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The National Health Service (General Dental Services) (Scotland) Regulations 2010

Type Scottish-Statutory-Instrument

Publication 2010-05-20

Last updated 2026-01-31

State In force

Jurisdiction Scotland

Department King's Printer for Scotland

Source legislation.gov.uk

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Where a patient who has been receiving care and treatment under ... a capitation arrangement requests the contractor to provide the patient with a summary of the care and treatment which the patient has received under that arrangement because the patient intends to enter into such an arrangement with another contractor, the contractor shall provide such a summary as the contractor considers appropriate (including details of any care and treatment which could not be easily observed on a visual examination), to the patient in writing (including by an electronic communication) on a form supplied by the Health Board, or a form to like effect, within 28 days of the request.

Mixing of general dental services and private care and treatment

17

(1) Subject to sub-paragraph (3), a contractor may, with the consent of the patient provide privately any part of the care and treatment—

(a) necessary under ... a capitation arrangement to manage the oral health of a patient; or

(b) to be provided as part of treatment on referral.

(2) A contractor or a dentist assisting that contractor in the provision of general dental services shall not, with a view to obtaining the agreement of a patient to undergo care and treatment privately—

(a) advise a patient falsely that the care and treatment which is necessary in the patient’s case—

(i) under the ... capitation arrangement with a contractor to manage oral health; or

(ii) having regard to the reason given for referral,

is not available from that contractor under general dental services; or

(b) seek to mislead the patient about the quality of care and treatment available under general dental services.

(3) Sub-paragraph (1) shall not apply—

(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b) in respect of orthodontic care and treatment in which case—

(i) the assessment, diagnosis and planning of treatment in connection with the orthodontic care and treatment shall be provided wholly under general dental services or wholly privately; and

(ii) the orthodontic treatment shall be provided wholly under general dental services or wholly privately;

PART III — OCCASIONAL TREATMENT

Occasional treatment

18

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Referral for occasional treatment

19

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

PART IV — ADDITIONAL TERMS OF SERVICE FOR ALL DENTISTS

Remuneration

20

(1) Subject to regulation 22 (statement of dental remuneration) and this Schedule, a dentist or contractor shall not—

(a) claim a fee or accept payment of any fee from the Agency for any treatment provided otherwise than under general dental services;

(b) claim a fee or accept payment of any fee from the patient for any treatment provided under general dental services, for which a claim has been or will be submitted to the SDPB, except such fee as may be prescribed by the National Health Service (Dental Charges) (Scotland) Regulations 2003;

(c) claim a fee or accept payment of any fee from the Agency for any treatment provided under general dental services for which a fee has already been claimed under general dental services;

(d) claim a fee or accept payment of any fee for any treatment which has not been provided, (except such a fee as may be prescribed by regulation 6(3)(a) of the National Health Service (Dental Charges) (Scotland) Regulations 2003;

(e) claim, solicit or accept payment of any fee or other consideration or offer or promise any inducement as a prerequisite to providing, or agreeing to provide, or assisting or agreeing to assist with the provision of, general dental services, except such fee or other consideration as may be prescribed in the Statement of Dental Remuneration, the National Health Service (Dental Charges) (Scotland) Regulations 2003 or the National Health Service (Charges to Overseas Visitors) (Scotland) Regulations 1989[^f00052];

(f) claim a fee or accept payment of any fee from the Agency for any treatment provided to any person under a pilot scheme for personal dental services; or

(g) make the provision of general dental services to any person subject to any condition other than those specified in these Regulations, permitted in the National Health Service (Dental Charges) (Scotland) Regulations 2003 or otherwise required by law.

(2) Subject to sub-paragraph (2A), any claim for a fee or other remuneration for the provision of general dental services must be submitted by an electronic communication and—

(a) if the care and treatment was provided on behalf of a contractor by a dentist who is also a contractor, the claim must contain the PIN allocated to that dentist;

(b) if the care and treatment was provided on behalf of a contractor by a dentist whose name is included in the second part of the dental list, the claim must contain the PIN allocated to that dentist; and

(c) where the care and treatment was provided by a contractor who is a dentist, the claim must contain the PIN allocated to that contractor.

(2A) Any claim for a fee or other remuneration for the provision of orthodontic treatment submitted before 1 January 2020 must be submitted in accordance with either head (a) or (b):

(a) where the claim is submitted by post or by hand it must be signed—

(i) if the care and treatment was provided on behalf of a contractor by a dentist who is also a contractor, by that dentist, who must also give the name of the contractor on whose behalf the care and treatment was provided;

(ii) if the care and treatment was provided on behalf of a contractor by a dentist whose name is included in the second part of the dental list, by that dentist, who must also give the name of the contractor on whose behalf the care and treatment was provided; and

(iii) in other cases where the care and treatment was provided by a contractor who is a dentist, by the contractor;

(b) where the claim is submitted by an electronic communication—

(i) if the care and treatment was provided on behalf of a contractor by a dentist who is also a contractor, the claim must contain the PIN allocated to that dentist;

(ii) if the care and treatment was provided on behalf of a contractor by a dentist whose name is included in the second part of the dental list, the claim must contain the PIN allocated to that dentist; and

(iii) where the care and treatment was provided by a contractor who is a dentist, the claim must contain the PIN allocated to that contractor.

(3) When submitting a claim by way of an electronic communication under sub-paragraph (2) or (2A) a person shall make use only of such computer program as the SDPB has approved as suitable for that purpose.

(4) In this paragraph a “PIN” shall mean the personal identification number allocated to the contractor (or in the case of an assistant, the identification number allocated to the contractor for the assistants use) by the SPDB.

Surveys

21

A Health Board may conduct or commission surveys or other research relating to the provision of general dental services at no less than six monthly intervals and, when requested to do so by the Health Board, a contractor shall within a timescale specified by the Health Board, provide the Health Board with information of the provision of general dental services for the purpose of such surveys or other research.

Standards of care

22

(1) In providing, or assisting with the provision of, care and treatment under general dental services a dentist shall—

(a) employ a proper degree of skill and attention;

(b) save as is provided in paragraphs 12, 13, ... 23, 33 and 44, give all treatment personally;

(d) except in the case of ... treatment on referral, provide or assist with the provision of care and treatment to such extent and at such intervals as may be necessary to manage the oral health of the patient; and

(e) not provide or assist with the provision of care and treatment in excess of that which is reasonably necessary to manage the oral health of the patient.

