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Guidance on the application process

Guidance for new providers who are applying to register under the Private Dentistry (Wales) Regulations 2017

This guidance is for all providers who need to be registered under the Care Standards Act 2000 and who will be applying for registration with Healthcare Inspectorate Wales (HIW).  

These instructions take you through each stage of the application process for registration with HIW.  Please note: practices offering laser treatments should pay particular attention to the * throughout the document which outline specific information required.

The ‘Application Checklist’ at Appendix A lists everything you need to submit with your application.

It is an offence to knowingly make a false declaration. This could render you liable to prosecution and could lead to the refusal of your application. 

Flow chart of registration process: registration determination, application, assessment, receiving a decision, once registered

Stage 1: Registration Query

Section 1: What to think about before making your application

 A. The regulations that may apply to the service you will be providing

All applicants must submit an HIW Registration query form for HIW to determine if registration is required, and if so, what registration classification is required. 

Section 2: Registration Query

B. If registration with HIW is required
C. If registration with HIW is not required
D. Legal requirement to register

 

Stage 1 Section 1: What to think about before making your application
 

A. Regulations that may apply to you

If a provider wishes to carry on a service that comes within the scope of registration, as set out in the Care Standards Act 2000 and The Private Dentistry (Wales) Regulations 2017, they are required to be registered with HIW. 

Other regulations

 You must also ensure that your service complies with wider laws, for example you must observe relevant health and safety requirements and have relevant planning permission.

Services Offering Laser Treatment *

Please note that we need to see specific information in relation to planning permission for those services offering IPL and laser treatment.

 

Stage 1 Section 2: Submitting a HIW Registration Query Form
 

Registration Query Process

The applicant will be required to complete a HIW Registration Query form, this may be submitted online or by email to hiw.registration@gov.wales 

This form must be completed with sufficient information to enable HIW to determine whether the service requires registration with HIW. The Registration query form is structured to provide HIW with the information required to determine an outcome. The outcome will be provided to you in writing. 

The registration team are unable to advise on whether or not registration is required over the telephone due to the nuances of legislation and the requirement to document our decision for each case. 

 

B. If registration with HIW is required

HIW will write to you by email with a registration query outcome letter to explain the reason(s) why registration is required.  If you intend to proceed to provide these services, instructions on how to submit an application to register will be included in this outcome letter. 

HIW expects applications to register to be submitted via a secure portal, Objective Connect, to ensure that information shared between the applicant and HIW is secure and confidential. Details on setting up the secure link will be provided in the outcome letter. 

The application process is covered in more details in the following Sections. 

 

C. If determined that registration with HIW is not required

HIW will write to you by email with a registration query outcome letter to explain the reason(s) why registration is not required for the service described. There will be no further action required from yourself. 

However, please note that our determination is based on the information that you provide at that time. Future changes to your service may require registration and therefore it is important that you consider the potential requirement to register with any changes to the service provision.

 

D. Legal requirement to register

To carry on or manage an independent health care service without registration is an offence under section 11 of the Care Standards Act 2000.

Further information about who needs to register, guidance on the HIW registration process and the relevant application forms can be found on our website https://hiw.org.uk/providing 
 

Stage 2: Application Documents

Section 1: Preparing your application to register with HIW

A.  Filling in your application form  
 

Completing supporting information. 

B. Statement of Purpose 

C. Patient Information Leaflet

D. References

E. Policies and procedures

F. The building 

G. Other information to include with your application

H. Disclosure and Barring Service (DBS) Details

Section 2:  Submitting your application

I. Incomplete applications or missing information

J. Changing your application after submission

Section 3:  Registration fees

K. Fees to pay 

 

Stage 2 Section 1: Preparing your application documents to register with HIW
 

A. Filling in your application form

HIW would prefer this form to be completed electronically and it is available at Register as an independent healthcare service | Healthcare Inspectorate Wales (hiw.org.uk)

If you cannot access our form electronically, and it is completed as a hard copy, please use block capitals.  If you need a hard copy of the form, please contact us and we can post it to you. 

