contract forthwith, or from such date as may be specified in the notice if, after the contract has been entered into, it comes to the attention of [F112the Board] that written information provided to [F112the Board] by the contractor—
(a)before the contract was entered into; or
(b)pursuant to paragraph 42(2),
in relation to the conditions set out in regulation 4 or 5 (and compliance with those conditions) was, when given, untrue or inaccurate in a material respect.
Textual Amendments
F111Words in Sch. 3 para. 70 heading substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(43) (with Sch. 1)
F112Words in Sch. 3 para. 70 substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(43) (with Sch. 1)
71.—(1) [F114The Board] may serve notice in writing on the contractor terminating the contract forthwith, or from such date as may be specified in the notice if—
(a)in the case of a contract with a dental practitioner, that dental practitioner;
(b)in the case of a contract with two or more individuals practising in partnership, any individual or the partnership; F115...
(c)in the case of a contract with a dental corporation—
(i)the corporation; or
(ii)any director, chief executive or [F116the secretary of the corporation; and]
[F117(d)in the case of a contract with a limited liability partnership—
(i)the limited liability partnership; or
(ii)any member of the limited liability partnership,]
falls within sub-paragraph (2) during the existence of the contract or, if later, on or after the date on which a notice in respect of his compliance with the conditions in regulation 4 or 5 was given under paragraph 42(2).
(2) A person falls within this sub-paragraph if—
(a)he or it is the subject of a national disqualification;
(b)subject to sub-paragraph (3), he or it is disqualified or suspended (other than by an interim suspension order or direction pending an investigation or a suspension on the grounds of ill-health) from practising by any licensing body anywhere in the world;
(c)subject to sub-paragraph (4), he has been dismissed (otherwise than by reason of redundancy) from any employment by a health service body unless before [F118the Board] has served a notice terminating the contract pursuant to this paragraph, he is employed by the health service body that dismissed him or by another health service body;
(d)he or it is removed from, or refused admission to, a primary care list by reason of inefficiency, fraud or unsuitability (within the meaning of section 49F(2), (3) and (4) of the Act M22 respectively) unless his name has subsequently been included in such a list;
(e)he has been convicted in the United Kingdom of—
(i)murder; or
(ii)a criminal offence other than murder, committed on or after 14th December 2001, and has been sentenced to a term of imprisonment of over six months;
(f)subject to sub-paragraph (5), he has been convicted outside the United Kingdom of an offence—
(i)which would, if committed in England and Wales, constitute murder; or
(ii)committed on or after 14th December 2001, which would if committed in England and Wales, constitute a criminal offence other than murder, and been sentenced to a term of imprisonment of over six months;
(g)he has been convicted of an offence referred to in Schedule 1 to the Children and Young Persons Act 1933 M23 (offences against children and young persons with respect to which special provisions apply) or Schedule 1 to the Criminal Procedure (Scotland) Act 1995 M24 (offences against children under the age of 17 years to which special provisions apply);
(h)he or it has—
(i)been [F119made] bankrupt or had sequestration of his estate awarded [F120or is a person in relation to whom a moratorium period under a debt relief order (under Part 7A of the Insolvency Act 1986) applies] unless F121... he has been discharged [F122from the bankruptcy or the sequestration] or the bankruptcy order has been annulled;
(ii)been made the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 4A[F123, or a debt relief restrictions order or interim debt relief restrictions order under Schedule 4ZB,] to the Insolvency Act 1986 M25, unless that order has ceased to have effect or has been annulled;
(iii)made a composition or arrangement with, or granted a trust deed for, his or its creditors unless he or it has been discharged in respect of it; or
(iv)been wound up under Part IV of the Insolvency Act 1986;
(i)there is—
(i)an administrator, administrative receiver or receiver appointed in respect of it; or
(ii)an administration order made in respect of it under Schedule B1 to the Insolvency Act 1986 M26;
(j)that person is a partnership and—
(i)a dissolution of the partnership is ordered by any competent court, tribunal or arbitrator; or
(ii)an event happens that makes it unlawful for the business of the partnership to continue, or for members of the partnership to carry on in partnership;
(k)he has been—
(i)removed from the office of charity trustee or trustee for a charity by an order made by the Charity Commissioners or the High Court on the grounds of any misconduct or mismanagement in the administration of the charity for which he was responsible or to which he was privy, or which he by his conduct contributed to or facilitated; or
(ii)removed under section 7 of the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990 M27 (powers of the Court of Session to deal with management of charities) [F124or under section 34 of the Charities and Trustee Investment (Scotland) Act 2005 (powers of Court of Session)], from being concerned in the management or control of any body;
(l)he is subject to a disqualification order under the Company Directors Disqualification Act 1986 M28, the Companies (Northern Ireland) Order 1986 M29 or to an order made under section 429(2)(b) of the Insolvency Act 1986 (failure to pay under county court administration order); or
(m)he has refused to comply with a request by [F125the Board] for him to be medically examined on the grounds that it is concerned that he is incapable of adequately providing services under the contract and, in a case where the contract is with two or more individuals practising in partnership[F126, with a dental corporation or a limited liability partnership] [F125the Board] is not satisfied that the contractor is taking adequate steps to deal with the matter.