(2) A body corporate, in undertaking to provide general dental services, shall ensure that any dentist employed or engaged by it to treat patients shall—

(a) employ a proper degree of skill and attention;

(b) save as is provided in paragraphs 12, 13, ... 23, 33 and 44, give all treatment personally;

(d) except in the case of ... treatment on referral, provide or assist with the provision of care and treatment to such extent and at such intervals as may be necessary to manage the oral health of the patient;

(e) not provide or assist with the provision of care and treatment in excess of that which is reasonably necessary to manage the oral health of the patient; and

(f) comply with the provisions of the terms of service.

Sedation

23

(1) Where a dentist undertakes, in the course of providing or assisting with the provision of general dental services, any procedure for which sedation of the patient is necessary the dentist shall remain with the patient and arrange for another person with suitable training and experience also to remain with the patient throughout the procedure.

(2) In this paragraph “a person with suitable training and experience” means a person who has received such training and experience as to be capable of assisting the dentist in monitoring the clinical condition of the patient and in the event of an emergency.

Supply of drugs

24

(1) A dentist may supply to a patient such listed drugs as are required for immediate use before a supply can otherwise be obtained under paragraph 25.

(2) A dentist may personally administer to a patient any drug required for the care and treatment of that patient.

Issue of prescription forms

25

(1) A dentist shall order such listed drugs (other than those supplied under paragraph 24) as are needed for the care and treatment of any patient for whom the dentist is providing or assisting with the provision of general dental services by issuing to the patient a prescription form.

(2) The prescription form—

(a) shall be signed by the dentist;

(b) shall not refer to any previous prescription;

and a separate prescription form shall be issued for each patient.

Domiciliary visits

26

(1) A contractor may, where requested to do so by or on behalf of a patient who is unable to leave home unaccompanied because of physical or mental illness or disability, agree to provide general dental services at a place at which the patient normally resides.

(2) Subject to sub-paragraph (3), a contractor shall, where requested to do so by or on behalf of a patient who is unable to leave home unaccompanied because of physical or mental illness or disability, provide general dental services at a place at which the patient normally resides provided that such a place is not more than fivemiles from the contractor’s practice premises, or in the case of a contractor who provides general dental services at a mobile surgery only from any of the places regularly visited by the contractor.

(3) Where the contractor is a domiciliary care dentist who is assigned to a care home, the contractor must make visits to the residents of that care home regardless of the distance between the care home and the contractor’s practice premises.

Records

27

(1) A contractor shall keep a complete, accurate and up to date record in respect of—

(a) the care and treatment given to each patient under ... a capitation arrangement and the fact of referral under such an arrangement under paragraph 12 or 13;

(b) treatment on referral;

in the patient record and shall include with that record details of any private care and treatment (to the extent that it is provided with care and treatment under general dental services for the purpose of managing oral health), any practice record form and all radiographs, photographs and study models (being models in respect of treatment) taken or obtained by or on behalf of the contractor as part of the care and treatment under ... a capitation arrangement or treatment on referral ....

(2) The records, forms, radiographs, photographs and study models referred to in sub‑paragraph(1) shall be retained for a period of 2 years by the contractor after completion of any course of care and treatment under ... a capitation arrangement or treatment on referral ... to which they relate.

(3) The contractor shall, during the period in which it holds any records, forms, radiographs, photographs and study models referred to in sub-paragraph (1)—

(i) produce them on request to the dental officer, or any authorised officer of the Agency or the Health Board , including, where appropriate and requested by that officer, in electronic form; or

(ii) send them to the SDPB, the dental officer, or any authorised officer of the Agency, or the Health Board within 14 days of being required to do so by one of those persons.

(3A) For the avoidance of doubt, in paragraph (3)(ii) “send” includes, where appropriate, by an electronic communication.

(4) A contractor may keep the records ... referred to in sub-paragraph (1) and the form recording recalled attendance in accordance with paragraph 31 in electronic form.

(5) Nothing in sub-paragraph (1) shall be taken as removing any rights of property which the contractor may have in relation to the records, radiographs, photographs and study models referred to in that sub‑paragraph.

Prior approval of care and treatment

28

(1) Subject to sub-paragraphs (6), (7) and (10), where care and treatment requires prior approval, from the SDPB, the dentist—

(a) shall submit, without unreasonable delay, to the SDPB for approval an estimate of the whole of the care and treatment, including details of any part of that care and treatment to be provided privately; and

(b) other than in an emergency, shall not, until the dentist receives approval from the SDPB, proceed—

(i) where prior approval is required by virtue of Part I of Schedule 4, with any item of treatment referred to in that Part; or

(ii) where prior approval is required by virtue of Part II of Schedule 4, with any care and treatment mentioned in the estimate.

(2) Subject to sub-paragraphs (6), (7) and (10), where in the course of providing any care and treatment to which, at its outset, sub-paragraph (1) does not apply, a dentist is of the opinion that a variation of or an addition to such care and treatment is necessary, and by reason of the variation or addition the care and treatment includes or becomes treatment requiring prior approval, the contractor—

(a) shall submit, without unreasonable delay, to the SDPB for approval an estimate of the whole of the care and treatment (including that which the dentist has commenced) together with details of any part of that care and treatment provided or to be provided privately; and

(b) other than in an emergency, shall not, until the dentist receives approval from the SDPB, proceed—

(i) where prior approval is required by virtue of Part I of Schedule 4, with any item of treatment referred to in that Part; or

(ii) where prior approval is required by virtue of Part II of Schedule 4, with any care and treatment mentioned in the estimate.

(3) Subject to sub-paragraphs (6), (7) and (10) where a dentist has obtained the approval from the SDPB required by sub-paragraph (1) because the care and treatment is or includes an item of treatment referred to in Part I of Schedule 4, and in the opinion of the dentist carrying out the treatment a variation of or addition to such care and treatment is necessary, which variation or addition—

(a) is or includes an item of treatment referred to in Part I of Schedule 4; or

(b) has the effect that the care and treatment then falls within Part II of Schedule4,

the dentist shall re-submit, without unreasonable delay, the estimate to the SDPB for approval, including details of any part of that care and treatment provided or to be provided privately.

(4) Subject to sub-paragraphs (6), (7) and (10), where a dentist has obtained approval from the SDPB in accordance with sub-paragraph (1) because prior approval is required by virtue of Part II of Schedule 4, and in the opinion of the dentist carrying out the treatment a variation of or addition to such care and treatment is necessary, the dentist shall re-submit, without unreasonable delay, the estimate to the SDPB for approval together with details of any part of that care and treatment provided or to be provided privately.

(5) Where the SDPB receives an estimate under sub-paragraph (3) or (4) it may withdraw or vary its original approval insofar as the care and treatment has not yet been carried out in accordance with such approval, or add to its original approval, and, other than in an emergency, the dentist shall not, until he receives approval from the SDPB, proceed—

(a) in any case falling within sub-paragraph (3)(a), with any item of treatment referred to in Part I of Schedule 4; or

(b) in any other case, with any of the care and treatment mentioned in the estimate.