Individuals and Organisations – step by step guide

You can use this section of the instruction in conjunction with your application form as you fill it in.
 

Section 1: Required Information

This section must be completed to evidence that all required information for a complete application to register has been included. 
 

Section 2: The Service (part A)

This section asks you about the location of the practice and specifies the service type that you are registering according to the Regulations. 
 

Section 3: Applicant details

This section asks for the basic information about the applicant including contact details and details of the company (if an organisation). 
 

Section 4: The Service (part B)

This section asks more specific questions about the service, the practice’s environment and the financial viability of the provider.
 

Section 5: Personnel Information 

This section asks for further details about your previous registration history, employment history, medical history, DBS checks and any professional registration.
 

Section 6: Equality, diversity and human rights

This section asks how you will ensure that equality, diversity and human rights are actively promoted in the practice.
 

Section 7: Application declaration 

This section asks for you to sign and date the form declaring that the information you have provided is accurate, we can accept electronic signatures for this form.   To knowingly make a false or untrue declaration is an offence under Section 27 of the Care Standards Act 2000.  Please ensure that all persons named in Section 3 have signed the authorising signature section.  Details of where to send the application are also included in this section. 

 

Supporting Information
 

B. Statement of Purpose

Regulation 5 and Schedule 1 of the Private Dentistry (Wales) Regulations 2017 set out the information required in your Statement of Purpose. 

Every service provider is required by law to have a Statement of Purpose and it should include specific details about your service, what treatments are provided, to who (age), by whom and any equipment used. 

Please note that the Statement of Purpose is a public document, therefore the contents should be carefully considered for what will be available in the public domain.

Your Statement of Purpose must include 

  • The aims and objectives of the private dental practice 
  • Registered Provider details 
  • Registered Manager details 
  • Information about staff 
  • Services, Treatments and Facilities 
  • Patient views
  • The practice opening hours and any arrangement for patients who require urgent care or treatment out of hours
  • Complaints 
  • Privacy & Dignity 
  • Date on which the Statement of Purpose was agreed

Further guidance is provided in Appendix B and the Statement of Purpose template. 

We have provided a template for the Statement of Purpose as a guide only.  If you already have a Statement of Purpose that meets all the requirements, you do not need to rewrite it using the template.

HIW will not progress an application to register without an up-to-date and complete Statement of Purpose. 

We will use your Statement of Purpose to help us reach judgements about whether your service is meeting the relevant standards. The Statement of Purpose should therefore include enough detail for a reader to get a clear picture about the type of service you provide and the people who use your service. 

You are required to keep your Statement of Purpose under regular review and you must inform us of any changes to it, at least 28 days before the changes are due to take effect. Failure to maintain the Statement of Purpose or inform HIW of changes may result in HIW taking enforcement action against you.

We will refer to your Statement of Purpose when we undertake an inspection to ensure that the services and treatment you are providing are as described in your Statement of Purpose. You must not provide registerable treatments and services outside the scope of your Statement of Purpose. This may result in HIW taking enforcement action against you.

 

C. Patient Information Leaflet 

Regulation 6 and schedule 2 of the Private Dentistry (Wales) Regulations 2017 sets out the information required in your patient information leaflet. 

Every service provider is required by law to have a patient information leaflet and it must provide information for patients on the service they are to receive. The guide should be provided to every patient and any person acting on behalf of a patient. 

Further guidance is provided in Appendix C and the Patient Information Leaflet template. 

We have provided a template for the patient information leaflet as a guide only.  If you already have a patient information leaflet that meets all of the requirements, you do not need to re-write it using the template.

 

D. References

Two references are required for the registered manager applicant of a dental practice. 

