RECORDS, INFORMATION, NOTIFICATIONS AND RIGHTS OF ENTRY61
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.
The patient record may be kept in electronic form.
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 copy of any treatment plan or referral treatment plan given to the patient pursuant to clauses 47 and 49 or clauses 164 and 165;
all radiographs, photographs and study casts taken or obtained by it as part of the services provided to that patient;
where an orthodontic course of treatment has been provided to a patient, a copy of the orthodontic treatment plan;
where information is required to be notified to the PCT in accordance with clauses 221 and 222, and that information is to be submitted electronically-
the written declaration form in respect of exemption under paragraph 1(1) of Schedule 12ZA to the Act duly made and completed in accordance with regulations made under section 79 of, and paragraph 7(a) of Schedule 12ZA to the Act; and
the statement concerning any custom-made devices provided by any person as a consequence of regulation 15 of the Medical Devices Regulations 2002 in respect of services being provided to that patient.
The patient record and the items referred to in clause 204 shall be retained for a period of 2 years beginning with—
the date on which—
a course of treatment or orthodontic course of treatment is terminated, or
a course of treatment or an orthodontic course of treatment is completed; or
205.2 in respect of courses of treatment or orthodontic courses of treatment not falling within clause 205.1.1 or 205.1.2, 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 clause 44.2 or clause 148.2.
Nothing in clauses 202 to 205 shall affect any property right which the Contractor may have in relation to the records, radiographs, photographs and study models referred to in those clauses.
Confidentiality of personal data
The Contractor shall nominate a person with responsibility for practices and procedures relating to the confidentiality of personal data held by it.
The Contractor shall ensure that there is displayed in a prominent position in its practice premises, in a part to which patients have access
in respect of its practice based quality assurance system referred to in clauses 247 to 250, a written statement relating to its commitment to the matters referred to in clause 250.1 to 250.4;
such information about NHS Charges as is supplied by the PCT for the purposes of providing information to the patients; and
information about the complaints procedure which it operates in accordance with Part 20, giving the name and title of the person nominated by the Contractor in accordance with clause 270.
The Contractor shall
compile a document (in clause 209 called a “patient information leaflet”) which shall include the information specified in Schedule 3;
review its patient information leaflet at least once in every period of 12 months and make any amendments necessary to maintain its accuracy; and
make available a copy of the leaflet, and any subsequent updates, to its patients and prospective patients.
The requirements in clause 209 do not apply to the Contractor to the extent that it provides services to persons detained in prison.
produce to the PCT or to a person authorised in writing by the PCT in such format, and at such intervals or within such period, as the PCT specifies; or
allow the PCT, or a person authorised in writing by it to access,
the information specified in clause 212.
The information specified for the purposes of clause 211 is—
any information which is reasonably required by the PCT for the purposes of or in connection with the Contract; and
any other information which is reasonably required in connection with the PCT's functions,
and includes the Contractor’s patient records.
Inquiries about prescriptions and referrals
The Contractor shall, subject to clauses 219 and 220, sufficiently answer any inquiries whether oral or in writing from the PCT concerning—
any prescription form issued by a prescriber;
the considerations by reference to which prescribers issue such forms;
the referral by or on behalf of the Contractor of any patient for any other services provided under the Act; or
the considerations by which the Contractor makes such referrals or provides for them to be made on its behalf.
An inquiry referred to in clause 218 may only be made for the purpose either of obtaining information to assist the PCT to discharge its functions or of assisting the Contractor in the discharge of its obligations under the Contract.
The Contractor shall not be obliged to answer any inquiry referred to in clause 218 unless it is made—
in the case of clause 218.1 or 218.2, by an appropriately qualified health care professional; or
in the case of clause 218.3 or 218.4, by an appropriately qualified dental practitioner,
appointed in either case by the PCT to assist it in the exercise of its functions under paragraph 37 of Schedule 3 to the Regulations and that person produces, on request, written evidence that he is authorised by the PCT to make such inquiry on its behalf.
Notification of a course of treatment or orthodontic course of treatment
The Contractor shall, within 2 months of the date upon which-
it completes a course of treatment in respect of mandatory or additional services;
it completes a case assessment in respect of an orthodontic course of treatment that does not lead to a course of treatment;
it provides an orthodontic appliance following a case assessment in respect of orthodontic treatment;
it completes a course of treatment in respect of orthodontic treatment;
a course of treatment in respect of mandatory services or additional services or orthodontic course of treatment is terminated; or
in respect of course not falling within clause 221.4 or 221.5, no more services can be provided by virtue of clause 44.2 or 148.2
send to the PCT, on a form supplied by the PCT, the information specified in clause 222.
The information referred to in clause 221 is—
details of the patient to whom it provides services;
details of the services provided (including any appliances provided) to that patient;
details of any NHS Charge payable and paid by that patient; and
in the case of a patient exempt from NHS Charges and where such information is not submitted electronically, the written declaration form and note of evidence in support of that declaration.