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

(7) A dentist may proceed immediately with the care and treatment of merchant seamen, deep sea fishermen, or oil rig workers, about to go to sea for a period in excess of four weeks, or persons about to go aboard for a period in excess of four weeks, and in such event shall submit an estimate to the SDPB for approval within 7 days of the commencement of the care and treatment.

(8) Where, in consequence of any proceeding under the National Health Service (Discipline Committees) (Scotland) Regulations 2006[^f00053] in respect of general dental services provided in the area of any Health Board, a dentist is required for any period to submit all estimates to the SDPB for approval, in respect of all treatment or any specified description of treatment, the contractor or dentist—

(a) shall submit, without unreasonable delay, all such estimates (whether relating to treatment to be provided in that or any other area), to the SDPB for approval; and

(b) shall not proceed with such treatment until the dentist receives approval from the SDPB, except that the dentist may in the course of any single consultation proceed with treatment consisting of one examination and the taking of no more than two small radiographs, each of a size not exceeding 16 square centimetres, or treatment in an emergency.

(9) Where in consequence of a direction given by the SDPB under regulation 27(2) a dentist is directed, for any period, to submit all estimates to the SDPB for approval in respect of treatment or a description of treatment specified in the direction the dentist—

(a) shall submit, without unreasonable delay, all such estimates (relating to treatment in the area of any Health Board) to the SDPB for approval; and

(b) shall not proceed with such treatment until the dentist receives approval from the SDPB, except that the dentist may in the course of any single consultation proceed with treatment consisting of one examination and the taking of no more than two small radiographs, each of a size not exceeding 16 square centimetres, or treatment following trauma or in an emergency.

(10) Nothing in this paragraph shall prevent a dentist or contractor carrying out any care and treatment privately.

Completion of estimate

29

(1) Subject to sub-paragraphs (3) and (5), when submitting an estimate to the SDPB for approval in accordance with paragraphs 28(1), (2), (3), (4), (8) or (9), a dentist shall in all cases, in addition to the information specified in those sub paragraphs, provide to the SDPB the following information—

(a) the dentist’s name and address and the number by which the dentist’s arrangement with the Health Board is identified;

(b) the patient’s name and address and date of birth; and

(c) details of the care and treatment proposed and the reasons why the dentist considers such care and treatment is necessary.

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

(3) Subject to sub-paragraph (4), a dentist must use an electronic communication to submit an estimate to the SDPB for approval as mentioned in sub-paragraph (1), and must—

(a) at the appropriate time secure the completion, so far as applicable, by the patient or by any person acting on behalf of the patient, of the practice record form , either on a form supplied by the Health Board or in electronic form;

(b) use only such computer program as the SDPB has approved as suitable for the purpose; and

(i) all the information specified in sub paragraph (1)(a) to (c) except the dentist’s name and address; and

(ii) the personal identification number allocated to the dentist by the SDPB for that purpose.

(4) Where the proposed care and treatment mentioned in sub-paragraph (1) is orthodontic treatment, a dentist may use an electronic communication to submit an estimate to the SDPB for approval, when that estimate is submitted before 1 January 2020.

(5) A dentist who, in accordance with sub-paragraph (4), uses an electronic communication to submit an estimate to the SDPB, must—

(a) at the appropriate time secure the completion, so far as applicable, by the patient or by any person acting on behalf of the patient, of the practice record form, either on a form supplied by the Health Board or in electronic form;

(b) use only such computer program as the SDPB has approved as suitable for the purpose; and

(i) all the information specified in sub-paragraph (1)(a) to (c) except the dentist’s name and address; and

(ii) the personal identification number allocated to the dentist by the SDPB for that purpose.

Completion of claim forms

30

(1) Subject to sub-paragraph (2), where a person declares that that person or a person for whom that person is responsible does not have to pay the charges prescribed by the National Health Service (Dental Charges) (Scotland) Regulations 2003[^f00054] by virtue of either—

(a) entitlement to exemption under paragraph 2(4) or 3(4) of Schedule 11 to the Act; or

(b) entitlement to remission of such charges under regulation 3 or 5 of the National Health Service (Travelling Expenses and Remission of Charges) (Scotland) (No.2) Regulations 2003[^f00055],

the contractor shall ask that person to produce satisfactory evidence in support of that declaration and where that person does not produce such evidence the contractor shall record that fact in the form claiming remuneration for the treatment of that person or the person for whom that person is responsible.

(2) Where, at the time of the declaration there is already available to the contractor satisfactory evidence of an entitlement to exemption from the charges on the grounds that the person in respect of whom the declaration is made is under 26 years of age, the obligations on the contractor specified in sub-paragraph (1) shall not apply.

(3) The contractor may appoint a member of the contractor’s staff to undertake the task set out in sub‑paragraph(1) on the contractor’s behalf, and where the contractor does so the contractor shall ensure that that staff member is given sufficient instruction to perform that task.

Recalled attendance

31

Where a dentist is recalled to the practice premises at a time when the dentist does not normally provide or assist in the provision of general dental services, in order to provide treatment in an emergency, the dentist shall, on each occasion the dentist does so, at the time of that recalled attendance—

(a) complete a form supplied by the Health Board for the purpose of supporting the dentist’s claim to an allowance for that recalled attendance; and

(b) obtain the signature on that form of the patient who the dentist has been recalled to treat, or of a person acting on behalf of that patient.

Completion of care and treatment under a capitation arrangement or treatment on referral

32

(1) Subject to sub-paragraphs (2) and (4), the contractor shall complete within a reasonable time any course of care and treatment under ... a capitation arrangement or treatment on referral.

(2) Where the patient requires dentures, or new dentures, in consequence of treatment provided by the contractor involving the extraction of one or more teeth, the contractor shall provide such dentures within 12months of the date of the relevant extraction or, as the case may be, the later or last such extraction.

(3) Insofar as any treatment relates to the provision of dentures, it shall not be regarded as completed unless the dentures have been delivered to, and remain in the possession of, the patient.

(4) A contractor shall not be regarded as having failed to comply with sub‑paragraphs(1) or (2) by reason of any delay in completing treatment where the Board is satisfied that the delay is due to the failure of the patient to attend for treatment or that there is some other sufficient reason for the delay.