Template reference forms are available on HIW’s website Register as a private dental practice or private direct access practice | Healthcare Inspectorate Wales (hiw.org.uk)

 

E. Policies and procedures

You need to write a set of policies and procedures.  Regulation 8 of the Private Dentistry (Wales) Regulations 2017 sets out the policies and procedures that need to be in place for your service.

You will need to provide an index of your policies and procedures when applying to register (a template is available on our website). As part of the registration process, we will request a sample of policies and procedures. It is the provider’s responsibility to maintain and update all policies and procedures.  As a registered service, these may be requested to be viewed by HIW at any time, including during an inspection. 

 

F. The Building
 

HIW will assess your application based upon the readiness of the service to meet patients’ needs.  You should ensure that everything is in place before applying to register your service.

'I am registering to provide laser services - what additional preparation will I have to do?' *

You must appoint a Laser Protection Adviser (LPA) to help with your application. You also need to have in place local rules for the machine and treatment protocols for all treatments you are looking to provide. More information on this can be found within the National Minimum Standards for Independent Health Care in Wales - a copy of which is at www.hiw.org.uk. *

 

G. Other information to include with your application

You must provide the supporting information (as specified in the Application Checklist in  Appendix A ) with your completed application form.

You should also give us information about other businesses that are carried on in the same premises as your service.  This information needs to detail where you have shared use of premises and services. For example, entrance areas, water, electricity and gas and what your responsibilities are for contracts and maintenance.

If the business is another provider and you have any interests or management responsibilities for the company, you should include these in the form.

HIW will also be required to see what Public Liability Insurance arrangements are in place, or to be put in place. 

 

H. Disclosure and Barring Service (DBS) checks

The registering provider will need DBS certificates for all relevant individuals, including anyone who will be a Registered Manager (RM). 

For the registered manager, the HIW application form requires confirmation that the registered manager applicant has either an enhanced DBS check certified in the last 3 years or has signed up to the DBS Update Service (where an enhanced DBS check has previously been carried out which includes the relevant barred lists being checked). 

HIW will need to see the original Enhanced DBS certificate that has been issued in the last three years. Or, if the registered manager applicant has signed up to the DBS Update Service, HIW can use this service with your permission to check your DBS record. HIW will also need to see the original DBS certificate. 

The registered manager applicant can apply for a DBS through HIW. To do this you will need to indicate this on your HIW registration application form. HIW will post an Enhanced DBS application form to the nominated address. 

Further information on HIW’s DBS process can be found here and guidance on completing the DBS form can be found at www.homeoffice.gov.uk/dbs 

 

 

Stage 2 Section 2: Submitting Your Application


All application documentation must be submitted at the same time via the secure portal that is set up to process your application.  

Please note that HIW will be able to make reasonable adjustments to help support applicants submit applications to register, where needed. 

 

I. Incomplete applications or missing information

We cannot process incomplete applications.  Incomplete applications will be rejected and returned. 

If your application is rejected because it is incomplete, we will let you know what information was missing to enable you to resubmit it should you wish. 

 

J. Changing your application after submission

If you need to amend your application, you will have to confirm this in writing, and we will tell you if your amendment can be accepted. This will need to be discussed and arranged with the allocated registration manager. 

Amendments will cause a delay and may mean that we are not able to process your application. We may also require further information to include these changes.

If the changes to the application are substantial, you will have to make a new application with a full fee. 


 

Stage 2 Section 3: Registration Fee
 

K. Fees to Pay

Private Dental Practices are required to pay an annual fee from the date that they are registered, this is pro-rata amount to 31 March the following year. The full annual fee is required for each subsequent year of registration. 

The amount to pay is not determined by Healthcare Inspectorate Wales but is set out in  Regulation 33 and Schedule 5 of The Private Dentistry (Wales) Regulations 2017.  Details on fees are available here Private Dental Practice Fees | Healthcare Inspectorate Wales (hiw.org.uk) and set out in Appendix D.