(3) [F127The Board] shall not terminate the contract pursuant to sub-paragraph (2)(b) where [F128the Board] is satisfied that the disqualification or suspension imposed by a licensing body outside the United Kingdom does not make the person unsuitable to be—
(a)a contractor;
(b)a partner, in the case of a contract with two or more individuals practising in partnership; F129...
(c)in the case of a contract with a dental corporation, a director, chief executive or secretary of the corporation [F130; or]
[F131(d)in the case of a contract with a limited liability partnership, a member of that limited liability partnership.]
(4) [F127The Board] shall not terminate the contract pursuant to sub-paragraph (2)—
(a)until a period of at least three months has elapsed since the date of the dismissal of the person concerned; or
(b)if, during the period of time specified in paragraph (a), the person concerned brings proceedings in any competent tribunal or court in respect of his dismissal, until proceedings before that tribunal or court are concluded,
and [F128the Board] may only terminate the contract at the end of the period specified in paragraph (b) if there is no finding of unfair dismissal at the end of those proceedings.
(5) [F127The Board] shall not terminate the contract pursuant to sub-paragraph (2)(f) where [F128the Board] is satisfied that the conviction does not make the person unsuitable to be—
(a)a contractor;
(b)a partner, in the case of a contract with two or more individuals practising in partnership; F132...
(c)in the case of a contract with a dental corporation, a director, chief executive or secretary of the corporation [F133; or]
[F134(d)in the case of a contract with a limited liability partnership, a member of that limited liability partnership.]
Textual Amendments
F113Words in Sch. 3 para. 71 heading substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(j) (with Sch. 1)
F114Words in Sch. 3 para. 71(1) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(a) (with Sch. 1)
F115Word in Sch. 3 para. 71(1)(b) omitted (1.4.2013) by virtue of The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(c) (with Sch. 1)
F116Words in Sch. 3 para. 71(1)(c)(ii) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(d) (with Sch. 1)
F117Sch. 3 para. 71(1)(d) inserted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(e) (with Sch. 1)
F118Words in Sch. 3 para. 71(2)(c) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(a) (with Sch. 1)
F119Word in Sch. 3 para. 71(2)(h)(i) substituted (6.4.2016) by The Enterprise and Regulatory Reform Act 2013 (Consequential Amendments) (Bankruptcy) and the Small Business, Enterprise and Employment Act 2015 (Consequential Amendments) Regulations 2016 (S.I. 2016/481), reg. 1, Sch. 2 para. 13
F120Words in Sch. 3 para. 71(2)(h)(i) inserted (1.10.2012) by The Tribunals, Courts and Enforcement Act 2007 (Consequential Amendments) Order 2012 (S.I. 2012/2404), art. 1, Sch. 3 para. 47(3)(a)(i) (with art. 7)
F121Words in Sch. 3 para. 71(2)(h)(i) omitted (1.10.2012) by virtue of The Tribunals, Courts and Enforcement Act 2007 (Consequential Amendments) Order 2012 (S.I. 2012/2404), art. 1, Sch. 3 para. 47(3)(a)(ii) (with art. 7)
F122Words in Sch. 3 para. 71(2)(h)(i) inserted (1.10.2012) by The Tribunals, Courts and Enforcement Act 2007 (Consequential Amendments) Order 2012 (S.I. 2012/2404), art. 1, Sch. 3 para. 47(3)(a)(iii) (with art. 7)
F123Words in Sch. 3 para. 71(2)(h)(ii) inserted (1.10.2012) by The Tribunals, Courts and Enforcement Act 2007 (Consequential Amendments) Order 2012 (S.I. 2012/2404), art. 1, Sch. 3 para. 47(3)(b) (with arts. 7, 8)
F124Words in Sch. 3 para. 71(2)(k)(ii) inserted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(f) (with Sch. 1)
F125Words in Sch. 3 para. 71(2)(m) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(a) (with Sch. 1)