(5) Where a contractor, or a dentist assisting in the provision of general dental services—

(a) has been notified that a patient has been requested to submit for examination by a dental officer; and

(b) has not been notified that the examination has been carried out or cancelled,

the contractor or dentist (as the case may be) shall not, otherwise than in an emergency, provide or assist with the provision of any care and treatment to that patient and shall take all reasonable steps to facilitate the examination.

(6) Where a contractor, or a dentist assisting in the provision of general dental services—

(a) has been notified that a dental discipline committee will investigate a reference relating to the provision of general dental services by the dentist or contractor (as the case may be) to a patient; and

(b) has not been notified—

(i) that the investigation has been completed; or

(ii) that such committee has no objection,

the contractor or dentist (as the case may be) shall not, other than in an emergency, provide or assist with the provision of any care and treatment to that patient and shall take all reasonable steps to facilitate the investigation.

(7) Nothing in this paragraph shall prevent a dentist or contractor carrying out any care and treatment privately.

Dental care professionals

33

A dentist may in the provision of general dental services arrange for care and treatment to be given by dental care professionals in accordance with the provisions of the Dentists Act 1984, and any regulations made under it and shall ensure that such care and treatment is properly completed.

Postgraduate education

34

A dentist shall in the provision or assistance with the provision of general dental services take reasonable steps to develop professional knowledge and skills through activities undertaken with a view to maintaining an up-to-date knowledge of dental science and practice.

Notices

35

A contractor shall display in a prominent position at the practice premises such information as the Health Board or the Agency may issue.

Complaints

36

A contractor must have arrangements in place which operate in accordance with section 15 of the Patient Rights (Scotland) Act 2011, and any regulations or directions made under that Act.

Co-operation and investigation

37

(1) A contractor or any dentist who assists the contractor in the provision of general dental services shall cooperate with any investigation of a complaint by the Health Board in accordance with the procedures which it operates in accordance with section 15 of the Patient Rights (Scotland) Act 2011, whether the investigation follows one under the practice based complaints procedure or not.

(2) The cooperation required by sub-paragraph (1) includes—

(a) answering questions reasonably put to the contractor or dentist by the Health Board;

(b) providing any information relating to the complaint reasonably required by the Health 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 presence of a contractor or any dentist who assists the contractor in the provision of general dental services at the meeting is reasonably required by the Health Board.

Returns re complaints

38

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Professional indemnity

39

A contractor shall, if asked in writing to do so by the Health Board on whose dental list the contractor’s name is included—

(a) state whether the contractor is indemnified against claims relating to the business of dentistry carried out by the contractor, and relating to the practise of dentistry by any dentist, assistant, deputy and other dental care professional whose work the contractor directs or who is employed or engaged by the contractor;

(b) if the contractor is so indemnified, provide documentary evidence to that effect.

Clinical audit activities

40

(1) Subject to the remainder of this paragraph, in the relevant period a dentist on sub-part A of the first part or the second part of the dental list shall—

(a) undertake at least 15 hours of quality improvement activities; and,

(b) where that dentist is of a type described in subparagraph (7), undertake at least 5 hours of quality improvement activities within the first year of the relevant period.

(2) Subject to sub-paragraph (8), a contractor must take reasonable steps to ensure that any dentist employed or engaged by the contractor in the provision of general dental services shall—

(a) undertake at least 15 hours of quality improvement activities during the relevant period; and,

(b) where that dentist is of a type described in paragraph (7) undertake at least 5 hours of quality improvement activities within the first year of that relevant period.

(3) A dentist shall produce such evidence which demonstrates compliance with that dentist’s duties under subparagraph (1) as the Health Board or NHS Education for Scotland (as the case may be) requires.

(4) In this paragraph—

“joins a dental list” excludes a dentist who is listed provisionally;

“quality improvement activities” means activities (approved by NHS Education for Scotland or the Health Board) which: involve the systematic, critical and reflective analysis of the quality of dental care provided by the dentist, and of any changes made by the dentist to bring about improvement in quality of care, patient experience, patient safety and clinical effectiveness, (including the processes used by that dentist for diagnosis, intervention and treatment and use of resources); and have a defined start and end date, no more than 6 months apart (or such other period as may be agreed with NHS Education for Scotland or, as the case may be, the Health Board);

“the relevant period” means the three year period from 1st August 2010 until 31st July 2013 (inclusive) and each successive period of three years thereafter.

(5) Notwithstanding subparagraph (1) where a dentist joins a dental list after the first day of a relevant period, that dentist shall, from 1st August of the calendar year immediately after that dentist joins, undertake such number of hours of quality improvement activities as are proportionate (which may be zero) to the proportion of the relevant period that remains from that 1st August to the end of that relevant period.

(6) In the operation of subparagraph (5) where that dentist is of a type described in subparagraph(7), that dentist shall, when undertaking such number of hours of quality improvement activities as are proportionate to the remainder of the relevant period, ensure that at least 5 hours of quality improvement activity are undertaken within a year from 1st August of the calendar year immediately after that dentist joins.

(7) The type of dentist described is a dentist who has never been included in sub-part A of a dental list kept under these regulations, or any earlier form of such a list kept under any earlier similar enactment.

(8) Notwithstanding sub-paragraph (1), a dentist who is listed provisionally is not required to undertake quality improvement activities.

PART V — ADDITIONAL TERMS OF SERVICE FOR DENTISTS OTHER THAN SALARIED DENTISTS

Patient information leaflets

41

(1) ... a contractor shall compile and make available, to the Health Board (if it requires one) and to any person who may reasonably require one, a document providing information about the provision of general dental services at the contractor’s practice premises (in this paragraph called “a patient information leaflet”) which shall include the information specified in Schedule 5.

(2) A contractor shall make any amendments to the contractor’s patient information leaflet which the contractor considers to be necessary to maintain its accuracy.

(3) A dentist who practises in partnership or under an associateship agreement with other dentists whose names are included in the first part of the dental list shall satisfy the requirements of this paragraph if the dentist makes available a patient information leaflet, compiled and, where appropriate, revised in accordance with sub-paragraphs (1) and (2), which relates to the partnership or associateship as a whole.

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

Premises and Equipment

42

(1) Unless the contractor provides general dental services only at the place where a patient normally resides or from a mobile surgery, a contractor shall provide proper, sufficient and safe premises, equipment, instruments and procedures.

(2) A contractor who provides general dental services at the place where a patient normally resides or at a mobile surgery shall provide proper, sufficient and safe mobile surgery equipment, instruments and procedures.

(3) A dental surgery and a mobile surgery shall be furnished with suitable equipment and a contractor shall provide treatment with suitable instruments.