Annual report and review
The PCT 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 with the PCT.
Once the PCT has provided the report referred to in clause 223, the PCT shall arrange with the Contractor an annual review of its performance in relation to the Contract.
The PCT shall prepare a draft record of the review referred to in clause 224 for comment by the Contractor and, having regard to such comments, shall produce a final written record of the review.
A copy of the final record referred to in clause 225 shall be sent to the Contractor.
Notifications to the PCT
In addition to any requirements of notification elsewhere in the Contract, the Contractor shall notify the PCT in writing, as soon as reasonably practicable, of—
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
any circumstances which give rise to the PCT's right to terminate the Contract under clause 322 or 323.
The Contractor shall, unless it is impracticable for it to do so, notify the PCT in writing within 28 days of any occurrence requiring a change in the information about it published by the PCT in accordance with regulations made under section 16CA(3) of the Act.
The Contractor shall give notice in writing to the PCT when a dental practitioner who is performing or will perform services under the Contract (as the case may be)—
leaves the Contractor, and the date upon which he left; or
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.
The Contractor shall give notice in writing to the PCT forthwith when—
it passes a resolution or a court of competent jurisdiction makes an order that the Contractor be wound up;
circumstances arise which might entitle a creditor or a court to appoint a receiver, administrator or administrative receiver for the Contractor;
circumstances arise which would enable the court to make a winding up order in respect of the Contractor; or
the Contractor is unable to pay its debts within the meaning of section 123 of the Insolvency Act 1986.
Notice provisions specific to a Contract with two or more individuals practising in partnership63
The Contractor which is a partnership shall give notice in writing to the PCT forthwith when—
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
a new partner joins the partnership.
A notice under clause 231.2 shall—
state the date that the new partner joined the partnership;
confirm that the new partner is a dental practitioner, or that he satisfies the conditions specified in section 28M(2)(b) of the Act;
confirm that the new partner meets the conditions imposed by regulation 4 of the Regulations; and
state whether the new partner is a general or a limited partner.
Notifications to patients following a variation of the Contract
Where the Contract is varied in accordance with Part 22 of this Contract 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.
Entry and inspection by the PCT
the conditions in clause 235; and
the Contractor shall allow persons authorised in writing by the PCT to enter and inspect the practice premises at any reasonable time.
The conditions referred to in clause 234.1 are that—
reasonable notice of the intended entry has been given;
written evidence of the authority of the person seeking entry is produced to the Contractor on request; and
entry is not made to any premises or part of the premises used as residential accommodation without the consent of the resident.
Where the Contractor is providing services under the Contract in a prison, the Contractor shall not be obliged to comply with clause 234, or clauses 237 or 238, if—
the Contractor has used its best endeavours to allow the PCT, members of a Local Involvement Network or the Care Quality Commission (as the case may be) to enter and inspect the practice premises; but
entry and inspection has been prevented by the prison authorities despite the Contractor’s best endeavours.
236A. In clauses 234 to 236, “practice premises” includes a mobile surgery.
Entry and inspection by local involvement networks
Subject to clause 236, the Contractor must comply with regulation 3 of the Local Involvement Networks (Duty of Services–Providers to Allow Entry) Regulations 2008 in so far as it applies to the contractor.
Entry and inspection by the Quality Care Commission
Subject to clause 236, the Contractor shall allow persons authorised by the Quality Care Commission to enter and inspect premises in accordance with section 62 of the Health and Social Care (Community Health and Standards) Act 2003 (rights of entry).
PAYMENT UNDER THE CONTRACT
The PCT shall make payments to the Contractor under the Contract promptly and in accordance with both the terms of the Contract (including, for the avoidance of doubt, any payment due pursuant to clause 240), and any other conditions relating to the payment contained in directions given by the Secretary of State under section 28N of the Act subject to any right the PCT may have to set off against any amount payable to the Contractor under the Contract any amount-
that is owed by the Contractor to the PCT under the Contract;
has been paid to the Contractor owing to an error in circumstances when it was not due; or
that the PCT may withhold from the Contractor in accordance with the terms of the Contract or any other applicable provisions contained in directions given by the Secretary of State under section 28N of the Act.
239A. Where, pursuant to directions made under section 17 or 28N of the Act, the PCT is required to make a payment to the Contractor under the Contract but subject to conditions, those conditions shall be a term of the Contract.
239B. Payments to be made to the Contractor (and any relevant conditions to be met by the Contractor in relation to such payments) in respect of services where payments, or the amount of any such payments, are not specified in directions under section 17 or 28N of the Act, are set out in Schedule 4 to this Contract.65
The Contractor shall make payments promptly to the PCT and in accordance with both the terms of the Contract and any other conditions relating to payment contained in directions given by the Secretary of State under section 28N of the Act.