F126Words in Sch. 3 para. 71(2)(m) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(g) (with Sch. 1)
F127Words in Sch. 3 para. 71(3)-(5) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(b) (with Sch. 1)
F128Words in Sch. 3 para. 71(3)-(5) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(a) (with Sch. 1)
F129Word in Sch. 3 para. 71(3)(b) omitted (1.4.2013) by virtue of The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(h)(i) (with Sch. 1)
F130Word in Sch. 3 para. 71(3)(c) inserted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(h)(ii) (with Sch. 1)
F131Sch. 3 para. 71(3)(d) inserted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(h)(iii) (with Sch. 1)
F132Word in Sch. 3 para. 71(5)(b) omitted (1.4.2013) by virtue of The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(i)(i) (with Sch. 1)
F133Word in Sch. 3 para. 71(5)(c) inserted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(i)(ii) (with Sch. 1)
F134Sch. 3 para. 71(5)(d) inserted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(44)(i)(iii) (with Sch. 1)
Marginal Citations
M22Section 49F was inserted into the Act by section 25 of the 2001 Act and amended by the 2002 Act, Schedule 3, paragraph 21 and the 2003 Act, Schedule 14, Part 2.
M231933 c. 12 as amended by the Domestic Violence, Crime and Victims Act 2004 (c. 28), section 58(1), Schedule 10, paragraph 2, the Sexual Offences Act 2003 (c. 42) section 139 and Schedule 6, paragraph 7, the Criminal Justice Act 1988 (c. 33), section 170 and Schedule 15, paragraph 8 and Schedule 16, paragraph 16 and the Sexual Offences Act 1956 (c. 69), sections 48 and 51 and Schedules 3 and 4; and as modified by the Criminal Justice Act 1988, section 170(1), Schedule 15, paragraph 9.
M251986 c. 45. Schedule 4A was inserted by section 257 of, and Schedule 3 to, the Enterprise Act 2002 (c. 40).
M26Schedule B1 was inserted by section 248 of and Schedule 16 to the Enterprise Act 2002.
M281986 c. 46 as amended by the Insolvency Act 2000 (c. 39).
72. [F136The Board] may serve notice in writing on the contractor terminating the contract forthwith or with effect from such date as may be specified in the notice if—
(a)the contractor has breached the contract and as a result of that breach, the safety of the contractor's patients is at serious risk if the contract is not terminated; or
(b)the contractor's financial situation is such that [F136the Board] considers that [F136the Board] is at risk of material financial loss.
Textual Amendments
F135Words in Sch. 3 para. 72 heading substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(45) (with Sch. 1)
F136Words in Sch. 3 para. 72 substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(45) (with Sch. 1)
73.—(1) Where a contractor has breached the contract other than as specified in paragraphs 70 to 72 and the breach is capable of remedy, [F138the Board] shall, before taking any action it is otherwise entitled to take by virtue of the contract, serve a notice on the contractor requiring it to remedy the breach (“remedial notice”).
(2) A remedial notice shall specify—
(a)details of the breach;
(b)the steps the contractor must take to the satisfaction of [F139the Board] in order to remedy the breach; and
(c)the period during which the steps must be taken (“the notice period”).
(3) The notice period shall, unless [F140the Board] is satisfied that a shorter period is necessary to—
(a)protect the safety of the contractor's patients; or
(b)protect itself from material financial loss,
be no less than 28 days from the date that notice is given.
(4) Where [F141the Board] is satisfied that the contractor has not taken the required steps to remedy the breach by the end of the notice period, [F140the Board] may terminate the contract with effect from such date as [F140the Board] may specify in a further notice to the contractor.