(4) A contractor shall at all reasonable times, on receipt of reasonable notice in writing, admit a dental officer or a person authorised by the Health Board for the purpose of inspecting any equipment or practice premises, dental surgery, mobile surgery or waiting-room under the contractor’s control and reviewing the procedures and staff training , so as to enable the Health Board to assure itself that the contractor meets the standards set out in sub-paragraphs (1) to (3).

(5) A contractor shall at all reasonable times admit a dental officer or a person authorised by the Health Board for the purpose of inspecting any equipment or practice premises, dental surgery, mobile surgery or waiting-room under the contractor’s control and reviewing the procedures and staff training where—

(a) concerns about patient safety were raised during an inspection under sub-paragraph (4) and further investigation by the Health Board of those concerns is necessary; or

(b) information has come to the attention of the Health Board which necessitates immediate further investigation by it using powers under this sub-paragraph.

(6) A dental officer or a person authorised by the Health Board shall not require to give notice of an inspection under sub-paragraph (5).

Remuneration

43

The provisions of paragraph 20 shall not have effect in relation to any claim made by a contractor in respect of loss of remuneration resulting from the failure of a patient to keep an appointment for general dental services.

Deputies and assistants

44

(1) Subject to the provisions of this paragraph, a contractor may arrange for care and treatment to be provided by a deputy or assistant.

(1A) A contractor who is a domiciliary care dentist may not arrange for the care and treatment of care home residents to be provided on their behalf by a deputy or assistant other than in accordance with paragraph 51.

(1B) A contractor who is listed provisionally may not arrange for care and treatment to be provided by an assistant.

(2) In the case of two or more dentists practising in partnership or as a contractor and assistant, care and treatment may at any time be given by a partner or an assistant of the dentist who is responsible for the patient’s treatment, if reasonable steps are taken to secure continuity of care and treatment.

(3) A contractor shall—

(a) prior to employing any assistant, see evidence that that assistant is included on the second part of the dental list of the appropriate Health Board;

(b) notify the Health Board of the employment of an assistant within 7 days of the first day of such employment;

(d) on ceasing to employ an assistant, notify the Health Board within 7 days of the cessation of that employment.

(4) A contractor who is a dentist shall not employ as an assistant any dentist whose name is included in sub-part A of the dental list and who has the same address as any of the contractor’s own practice premises.

(5) Where a contractor employs as an assistant a dentist who to the contractor’s knowledge is subject to a requirement mentioned in paragraph 28(8) or (9) to submit estimates to the SDPB for prior approval in respect of treatment, the contractor shall not allow the dentist to carry out the treatment unless the prior approval of the SDPB has first been obtained.

(6) If a contractor who is a dentist intends to be absent from the practice premises for more than 28consecutive days the contractor shall notify the Health Board of—

(a) the intended absence; and

(b) the name and address, if different to the practice premises, of the deputy or assistant (if any) responsible for providing or assisting with the provision of general dental services during the contractor’s absence.

(7) A contractor who is a dentist who intends to be or is absent from his practice premises for more than twomonths—

(a) shall notify the Health Board in writing; and

(b) shall not employ an assistant for any period of absence in excess of twomonths without the consent of the Health Board.

(8) Where a dentist whose name is included on the dental list and is employed, engaged or under any other contractual or legal arrangement or relationship with a body corporate, intends to be, or is, absent from the contractor’s practice premises for more than two months, the body corporate shall—

(a) notify the Health Board in writing;

(b) not employ a dentist whose name appears on the second part of the dental list for any period of absence in excess of two months without the consent of the Health Board.

(9) A contractor shall not employ as a deputy or assistant for the purpose of the provision or assistance with this provision of general dental services any dentist who is disqualified, refused entry to a dental list or removed from any dental list or equivalent list, for as long as that remains the case.

(10) A contractor shall not employ as a deputy or assistant for the purpose of the provision or assistance with the provision of general dental services any dentist who is suspended by direction of the Tribunal, a Health Board or equivalent body, for as long as that remains the case.

(11) A deputy may provide general dental services at places or at times other than those arranged by the contractor for whom he is acting, due regard being had to the convenience of patients.

(12) A deputy or assistant who issues a prescription form for listed drugs under paragraph25 shall, in addition to signing his or her own name on such prescription form, insert on the form the name of the contractor for whom he or she is acting.

(13) Where any care and treatment is given to a patient by an assistant, the assistant shall complete a claim for remuneration in respect of that care and treatment which—

(a) is separate from any claim form in respect of care and treatment given personally by a contractor who is a dentist; and

(b) identifies the assistant by whom the care and treatment was given and his status as an assistant.

PART VI — ADDITIONAL TERMS OF SERVICE FOR SALARIED DENTISTS

Attendance

45

(1) A salaried dentist shall attend at such premises on such days and at such hours as may be agreed with the Health Board.

(2) Except where paragraph 17 applies a salaried dentist shall not, without the permission of the Health Board, provide at such premises any care and treatment which is not part of general dental services.

Records

46

(1) The records, radiographs, photographs and study models referred to in paragraph27(1) shall be the property of the Health Board.

(2) The salaried dentist shall supply to the SDPB or the dental officer such information with regard to the care and treatment of patients as they may request within 7 days of the date of the request.

Drugs

47

Any drugs supplied under paragraph 24 shall be obtained by the salaried dentist in such manner as the Health Board may require.

Provision of Health Board patient information leaflets

48

A salaried dentist shall make available to any person who may reasonably require one the Health Board patient information leaflet compiled and provided to that dentist by the Health Board pursuant to regulation21.

Termination of services

49

(1) Subject to sub-paragraph (2), any arrangement between the Health Board and a salaried dentist for the provision of general dental services may be terminated by either party giving to the other not less than three months’ notice in writing.

(2) If a salaried dentist fails to comply with any of the terms of service that apply to a salaried dentist the Health Board may terminate the agreement by giving him not less than one month’s notice in writing.

(3) The Health Board may at any time suspend a salaried dentist from the discharge of his or her duties but such suspension shall not affect the right of the salaried dentist to receive remuneration during the period of suspension.