HIW will provide a form for the applicant to complete with financial information so that a Welsh Government account can be set up to enable the payment of the relevant fees. 

An invoice for the first (pro-rata) annual fee will be issued by email when an application is granted. 

 

Stage 3: Assessment Process

Section 1 – How we assess your application 

A. The assessment process
 

Section 2 - Financial assessment 

B. Question on administration and receivership 

C. Declaration about financial viability
 

Section 3 - Medical assessment 

D. Medical declaration 
 

Section 4 - Professional assessment

E. Regulatory requirements

F. Personal / Professional references

G. Registered Manager ‘fitness to practice’ interviews

 

 

Stage 3 Section 1 – How we assess your application
 

A. The assessment process

There are 4 phases to our assessment process and we aim to complete all registrations within 12 weeks of accepting a fully completed application

On receipt of an application, we will undertake Phase 1 Initial Check to confirm that, as a minimum, the following information has been received with an application form:

  • Statement of Purpose
  • Patient Information Leaflet 
  • 2 personal / professional references for the registered manager
  • Policies and procedures index
  • Confirmation that an enhanced DBS check has been carried out or is in the process of being carried out / signed up to the DBS Update Service
  • Public liability Insurance information
  • For lasers only – a Laser Protection Adviser (LPA) report, signed local rules and treatment protocols.
  • Confirmation that appropriate planning permission has been sort for the service to be provided.

Please note: we will not check the content of the documents at this stage but will determine whether a complete set of application documents have been submitted. 

If any of the documents are missing, we will return your application as incomplete.  

Once a fully completed application has been received the registration team will commence Phase 2 Quality Checks:

  • The quality of the information provided.
  • The outcome of the references and DBS checks provided. 

Please note: if a DBS check is returned with any listed offences, we will conduct an additional DBS interview with you. A listed offence would not automatically prevent a person becoming a registered manager.

HIW will require further information and documentation to support your application. The information will depend on the type of the service being provided and specific to the practice. If you fail to provide the required additional information within requested timescales, typically 10 working days, HIW may refuse to grant your application.

At Phase 3 we undertake our pre-registration site visit and registered manager ‘fitness to practice’ interview.

At the pre-registration site visit we assess:

  • The readiness and suitability of your premises including environmental and health and safety checks.
  • The full policies and procedures you have in place.

At this stage we will also carry out the registered manager ‘fitness to practice’ interview.  This may be during the site visit, over Microsoft Teams, or we may invite you to attend our office in Merthyr Tydfil. 

Phase consists of a final assessment regarding your application for registration based on all the evidence and information provided in your application and if applicable evidence from the pre-registration site visit and interview. 

 

 

Stage 3 Section 2 - Financial Assessment
 

B. Question on administration and receivership

The information you provide for this question will be judged with the supporting evidence on your ability to carry out or manage a service.  You will be given the opportunity to discuss the details fully if needed. 

 

C. Declaration about financial viability

You must declare that you take all reasonable steps to remain financially viable in order to achieve your aims and objectives as set out in your statement of purpose.  Your declaration will be completed by ticking a box on the application form, either ‘yes’ or ‘no’. 

In considering whether you will be financially viable, you are strongly advised to have put together a business plan.  This should be a robust and comprehensive analysis of all costs you are going to face and should be very realistic about your likely income.  Your business plan will need to show that your income will exceed your costs within a reasonable timeframe, and that you have the finance to enable you to meet the essential standards.  You should not declare your financial viability unless you have followed this process. 

Therefore, if you answer ‘no’ to this question we may make a proposal to refuse your application. 

 

Stage 3 Section 3 – Medical Assessment
 

D. Medical declaration

You must declare if you have any physical and mental health conditions which may affect your ability to carry on, manage, or work for the purposes of the service you are applying to register.  Your declaration will be completed by ticking a box on the application form, either ‘yes’ or ‘no’. 