(5) Where a contractor has breached the contract other than as specified in paragraphs 70 to 72 and the breach is not capable of remedy, [F140the Board] may serve notice on the contractor requiring the contractor not to repeat the breach (“breach notice”).
(6) If, following a breach notice or a remedial notice, the contractor—
(a)repeats the breach that was the subject of the breach notice or the remedial notice; or
(b)otherwise breaches the contract resulting in either a remedial notice or a breach notice,
[F140the Board] may serve notice on the contractor terminating the contract with effect from such date as may be specified in that notice.
(7) [F140The Board] shall not exercise its right to terminate the contract under sub-paragraph (6) unless it is satisfied that the cumulative effect of the breaches is such that [F140the Board] considers that to allow the contract to continue would be prejudicial to the efficiency of the services to be provided under the contract.
(8) If the contractor is in breach of any obligation and a breach notice or a remedial notice in respect of that breach has been given to the contractor, [F140the Board] may withhold or deduct monies which would otherwise be payable under the contract in respect of that obligation which is the subject of the breach.
Textual Amendments
F137Words in Sch. 3 para. 73 heading substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(46)(c) (with Sch. 1)
F138Words in Sch. 3 para. 73(1) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(46)(a) (with Sch. 1)
F139Words in Sch. 3 para. 73(2)(b) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(46)(a) (with Sch. 1)
F140Words in Sch. 3 para. 73(3)-(8) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(46)(a) (with Sch. 1)
F141Words in Sch. 3 para. 73(4) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(46)(b) (with Sch. 1)
74.—(1) Where the contractor is a dental corporation, if [F143the Board] becomes aware that the contractor is carrying on any business which [F143the Board] considers to be detrimental to the contractor's performance of its obligations under the contract—
(a)[F143the Board] shall be entitled to give notice to the contractor requiring that it ceases carrying on that business before the end of a period of not less than 28 days beginning on the day on which the notice is given (“the notice period”); and
(b)if the contractor has not satisfied [F143the Board] that it has ceased carrying on that business by the end of the notice period, [F143the Board] may, by a further written notice, terminate the contract forthwith or from such date as may be specified in the notice.
(2) Where the contractor is a dental corporation and on or after the coming into force for all purposes of article 39 of the Dentists Act Order during the existence of the contract—
(a)the majority of the directors of the dental corporation cease to be either dental practitioners or dental care professionals;
(b)the dental corporation has been convicted of an offence under section 43(1) of the Dentists Act M30 (directors of bodies corporate); or
(c)the dental corporation, or a director or former director of that corporation, has had a financial penalty imposed on it or him by the General Dental Council pursuant to section 43B (financial penalties in relation to bodies corporate) or 44 (further financial penalties on bodies corporate) of the Dentists Act M31,
[F143the Board] may, by written notice, terminate the contract if it considers that as a consequence the dental corporation is no longer suitable to be a contractor.
(3) Where the contractor is two or more persons practising in partnership, [F143the Board] shall be entitled to terminate the contract by notice in writing on such date as may be specified in that notice where one or more partners have left the practice during the existence of the contract if, in its reasonable opinion, [F143the Board] considers that the change in membership of the partnership is likely to have a serious adverse impact on the ability of the contractor or [F143the Board] to perform its obligations under the contract.
(4) A notice given to the contractor pursuant to sub-paragraph (3) shall specify—
(a)the date upon which the contract is to be terminated; and
(b)[F144the Board’s] reasons for considering that the change in the membership of the partnership is likely to have a serious adverse impact on the ability of the contractor or the Primary Care Trust to perform its obligations under the contract.
[F145(5) Where the contractor is a limited liability partnership, the Board shall be entitled to terminate the contract by notice in writing on such date as may be specified in that notice where one or more members have left the practice during the existence of the contract if, in its reasonable opinion, the Board considers that the change in membership of the limited liability partnership is likely to have a serious adverse impact on the ability of the contractor or the Board to perform its obligations under the contract.
(6) A notice given to the contractor pursuant to sub-paragraph (5) shall specify—
(a)the date upon which the contract is to be terminated; and
(b)the Board’s reasons for considering that the change in the membership of the limited liability partnership is likely to have a serious adverse impact on the ability of the contractor or the Board to perform its obligations under the contract.]