SCHEDULE 2

PART IA — Information, declarations, certificate, applications, Level 2 disclosures, Level 2 disclosure applications, PVG Scheme Level 2 disclosures, undertakings and consents, to be included in an application for inclusion in sub-part A of the first part of the dental list

1

An application shall contain the following information:—

(i) in the case of a dentist, the applicant’s full name, sex, date of birth, private address, telephone number and e-mail address and National Insurance number, if the applicant has one;

(ii) in the case of a body corporate, the body corporate’s name, registered office and registered number, telephone number, e-mail address and a list of the full names, dates of birth, private addresses and (if they have one) the national insurance numbers, of all the directors and the secretary;

(b) in the case of a dentist the date of first registration and any subsequent registration as a dental practitioner in the register of dentists and registration number, dental qualifications registerable under the Dentists Act 1984[^f00058] and when obtained;

(d) the applicant’s vocational training number if the applicant has one;

(da) where the application includes a request to be designated as a domiciliary care dentist, whether the applicant has a Certificate of Completion of Enhanced Skills Training (Domiciliary Care);

(e) address of proposed practice premises and, in the case of any mobile surgery, the address to which correspondence may be sent;

(ea) where the dentist is applying to be a cross-border dentist, the address to which correspondence may be sent;

(f) whether there is access to the proposed dental surgery without use of stairs;

(g) whether the proposed dental surgery has wheelchair access;

(h) proposed days and hours of attendance and whether patients will be seen by appointment only and, in the case of any mobile surgery, particulars of places to be regularly visited and the times of those visits;

(i) whether the applicant is intending to practise—

(i) as a single-handed practitioner;

(ii) as a partner, and if so the name and address of each intended partner and whether or not such partner’s name is included in the first part of the Health Board’s dental list;

(iii) as an associate, and if so the name and address of each intended associate and whether or not the associate’s name is included in the first part of the Health Board’s dental list;

(iv) as a body corporate;

(v) as an employee of, or under any other contractual or legal arrangement or relationship with, a body corporate and if so, full details of the name, telephone number, and e-mail address, of the body corporate and its registered office and registered number, and the names of all the directors and secretary or members as the case may be;

(j) the names of any assistants the applicant or any person referred to in paragraphs(i)(ii), (iii) or (iv) of sub-paragraph (i) intends to employ or already employs at the proposed practice premises;

(k) (except where the applicant is a body corporate) chronological details of the applicant’s professional experience (including the starting and finishing dates of each appointment together with an explanation of any gaps between appointments) with any additional supporting particulars, and an explanation of why the applicant was dismissed from any post;

(l) whether the general dental services to be provided are restricted to orthodontic treatment;

(la) whether the general dental services to be provided are to be restricted to enhanced skills in domiciliary care;

(m) details of any list or equivalent list from which the applicant has ever been disqualified, conditionally disqualified, removed, suspended, contingently removed or suspended or to which admission was refused or conditionally granted together with reasons for such disqualification, conditional disqualification, removal, suspension, refusal, or conditional admission;

(n) (except where the applicant is a body corporate) name and addresses of tworeferees who are willing to provide clinical references relating to tworecent posts as a dentist each of which lasted at least 3months without a significant break and which may include a current post, or, where this is not possible a full explanation, and name and address of an alternative referee or referees;

(o) (except where the applicant is a body corporate) if the applicant is a national of an EEA state, evidence that the applicant has a knowledge of English which, in the interests of the applicant and of patients who may receive general dental services from the applicant, is necessary for providing general dental services;

(p) if the applicant is the director of a corporate body, the name and registered office of that body;

(q) (except where the applicant is a body corporate) whether any limitations have been imposed by any government organisation which restrict the applicant’s ability to work in any specified capacity in Scotland and, if so, the details of these;

(r) whether the applicant is indemnified against claims relating to the practise of dentistry in relation to dentistry performed by that dentist, and by any assistant, deputy and dental care professional whose work the dentist intends to direct or, in the case of a body corporate, any dentistry performed by an employee of, or a person under any other contractual or legal arrangement or relationship with, that body corporate and if the applicant is so indemnified, documentary evidence to that effect;

(s) if the applicant is, or has been where the outcome was adverse, the subject of any investigation by the Agency or any other body in relation to fraud;

(t) whether the applicant has—

(i) had sequestration of the applicant’s estate awarded, or been adjudged bankrupt;

(ii) been made the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 4A to the Insolvency Act 1986[^f00059];

(iii) made a composition or arrangement with, or granted a trust deed for, the applicant’s creditors;

(u) where the applicant is a body corporate, whether—

(i) an administrator, administrative receiver or receiver has been appointed in respect of it;

(ii) an administration order has been made in respect of it under Schedule B1 to the Insolvency Act 1986; or

(iii) it has been wound up under Part IV of the Insolvency Act 1986; ...

(v) whether the applicant is subject to a disqualification order under the Company Directors Disqualification Act 1986[^f00060], the Companies (Northern Ireland) Order 1986[^f00061] or to an order made under section 429(2)(b) of the Insolvency Act 1986 (failure to pay under county court administration order);

(w) where the applicant has satisfactorily completed Part 1 training, Part 2 training and the test of knowledge where the person is required to do this by regulation 5A(1) or Part 2 training and the test of knowledge where the person is required to do this by regulation 5A(3), a certificate, issued no more than 12 months before the application is made, confirming this;

(x) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2

An application shall contain the following declarations as to whether or not the applicant, and where the applicant is a body corporate any director of the applicant—

(a) has been convicted of a criminal offence in the British Islands or has been convicted elsewhere of an offence which would constitute a criminal offence if committed in the British Islands;

(b) is currently the subject of any proceedings anywhere in the world which might lead to a conviction specified in sub-paragraph(a);

(c) has in summary proceedings in respect of an offence, been the subject of an order discharging the applicant absolutely (without proceeding to conviction);

(d) has accepted and agreed to pay a fixed penalty under section302 of the Criminal Procedure (Scotland) Act 1995[^f00062] or a penalty under section115A of the Social Security Administration Act 1992[^f00063];

(e) has accepted a compensation offer under section302A of the Criminal Procedure (Scotland) Act 1995[^f00064];

(f) has accepted a combined fixed penalty and compensation offer under section302B of the Criminal Procedure (Scotland) Act 1995[^f00065];

(g) has accepted a work order under section303ZA of the Criminal Procedure (Scotland) Act 1995[^f00066];

(h) has accepted a police caution in the British Islands;

(i) has been bound over following a criminal conviction in the British Islands;

(j) has been subject to any investigation into the applicant’s or such director’s professional conduct by any licensing, regulatory or other body anywhere in the world where the outcome was adverse;

(k) is currently subject to any investigation into the applicant’s or such director’s professional conduct by any licensing, regulatory or other body anywhere in the world;

(l) is the subject of any investigation, proceedings or referral by another Health Board or equivalent body or the Tribunal which might result in the applicant, or where the applicant is a body corporate, any director of the applicant being disqualified, conditionally disqualified, refused entry, granted entry subject to conditions, removed, contingently removed or suspended from a list, or equivalent list;

(m) is, or has been, where the outcome was adverse, the subject of any investigation into the applicant’s or such director’s professional conduct in respect of any previous or current employment;