You must consider whether you have an illness or medical condition that could put yourself or others at risk when providing services. (Reference to this can be found in Regulation 9 of the Private Dentistry (Wales) Regulations 2017.

If the information provided in your application form states that you have a condition that could affect your ability to carry out your role, we will discuss this with you either at the interview stage or prior to this.  We will ask you to tell us about any reasonable adjustments that you have put in place to enable you to do your job and will take these into account.

If we are not confident that you are medically fit to be a registered person, we may refuse your application.  You have the right to appeal against this.  We will also consider any second opinion that you may wish to obtain.

 

Stage 3 Section 4 – Professional assessment
 

E. Regulatory requirements

Regulation 11 of the Private Dentistry (Wales) Regulations 2017 outlines the requirements relating to registered managers’ ‘fitness  of manager’. 

This includes an assessment of whether the person:

  • Is of suitable integrity and good character. We assess this through the information provided in your application form, the DBS check, references and interview.
  • Has the qualifications, skills and experience to manage the private dental practice.  We assess this through interview, references and the application forms which require you to submit your complete employment history for the past 10 years (or your full career if shorter).  You must provide us with a written explanation of all gaps between employment.
  • Is able, by reasons of their health, after reasonable adjustments (if any) are made, to manage the private dental practice.  We assess this through the information provided in your application form, interview and through references.

 

F. Personal/Professional References

You need to submit two professional or personal references with your application A form for the reference is available here.  The referees must be able to comment on your competence to manage the service and should not be related to you.  One of these referees should have been your employer for at least 3 months. We may contact your referee(s) if we have any concerns about your application.  For example, a quick succession of different jobs, or an unexplained gap in employment. 

 

G. Registered person(s) 'fitness to manage and/or carry on' interview 

We usually conduct ‘fitness to practice’ interviews on the same day as our site visit, over Microsoft Teams or invite you to attend our offices in Merthyr Tydfil. 

Prior to the interview we will send you a questionnaire to fill in, which asks about the Regulations and your responsibilities as a registered manager.  We ask you to return this to us prior to your interview so we can address any points relating to the regulations during the interview. 

Two HIW staff will conduct the interview asking you questions relating to your skills, knowledge and experience in the field you’ll be working in and about what you have written in the application form or your plans for the service.

Stage 4: Receiving a decision

Section 1 – Timescales

A. When you can expect an outcome

Section 2 – Receiving a decision

B. Notice of Proposal (NoP)

 

Stage 4 Section 1 – Timescales
 

A. When you can expect an outcome

We aim to make a decision on all new providers within 12 weeks of accepting a fully completed application to the date that the Notice of Decision is served.  

Please note that the 12 week countdown begins when we receive all the information requested so that we can move onto the assessment stages. This therefore depends on you submitting full and correct information with your application.

This timescale will be longer if: 

  • we request additional information but that information has not been returned to us within 5 working days; 
  • there is a change to an application or other delays which are beyond our control (these include slippage in completion dates for changes in ownership and premises not being ready);
  • we carry out a site visit or interview applicants more than once, due to concerns identified as part of our assessment;
  • we have significant concerns regarding the provider’s operation or if there is enforcement action that could impact on any necessary decision to vary registration;
  • we refuse registration and an appeal is made against that decision.

 

Stage 4 Section 2 – Receiving a decision
 

B. Notice of Proposal (NoP)

When all stages of assessment have been completed, we will issue you with a Notice of Proposal (NoP).  This is a legal notice and it will either state that we propose to:

  • Register you without conditions. 
  • Register you with conditions.
  • Refuse your application to register.

You have 28 days to make representations to us to appeal the Notice or any of the conditions listed on it.  If we do not receive representations within this time frame we will continue to issue the Notice of Decision (NoD) and will assume no representations will be made.  Should you agree with the Notice and wish to speed up the process of registration you are able to sign, date and return a slip to us relinquishing your right to appeal.