Textual Amendments
F142Sch. 3 para. 74 heading substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(47)(c) (with Sch. 1)
F143Words in Sch. 3 para. 74(1)-(3) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(47)(a) (with Sch. 1)
F144Words in Sch. 3 para. 74(4) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(47)(b)(i) (with Sch. 1)
F145Sch. 3 para. 74(5)(6) added (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(47)(b)(ii) (with Sch. 1)
Marginal Citations
M30Section 43 of the Dentists Act is substituted by the Dentists Act Amendment Order 2005, article 39.
M31Section 43B was inserted into, and section 44 is substituted by, the Dentists Act Amendment Order, article 39.
75.—(1) In this paragraph and paragraph 76, “contract sanction” means—
(a)termination of specified reciprocal obligations under the contract;
(b)suspension of specified reciprocal obligations under the contract for a period of up to six months; or
(c)withholding or deducting monies otherwise payable under the contract.
(2) Where [F146the Board] is entitled to terminate the contract pursuant to paragraph 70, 71, 72, 73(4), 73(6) or 74, it may instead impose any of the contract sanctions if [F146the Board] is reasonably satisfied that the contract sanction to be imposed is appropriate and proportionate to the circumstances giving rise to [F147the Board’s] entitlement to terminate the contract.
(3) [F146The Board] shall not, under sub-paragraph (2), be entitled to impose any contract sanction that has the effect of terminating or suspending any obligation to provide, or any obligation that relates to, mandatory services.
(4) If [F146the Board] decides to impose a contract sanction, it must notify the contractor of the contract sanction that it proposes to impose, the date upon which that sanction will be imposed and provide in that notice an explanation of the effect of the imposition of that sanction.
(5) Subject to paragraph 76, [F146the Board] shall not impose the contract sanction until at least 28 days after it has served notice on the contractor pursuant to sub-paragraph (4) unless [F146the Board] is satisfied that it is necessary to do so in order to—
(a)protect the safety of the contractor's patients; or
(b)protect itself from material financial loss.
(6) Where [F146the Board] imposes a contract sanction, [F146the Board] shall be entitled to charge the contractor the reasonable costs of additional administration that [F146the Board] has incurred in order to impose, or as a result of imposing, the contract sanction.
Textual Amendments
F146Words in Sch. 3 para. 75(2)-(6) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(48)(a) (with Sch. 1)
F147Words in Sch. 3 para. 75(2) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(48)(b) (with Sch. 1)
76.—(1) If there is a dispute between [F148the Board] and the contractor in relation to a contract sanction that [F148the Board] is proposing to impose, [F148the Board] shall not, subject to sub-paragraph (4), impose the proposed contract sanction except in the circumstances specified in sub-paragraph (2)(a).
(2) If the contractor refers the dispute relating to the contract sanction to the NHS dispute resolution procedure within 28 days beginning on the date on which [F148the Board] served notice on the contractor in accordance with paragraph 75(4) (or such longer period as may be agreed in writing with [F148the Board]), and notifies [F148the Board] in writing that it has done so, [F148the Board] shall not impose the contract sanction unless—
(a)there has been a determination of the dispute pursuant to paragraph 56 and that determination permits [F148the Board] to impose the contract sanction; or
(b)the contractor ceases to pursue the NHS dispute resolution procedure,
whichever is the sooner.
(3) If the contractor does not invoke the NHS dispute resolution procedure within the time specified in sub-paragraph (2), [F148the Board] shall be entitled to impose the contract sanction forthwith.
(4) If [F148the Board] is satisfied that it is necessary to impose the contract sanction before the NHS dispute resolution procedure is concluded in order to—
(a)protect the safety of the contractor's patients; or
(b)protect itself from material financial loss,
[F148the Board] shall be entitled to impose the contract sanction forthwith, pending the outcome of that procedure.
Textual Amendments
F148Words in Sch. 3 para. 76(1)-(4) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(49) (with Sch. 1)
77.—(1) Where [F149the Board] is entitled to serve written notice on the contractor terminating the contract pursuant to paragraph 70, 71, 72, 73(4), 73(6) or 74, [F149the Board] shall, in the notice served on the contractor pursuant to those provisions, specify a date on which the contract terminates that is not less than 28 days after the date on which [F149the Board] has served that notice on the contractor unless sub-paragraph (2) applies.