(n) is, or has in the preceding 6months been, or was at the time of the events that gave rise to conviction, proceedings, investigation or referral, a director of a body corporate, or a member of a partnership (including a limited liability partnership) which—

(i) has been convicted of a criminal offence in the British Islands;

(ii) has been convicted elsewhere of an offence which would constitute a criminal offence if committed in the British Islands;

(iii) is currently the subject of any proceeding anywhere in the world which might lead to such a conviction;

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

(v) is, to the applicant’s knowledge, or has been, where the outcome was adverse, the subject of any investigation by the Agency or any other body in relation to fraud;

(o) has had sequestration of the applicant’s or such director’s estate awarded or been adjudged bankrupt;

(p) has been made the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 4A to the Insolvency Act 1986;

(q) has made a composition or arrangement with, or granted a trust deed for, the applicant’s or such director’s creditors;

(r) if a body corporate—

(i) has had an administrator, administrative receiver or receiver appointed in respect of it;

(ii) has had an administrative order made in respect of it under Schedule B1 to the Insolvency Act 1986; or

(iii) has been wound up under Part IV of the Insolvency Act 1986;

(s) is subject to a disqualification order under the Company Directors Disqualification Act 1986, the Companies (Northern Ireland) Order 1986 or to an order made under section429(2)(b) of the Insolvency Act 1986 (failure to pay under county court administration order).

3

An applicant must include either—

(a) where the applicant is a dentist—

(i) a Level 2 disclosure application for a PVG Scheme Level 2 disclosure required under regulation 5(3)(f); and

(ii) where required by the Health Board under that regulation, any existing PVG Level 2 disclosure or scheme record the applicant holds; or

(b) where the applicant is a body corporate, a Level 2 disclosure in relation to each director, dated not earlier than 28 days before the date of the application, or a Level 2 disclosure application completed and signed by each director who is not already on the Health Board’s dental list.

4

An application shall include the following undertakings:—

(a) that the applicant will participate in appropriate and relevant NHS audit procedures;

(b) that the applicant will be bound by the terms of service applicable to the applicant;

(d) that the applicant will notify the Board in writing within 7days of its occurrence if the applicant, or where the applicant is a body corporate any director of the applicant—

(i) is charged in the British Islands with a criminal offence, the sentence for which could be a term of imprisonment or is charged elsewhere with an offence which, if committed in the British Islands would constitute such a criminal offence;

(ii) is convicted of a criminal offence in the British Islands or is convicted elsewhere of an offence which would constitute a criminal offence if committed in the British Islands;

(iii) has, in summary proceedings, in respect of an offence, been the subject of an order discharging him or her absolutely (without proceeding to conviction);

(iv) has accepted and agreed to pay either a fixed penalty under section302 of the Criminal Procedure (Scotland) Act 1995 or a penalty under section115A of the Social Security Administration Act 1992;

(v) has accepted a compensation offer under section302A of the Criminal Procedure (Scotland) Act 1995;

(vi) has accepted a combined fixed penalty and compensation offer under section302B of the Criminal Procedure (Scotland) Act 1995;

(vii) has accepted a work order under section303ZA of the Criminal Procedure (Scotland) Act 1995;

(viii) has accepted a police caution in the British Islands;

(ix) is bound over following a criminal conviction in the British Islands;

(x) becomes the subject of any investigation into the applicant’s or such director’s professional conduct by any licensing, regulatory or other body anywhere in the world;

(xi) is informed by any licensing, regulatory or other body anywhere in the world of the outcome of any investigation into the applicant’s or such director’s professional conduct, and there is a finding against the applicant or such director;

(xii) becomes, to the applicant’s knowledge, the subject of any investigation by the Agency or any other body in relation to fraud, or is informed of the outcome of any such investigation, where it is adverse;

(xiii) becomes the subject of any investigation, proceedings or referral by another Health Board or equivalent body or the Tribunal, which might result in the applicant or such director being disqualified, conditionally disqualified, refused entry, allowed entry subject to conditions, removed, contingently removed or suspended from a list, or equivalent list;

(xiv) is disqualified, conditionally disqualified, refused entry, allowed entry subject to conditions, removed or suspended from or refused admission or contingently removed from to any list or equivalent list;

(xv) is, was in the preceding 6months, or was at the time of the events that gave rise to the charge, conviction, investigation or referral, a director of a body corporate and that body corporate—

(aa) is charged in the British Islands with a criminal offence, or is charged elsewhere with an offence which, if committed in the British Islands would constitute a criminal offence;

(bb) is convicted of a criminal offence in the British Islands;

(cc) is convicted elsewhere of an offence which, if committed in the British Islands would constitute a criminal offence;

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

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

(ff) becomes, to the applicant’s knowledge, the subject of any investigation by the Agency or any other body in relation to fraud, or is informed of the outcome of any such investigation, if adverse,

together with details of the occurrence, including approximate dates, and where any investigation or proceedings were or are to be brought, the nature of that investigation or proceedings, and any outcome;

(xvi) has sequestration of the applicant’s or such director’s estate awarded or is adjudged bankrupt;

(xvii) is made the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 4A to the Insolvency Act 1986;

(xviii) makes a composition or arrangement with, or grants a trust deed for, the applicant’s or such director’s creditors;

(xix) if a body corporate—

(aa) has an administrator, administrative receiver or receiver appointed in respect of it;

(bb) has an administration order made in respect of it under Schedule B1 to the Insolvency Act 1986; or

(cc) is wound up under Part IV of the Insolvency Act 1986;

(xx) is made subject to a disqualification order under the Company Directors Disqualification Act 1986, the Companies (Northern Ireland) Order 1986 or to an order made under section 429(2)(b) of the Insolvency Act 1986 (failure to pay under county court administration order);

(e) that the applicant will only provide orthodontic treatment, (where the applicant has applied for inclusion in the list on that basis);

(f) that the applicant and where the applicant is a body corporate, all directors of the body corporate, consents to a request being made by the Health Board to the Agency, any employer or former employer of the applicant or any such director, licensing, regulatory or other body in the United Kingdom or elsewhere, for information relating to a current investigation, or an investigation where the outcome was adverse, into the applicant or a body corporate referred to in this paragraph or any such director and, for the purposes of this sub‑paragraph, “employer” includes any partnership of which the applicant is or was a member;

(g) that the applicant consents to disclosure of information in terms of regulation 14 ;

(h) where the applicant is a dentist, that the applicant will remain a scheme member.

