The National Health Service (General Dental Services) Amendment (No.6) Regulations 2001

Insertion of new regulations 5ZA to 5ZD into the principal Regulations

5.  After regulation 5 insert the following regulations—

“Grounds for refusal

5ZA.— (1) The grounds on which a Health Authority may refuse to include a dentist in the dental list under regulation 5 are—

(a) that they have considered the declaration required by paragraph 5B of Schedule 2 and any other information in their possession in relation to his application and consider he is unsuitable to be included in the list;

(b) that having checked the information provided by the dentist under paragraph 5B of Schedule 2 they consider the dentist is unsuitable to be included in the list;

(c) that having contacted referees, they are not satisfied with the references given in accordance with paragraph 11A of Schedule 2;

(d) that having checked with the National Health Service Counter Fraud Service for any facts that it considers relevant relating to past or current investigations involving the dentist, and having considered these and any fraud case relating to the dentist, they consider these justify such refusal;

(e) they consider that there are grounds to consider that admitting the dentist to the list would be prejudicial to the efficiency of the service which he would undertake.

(2) The grounds on which a Health Authority must refuse to include a dentist under regulation 5 are—

(a) where he has been convicted in the United Kingdom of murder;

(b) where, after 13th December 2001, he has been convicted in the United Kingdom of a criminal offence and sentenced to a term of imprisonment of over six months;

(c) where he is subject to a national disqualification;

(d) where he has not updated his application in accordance with regulation 5Z(b)(4);

(e) where he does not notify the Health Authority under regulation 5ZD(11) that he wishes to be included in the list subject to the specified conditions.

(3) Where the Health Authority are considering refusing to include a dentist in a list under paragraph (1), they shall consider all facts which appear to them to be relevant and shall in particular take into consideration in relation to paragraph (1)(a), (b) or (d) above—

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

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

(c) whether there are other offences, incidents or investigations to be considered;

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

(e) the relevance of any offence, investigation or incident to the provision by him of general dental services and any likely risk to his patients or to public finances;

(f) whether any offence was a sexual offence to which Part I of the Sexual Offences Act 1997(1) applies;

(g) whether he has been refused admission to or conditionally included in, removed, contingently removed, or is currently suspended from any of a Health Authority’s lists or from equivalent lists, and if so, what the facts were in those cases and the reasons given by the Health Authority or equivalent body involved.

(4) When the Health Authority take into consideration the matters set out in paragraph (3), they shall consider the overall effect of all the matters being considered.

(5) When the Health Authority refuse to include a dentist in the dental list they shall notify the dentist of their decision and the reasons for it (and any facts relied on) and of any right of appeal under regulation 5ZC against their decision.

Deferment of decision

5ZB.— (1) A Health Authority may defer a decision whether to include a dentist in a dental list—

(a) where there are legal proceedings that are criminal proceedings in the United Kingdom or, if brought elsewhere in the world, would be criminal proceedings if brought in the United Kingdom, and that if successful would be likely to lead to the removal of the dentist from the Health Authority list if he had been included;

(b) where there is an investigation anywhere in the world by the dentist’s regulatory or licensing body or any other investigation (including one by another Health Authority or equivalent body) relating to him in his professional capacity, that if successful would be likely to lead to the removal of the dentist from the Health Authority list if he were to be included;

(c) where the dentist is suspended from any of the lists or equivalent lists;

(d) where the FHSAA is considering an appeal by the dentist against a decision of a Health Authority to refuse to include him in their list, or to conditionally include in or to contingently remove from, or to remove from any list kept by a Health Authority and if that appeal is unsuccessful the Health Authority would be likely to remove the dentist from the Health Authority list if he were to be included;

(e) where the dentist is being investigated by the National Health Service Counter Fraud Service in relation to any fraud case, where the result if adverse would be likely to lead to the removal of the dentist from the Health Authority list if he were to be included;

(f) where the FHSAA is considering an application from a Health Authority for a national disqualification of the dentist.

(2) A Health Authority may only defer consideration under paragraph (1) above until the outcome of the relevant events mentioned in that paragraph is known.

(3) A Health Authority must notify the dentist of a decision to defer a decision on his application, and the reasons for this.

(4) Once the outcome of the relevant event mentioned in paragraph (1) is known, the Health Authority must notify the dentist that he must update his application within 28 days (or such longer period as the Health Authority may agree), with any relevant information before it can be considered.