(2) This sub-paragraph applies if [F149the Board] is satisfied that a period less than 28 days is necessary in order to—
(a)protect the safety of the contractor's patients; or
(b)protect itself from material financial loss.
(3) In a case falling with sub-paragraph (1), where the exceptions in sub-paragraph (2) do not apply, where the contractor invokes the NHS dispute resolution procedure before the end of the period of notice referred to in sub-paragraph (1), and it notifies [F149the Board] in writing that it has done so, the contract shall not terminate at the end of the notice period but instead shall only terminate in the circumstances specified in sub-paragraph (4).
(4) The contract shall only terminate if and when—
(a)there has been a determination of the dispute pursuant to paragraph 56 and that determination permits [F149the Board] to terminate the contract; or
(b)the contractor ceases to pursue the NHS dispute resolution procedure,
whichever is the sooner.
(5) If [F150the Board] is satisfied that it is necessary to terminate the contract before the NHS dispute resolution procedure is concluded in order to—
(a)protect the safety of the contractor's patients; or
(b)protect itself from material financial loss,
sub-paragraphs (3) and (4) shall not apply and [F150the Board] shall be entitled to confirm, by written notice to be served on the contractor, that the contract will nevertheless terminate at the end of the period of the notice it served pursuant to paragraph 70, 71, 72, 73(4), 73(6) or 74.
Textual Amendments
F149Words in Sch. 3 para. 77(1)-(4) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(50) (with Sch. 1)
F150Words in Sch. 3 para. 77(5) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(50) (with Sch. 1)
78.—(1) Subject to sub-paragraph (2), the contractor shall ensure that it requests, in respect of a person who makes a declaration relating to exemption under paragraph 1(1) of Schedule 12ZA M32 to the Act, evidence in support of that declaration.
(2) The contractor shall ensure that—
(a)a note of the type of evidence submitted is made; or
(b)in the case where no evidence is submitted, a note of that fact is made.
(3) Sub-paragraphs (1) and (2) do not apply where the contractor is satisfied that the person in respect of whom the declaration is made is under the age of 18 years.
Marginal Citations
M32Section 12ZA is inserted into the Act by section 183(2) of the 2003 Act.
79.—(1) The contractor shall comply with such clinical governance arrangements as [F151the Board] may establish in respect of contractors providing services under a contract.
(2) The contractor shall nominate a person who manages services under the contract to have responsibility for ensuring compliance with clinical governance arrangements.
(3) In this paragraph, “clinical governance arrangements” means arrangements through which the contractor endeavours to continuously improve the quality of its services and safeguard high standards of care by creating an environment in which clinical excellence can flourish.
Textual Amendments
F151Words in Sch. 3 para. 79(1) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(51) (with Sch. 1)
79A. The contractor must co-operate with the Secretary of State in the discharge of the Secretary of State’s duty under section 1F of the 2006 Act (duty as to education and training), or, co-operate with Health Education England where Health Education England is discharging that duty by virtue of [F153section 97 of the Care Act 2014].]
Textual Amendments
F152Sch. 3 para. 79A inserted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(52) (with Sch. 1)
80.—(1) The contractor shall establish and operate a practice based quality assurance system which is applicable to all the persons specified in sub-paragraph (2).
(2) The specified persons are—
(a)any dental practitioner who performs services under the contract; and
(b)any other person employed or engaged by the contractor to perform or assist in the performance of services under the contract.
(3) A contractor shall ensure that in respect of its practice based quality assurance system, it has nominated a person (who need not be connected with the contractor's practice) to be responsible for operating that system.
(4) In this paragraph, “a practice based quality assurance system” means one which comprises a system to ensure that—
(a)effective measures of infection control are used;
(b)all legal requirements relating to health and safety in the workplace are satisfied;
(c)all legal requirements relating to radiological protection are satisfied; and
(d)any requirements of the General Dental Council in respect of the continuing professional development of dental practitioners are satisfied.
81.—(1) The contractor shall at all times [F154have in force in relation to it an indemnity arrangement which provides appropriate cover].
(2) The contractor shall not sub-contract its obligations to provide clinical services under the contract unless it has satisfied itself that the sub-contractor [F155has in force in relation to it an indemnity arrangement which provides appropriate cover].