PART IB — Information, declarations, certificate, applications, Level 2 disclosure, Level 2 disclosure applications, PVG Scheme Level 2 disclosures, undertakings and consents to be included in an application for inclusion in sub-part B only of the first part of the dental list

1

An application shall contain the following information:—

(i) in the case of a dentist, the applicant’s full name, sex, date of birth and private address; telephone number and e-mail address and the applicant’s National Insurance number, if the applicant has one;

(ii) in the case of a body corporate the body corporate’s name, registered office and registered number, telephone number and e-mail address and a list of the full names, dates of birth, private addresses and (if they have one) the national insurance numbers, of all the directors and the company secretary;

(b) in the case of a dentist, the date of first registration and any subsequent registration as a dental practitioner in the register of dentists and registration number, dental qualifications registerable under the Dentists Act 1984 and when obtained;

(d) (except where the applicant is a body corporate) chronological details of the applicant’s professional experience (including the starting and finishing dates of each appointment together with explanation of any gaps between appointments) with any additional supporting particulars, and an explanation of why the applicant was dismissed from any post;

(e) details of any list or equivalent list from which the applicant has ever been disqualified, conditionally disqualified, removed, suspended, contingently removed or suspended or to which admission was refused or conditionally granted together with reasons for such disqualification, conditional disqualification, removal, suspension or refusal;

(f) (except where the applicant is a body corporate) name and addresses of tworeferees who are willing to provide clinical references relating to tworecent posts as a dentist each of which lasted at least 3months without a significant break and which may include a current post, or, where this is not possible a full explanation and name and address of an alternative referee or referees;

(g) (except where the applicant is a body corporate) if the applicant is a national of an EEA state, evidence that the applicant has a knowledge of English which, in the interests of the applicant and of patients who may receive emergency dental services from the applicant, is necessary for providing general dental services;

(h) (except where the applicant is a body corporate) whether any limitations have been imposed by any government organisation which restrict the applicant’s ability to work in any specified capacity in Scotland and, if so, the details of these;

(i) if the applicant is, or has been where the outcome was adverse, the subject of any investigation by the Agency or any other body in relation to fraud.

2

An application shall contain the following declarations as to whether or not the applicant, and where the applicant is a body corporate any director of the applicant—

(a) has been convicted of a criminal offence in the British Islands or has been convicted elsewhere of an offence which would constitute a criminal offence if committed in the British Islands;

(b) is currently the subject of any proceedings anywhere in the world which might lead to a conviction specified in sub-paragraph(a);

(c) has in summary proceedings in respect of an offence, been the subject of an order discharging the applicant absolutely (without proceeding to conviction);

(d) has accepted and agreed to pay either a fixed penalty under section302 of the Criminal Procedure (Scotland) Act 1995 or a penalty under section115A of the Social Security Administration Act 1992;

(e) has accepted a compensation offer under section302A of the Criminal Procedure (Scotland) Act 1995;

(f) has accepted a combined fixed penalty and compensation offer under section302B of the Criminal Procedure (Scotland) Act 1995;

(g) has accepted a work order under section303ZA of the Criminal Procedure (Scotland) Act 1995;

(h) has accepted a police caution in the British Islands;

(i) has been bound over following a criminal conviction in the British Islands;

(j) has been subject to any investigation into the applicant’s or such director’s professional conduct by any licensing, regulatory or other body anywhere in the world where the outcome was adverse;

(k) is currently subject to any investigation into the applicant’s or such director’s professional conduct by any licensing, regulatory or other body anywhere in the world;

(l) is the subject of any investigation, proceedings or referral by another Health Board or equivalent body or the Tribunal which might result in the applicant, or where the applicant is a body corporate, any director of the applicant being disqualified, conditionally disqualified, refused entry, granted entry subject to conditions, removed, contingently removed or suspended from a list, or equivalent list;

(m) is, or has been, where the outcome was adverse, the subject of any investigation into the applicant’s or such director’s professional conduct in respect of any previous or current employment;

(n) is, or has in the preceding 6months been, or was at the time of the events that gave rise to conviction, proceedings, investigation or referral, a director of a body corporate, or a member of a partnership (including a limited liability partnership) which—

(i) has been convicted of a criminal offence in the British Islands;

(ii) has been convicted elsewhere of an offence which would constitute a criminal offence if committed in the British Islands;

(iii) is currently the subject of any proceeding anywhere in the world which might lead to such a conviction;

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

(v) is, to the applicant’s knowledge, or has been, where the outcome was adverse, the subject of any investigation by the Agency or any other body in relation to fraud;

(o) has had sequestration of the applicant’s or such director’s estate awarded or been adjudged bankrupt;

(p) has been made the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 4A to the Insolvency Act 1986;

(q) has made a composition or arrangement with, or granted a trust deed for, the applicant’s or such director’s creditors;

(r) if a body corporate—

(i) has had an administrator, administrative receiver or receiver appointed in respect of it;

(ii) has had an administration order made in respect of it under Schedule B1 to the Insolvency Act 1986; or

(iii) has been wound up under Part IV of the Insolvency Act 1986;

(s) is subject to a disqualification order under the Company Directors Disqualification Act 1986, the Companies (Northern Ireland) Order 1986 or to an order made under section429(2)(b) of the Insolvency Act 1986.

3

An applicant must include either—

(a) where the applicant is a dentist—

(i) a Level 2 disclosure application for a PVG Scheme Level 2 disclosure required under regulation 5(3)(f); and

(ii) where required by the Health Board under that regulation, any existing PVG Level 2 disclosure or scheme record the applicant holds; or

(b) where the applicant is a body corporate, a Level 2 disclosure in relation to each director, dated not earlier than 28 days before the date of the application, or a Level 2 disclosure application completed and signed by each director who is not already on the Health Board’s dental list.

4

An application shall include the following undertakings:—

(a) that applicant will be bound by the terms of service applicable to the applicant;

(b) that the applicant will undertake to provide emergency dental services under general dental services;

(c) that the applicant will notify the Board in writing within 7days of its occurrence if the applicant, or where the applicant is a body corporate any director of the applicant—

(i) is charged in the British Islands with a criminal offence, the sentence for which could be a term of imprisonment or is charged elsewhere with an offence which, if committed in the British Islands would constitute such a criminal offence;

(ii) is convicted of a criminal offence in the British Islands or is convicted elsewhere of an offence which would constitute a criminal offence if committed in the British Islands;

(iii) has, in summary proceedings, in respect of an offence, been the subject of an order discharging him or her absolutely (without proceeding to conviction);

(iv) has accepted and agreed to pay either a fixed penalty under section302 of the Criminal Procedure (Scotland) Act 1995 or a penalty under section115A of the Social Security Administration Act 1992;

(v) has accepted a compensation offer under section302A of the Criminal Procedure (Scotland) Act 1995;

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