(5) Provided any additional information has been received within 28 days or the time agreed, as the case may be, the Health Authority shall notify the dentist as soon as possible—

(a) that his application to be included has been successful; or

(b) that the Health Authority decided to refuse the application or to impose conditions on his inclusion, the reasons for it, and that he has a right of appeal under regulation 5ZC or 5ZD(8).

Appeal to the FHSAA

5ZC.— (1) A dentist may appeal to the FHSAA against a decision of a Health Authority to refuse to include his name in a list pursuant to regulation 5(1).

(2) Such an appeal shall be by way of redetermination.

Conditional inclusion

5ZD.— (1) A Health Authority may determine that if a dentist is to be included in the list, he is to be subject, while he remains included in the list, to conditions imposed on his inclusion, having regard to the requirements in section 43ZA(2) of the Act.

(2) A Health Authority may vary the terms of service in Schedule 1 in relation to the dentist for the purpose of, or in connection with, the imposition of those conditions.

(3) The Health Authority may, of their own volition or at the request of the dentist concerned, review any decision made under this regulation.

(4) A dentist may not request a review of a Health Authority decision until the expiry of a period of three months beginning with the date the Health Authority includes the dentist’s name on the list.

(5) After a review has taken place, the dentist cannot request a further review before the expiry of a period of six months from the date of the Health Authority’s decision on the previous review.

(6) On any review, the Health Authority may vary the conditions, impose different conditions, or remove the dentist from the list.

(7) Failure to comply with a condition may lead to the removal of the dentist from the list.

(8) There shall be an appeal to the FHSAA from any decision of the Health Authority—

(a) to impose conditions, or any particular condition on a dentist;

(b) to vary a condition;

(c) to vary his terms of service;

(d) on any review of an earlier such decision of theirs;

(e) to remove him from the dental list for breach of condition,

and the appeal shall be by way of redetermination of the Health Authority decision.

(9) On appeal the FHSAA may make any decision which the Health Authority could have made.

(10) Where the decision of the FHSAA on appeal is that one or more conditions be imposed on the dentist, whether this condition is different from any condition or conditions imposed by the Health Authority or not, the Health Authority shall ask the dentist to notify them within 28 days of the decision (or such longer period as the Health Authority may agree), whether he wishes to be included in the dental list subject to this condition or conditions.

(11) If the dentist notifies the Health Authority that he does wish to be included in the dental list subject to the condition or conditions, the Health Authority shall so include him.

(12) Subject to regulation 5(5) any decision of the Health Authority that may be the subject of appeal under paragraph (8) shall not have effect until the FHSAA has determined any appeal against it or any time for appeal has expired.

(13) A Health Authority shall disclose to those persons specified in paragraph (15) information of the kind mentioned in paragraph (14) about dentists whose inclusion in the list is subject to conditions imposed under this regulation and about the removal of such dentists from the list for breach of such a condition.

(14) The information referred to in paragraph (13) is—

(a) identifying details of the dentist;

(b) his professional registration number;

(c) the date and a copy of the decision taken by the Health Authority; and

(d) the contact name of a person in the Health Authority for further enquiries.

(15) The persons or bodies to whom information shall be disclosed by the Health Authority under paragraph (13) are—

(a) the Secretary of State;

(b) any Health Authority in England that have the dentist on any list of theirs, or are considering an application for one of their lists;

(c) the Scottish Executive;

(d) the National Assembly for Wales;

(e) the Northern Ireland Executive;

(f) the Dental Practice Board;

(g) the General Dental Council or any other appropriate regulatory body;

(h) any organisation that to the knowledge of the Health Authority, employs or uses the services of the dentist in a professional capacity;

(i) where it is a fraud case, the National Health Service Counter Fraud Service.

(16) The Health Authority shall notify any body of the information specified in paragraph (14) if they can establish that they are considering employing the dentist and they receive a written request (including an electronic request) to do so.

(17) The Health Authority shall send to the dentist concerned a copy of any information about him provided to the persons or bodies listed in paragraph (15), and any correspondence with those persons.

(18) Where a Health Authority have notified any person or body mentioned in paragraph (15) or (16) of the matters set out in paragraph (14), they may in addition notify that person or body of any evidence that was considered, including representations of the dentist, if so requested by the person or body.

(19) Where a Health Authority are notified by the FHSAA that it has imposed a national disqualification on a dentist whom the Health Authority had removed from their dental list, they shall notify the persons or bodies listed in paragraphs (15)(b), (g), (h) and (i) and (16).

(20) Where a decision is changed on review or appeal or a suspension lapses, the Health Authority shall notify any person or body previously notified of the original decision under this regulation of the new facts.”.

(1)

1997 c. 51.