(3) In this paragraph—
(a)[F156“indemnity arrangement” means] a contract of insurance or other arrangement made for the purpose of indemnifying the contractor;
[F157(aa)“appropriate cover” means cover against liabilities that may be incurred by the contractor in the performance of clinical services under the contract, which is appropriate, having regard to the nature and extent of the risks in the performance of such services;] and
(b)a contractor or sub-contractor shall be regarded as [F158having in force in relation to it an indemnity arrangement if there is an indemnity arrangement in force in relation to] an employee of its in connection with clinical services which that employee provides under the contract or, as the case may be, sub-contract.
Textual Amendments
F154Words in Sch. 3 para. 81(1) substituted (17.7.2014) by The Health Care and Associated Professions (Indemnity Arrangements) Order 2014 (S.I. 2014/1887), art. 1(2), Sch. 2 para. 8(a)
F155Words in Sch. 3 para. 81(2) substituted (17.7.2014) by The Health Care and Associated Professions (Indemnity Arrangements) Order 2014 (S.I. 2014/1887), art. 1(2), Sch. 2 para. 8(b)
F156Words in Sch. 3 para. 81(3)(a) substituted (17.7.2014) by The Health Care and Associated Professions (Indemnity Arrangements) Order 2014 (S.I. 2014/1887), art. 1(2), Sch. 2 para. 8(c)
F157Sch. 3 para. 81(3)(aa) inserted (17.7.2014) by The Health Care and Associated Professions (Indemnity Arrangements) Order 2014 (S.I. 2014/1887), art. 1(2), Sch. 2 para. 8(d)
F158Words in Sch. 3 para. 81(3)(b) substituted (17.7.2014) by The Health Care and Associated Professions (Indemnity Arrangements) Order 2014 (S.I. 2014/1887), art. 1(2), Sch. 2 para. 8(e)
82.—(1) The contractor shall at all times hold adequate public liability insurance in relation to liabilities to third parties arising under or in connection with the contract which are not covered by [F159an indemnity arrangement] referred to in paragraph 81(1).
(2) In this paragraph, “[F160indemnity arrangement]” has the same meaning as in paragraph 81.
Textual Amendments
F159Words in Sch. 3 para. 82(1) substituted (17.7.2014) by The Health Care and Associated Professions (Indemnity Arrangements) Order 2014 (S.I. 2014/1887), art. 1(2), Sch. 2 para. 8(f)
F160Words in Sch. 3 para. 82(2) substituted (17.7.2014) by The Health Care and Associated Professions (Indemnity Arrangements) Order 2014 (S.I. 2014/1887), art. 1(2), Sch. 2 para. 8(g)
83.—(1) The contractor shall keep a register of gifts which are given to any of the persons specified in sub-paragraph (2) by or on behalf of—
(a)a patient;
(b)a relative of a patient; or
(c)any person who provides or wishes to provide services to the contractor or its patients in connection with the contract,
and have, in its reasonable opinion, an individual value of more than £100.00.
(2) The persons referred to in sub-paragraph (1) are—
(a)the contractor;
(b)where the contract is with two or more individuals practising in partnership, any partner;
(ba)[F161where the contract is with a limited liability partnership, a member of that limited liability partnership;]
(c)where the contract is with a dental corporation a director, chief executive or secretary of the corporation;
(d)any person employed by the contractor for the purposes of the contract;
(e)any dental practitioner engaged by the contractor for the purposes of the contract;
(f)any spouse or civil partner of a contractor (where the contractor is an individual dental practitioner) or of a person specified in paragraphs (b) to (e); or
(g)any person whose relationship with the contractor (where the contractor is an individual dental practitioner) or with a person specified in paragraphs (b) to (e) has the characteristics of the relationship between husband and wife or civil partners.
(3) Sub-paragraph (1) does not apply where—
(a)there are reasonable grounds for believing that the gift is unconnected with services provided or to be provided by the contractor;
(b)the contractor is not aware of the gift; or
(c)in a case falling within sub-paragraph (1)(c), the contractor is not aware that the donor wishes to provide services to the contractor.
(4) The contractor shall take reasonable steps to ensure that it is informed of gifts which fall within sub-paragraph (1) and which are given to any of the persons specified in sub-paragraph (2)(b) to (2)(g).
(5) The register referred to in sub-paragraph (1) shall include the following information—
(a)the name of the donor;
(b)in a case where the donor is a patient, the patient's National Health Service number or, if the number is not known, his address;
(c)in any other case, the address of the donor;
(d)the nature of the gift;
(e)the estimated value of the gift; and
(f)the name of the person or persons who received the gift.
(6) The contractor shall make the register available to [F162the Board] on request.
Textual Amendments
F161Sch. 3 para. 83(2)(ba) inserted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(53)(a) (with Sch. 1)
F162Words in Sch. 3 para. 83(6) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(53)(b) (with Sch. 1)
84. The contractor shall—
(a)comply with all relevant legislation; and
[F163(b)have regard to all relevant guidance issued by the Board and the Secretary of State].
Textual Amendments
F163Sch. 3 para. 84(b) substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 19(54) (with Sch. 1)
85. The contract shall not create any right enforceable by any person not a party to it.
86.—(1) In addition to any other requirement that may relate to the documents specified in sub-paragraph (2), whether in these Regulations or otherwise, the contractor shall ensure such documents include—
(a)the name and clinical profession of the professional who signed the document; and
(b)the name of the contractor on whose behalf it is signed.
(2) The reference to documents in sub-paragraph (1) include—
(a)forms that are required to be completed as a consequence of these Regulations, where such forms require a signature;
(b)prescription forms; and
(c)any other clinical document.
Regulation 24 and paragraph 34 of Schedule 3
A patient leaflet shall include—
1. The name of the contractor.E+W
2. In the case of a contract with a partnership—E+W
(a)whether or not it is a limited partnership; and
(b)the names of all the partners and, in the case of a limited partnership, their status as a general or limited partner.
[F1642A. In the case of a contract with a limited liability partnership—E+W
(a)whether or not it is a limited liability partnership;
(b)the names of the members of the limited liability partnership; and
(c)the registered premises address of the limited liability partnership.]
Textual Amendments
3. In the case of a contract with a dental corporation—E+W
(a)the names of the directors, chief executive and secretary of the corporation, in so far as those positions exist in relation to the dental corporation; and
(b)the address of the corporation's registered office.
4. The full name of each person performing services under the contract.E+W
5. In the case of each person performing dental services under the contract, his professional qualifications.E+W
6. Whether the contractor undertakes the teaching or training of persons who provide dental services or who intend to do so.E+W
7. The address of each of the practice premises.E+W
8. The contractor's telephone and fax numbers and the address of its website (if any).E+W
9. Whether the practice premises have suitable access for disabled patients and, if not, the alternative arrangements for providing services to such patients.E+W
10. How to request services as a patient.E+W
11. The rights of a patient to express a preference of practitioner in accordance with paragraph 2 of Schedule 3 and the means of expressing such a preference.E+W
12. The services available under the contract.E+W
13. The normal surgery days and hours of the practice.E+W
14. The arrangements for dental services for the hours and days that fall outside normal surgery hours (whether or not provided by the contractor) and how the patient may contact such services.E+W
15. If the services in paragraph 14 are not provided by the contractor, the fact that [F165the Board] referred to in paragraph 21 is responsible for commissioning the services.E+W
Textual Amendments
F165Words in Sch. 4 para. 15 substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 20(a) (with Sch. 1)
F16616. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .E+W
Textual Amendments
F166Sch. 4 para. 16 omitted (1.4.2014) by virtue of The National Health Service Primary Dental Services (Miscellaneous Amendments) Regulations 2014 (S.I. 2014/443), regs. 1, 3(4)
17. How patients may make a complaint or comment on the provision of service.E+W
18. The rights and responsibilities of the patient, including keeping appointments.E+W
19. The action that may be taken where a patient is violent or abusive to the contractor, its staff, persons present on the practice premises or in the place where treatment is provided under the contract or other persons specified in paragraph 3 of Schedule 3.E+W
20. Details of who has access to patient information (including information from which the identity of the individual can be ascertained) and the patient's rights in relation to disclosure of such information.E+W
[F16721. The full name, postal, email and website address, and telephone number of the Board.]E+W
Textual Amendments
F167Sch. 4 para. 21 substituted (1.4.2013) by The National Health Service (Primary Dental Services) (Miscellaneous Amendments and Transitional Provisions) Regulations 2013 (S.I. 2013/364), regs. 1(1), 20(a)(c) (with Sch. 1)
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