A condition may be attached to your registration that: 

  • Restricts your regulated activity.  A typical example of this is restricting the age range you are able to treat, for example, the NoP may state that you can not treat people between the ages of 6 and 13. 
  • States what types of services you are permitted to provide.  For example, the NoP may state that you can provide diagnostic, surgical procedures (no cardiac surgery) or in the case of laser/IPL services will state the specific lasers and treatments you are permitted to carry out. 

 

C. Notice of Decision (NoD)

When the NoP has elapsed (after 28 days) or you have signed, dated and returned a slip to us relinquishing your right to appeal, we will issue you with a NoD. 

This confirms that we have made a decision about the status of your registration.  In the same way as the NoP, you have 28 days to make representations, allow the Notice to elapse or to sign, date and return your acceptance to us.

On receipt of your signed slip from the NoD or after 28 days have elapsed from the date on your NoD you are registered under the Care Standards Act 2000 and can start providing your service.

 

D. Appeals

You can make representations to us about any proposal we make in relation to your application to register. 

We may propose to refuse to register you, or propose to register you subject to conditions.  If you disagree with the proposal, the address for any representation is available in the Notice sent to you. 

Following the NoP, if we do not uphold your representations, but continue to confirm our proposal through a NoD, you can appeal against our decision to an independent tribunal.  In this situation, HIW will provide information about the tribunal upon request.

Stage 5: Once Registered

Section 1 - HIW’s commitments to you when registered

A. Certificates
B. Website and logo
C. Inspections

Section 2 - Your responsibilities when registered

D. Keeping your service compliant with the Regulations
E. Informing us of changes
F. Reportable incidents
G. Annual fees 
H. Registered Manager responsibilities 
I. Providing a service when not registered.

 

Stage 5 Section 1 – HIW’s commitments to you when registered
 

A. Certificates

We will issue certificates in the post to the establishment address for the whole provider registration.  Each Registered Manager also receives a separate certificate. Certificates of registration must be displayed in a visible place in the practice.
 

B. Website and Logo

When you are registered with us, we will add details of your service to our website and social media accounts.  This means that members of the public will be able to identify you as a registered provider of services.

With our permission, you can use our logo in your promotional materials as a quick way to show that you are registered with us. You will need to complete a form to use our logo which we can provide on request.

 

C. Inspections

HIW carries out regular announced and unannounced inspections of registered services to ensure the service continues to comply with the requirements set out within the Care Standards Act 2000 and supporting legislation. HIW’s Inspection team will provide you with a report from the inspection and will give you feedback about your service, asking you to make improvements where needed.  If we find that you are not complying with the Regulations we could take enforcement action. 

 

 

Stage 5 Section 2 – Your responsibilities when registered

 

D. Keeping your service compliant with the Regulations

You are responsible for ensuring that your service continues to meet the requirements of the Care Standards Act 2000 and supporting legislation. 

It will be usual practice for HIW to bring any non-compliance to the specific attention of the individuals concerned, providing an opportunity for relevant remedial action to be taken within a specific timescale. 

If the non-compliance is of a serious nature, HIW may consider it appropriate to impose certain conditions on your service or cancel registration of your service altogether meaning that your service must cease operating. HIW may also take action by way of a prosecution which could result in a fine and / or imprisonment. 

 

E. Informing us of changes

You are responsible for informing HIW of any changes to the services that you provide.

If you wish to vary or remove a condition of registration you will need to submit an application to HIW and a fee is payable.  Table 2 below sets out these fees and an invoice will be issued when the application to vary or remove a condition is processed. 
 

Minor variation

A minor variation is a variation of conditions where it is not necessary for HIW to attend the practice in order to determine the application. 

The following are examples where an inspection would not normally be considered necessary – however each application will be considered on its own merits:

  • Cessation of a type of treatment or service.
  • A new Class 3B/4 laser  machine to carry out similar treatments to those already registered.
     
Major variation

A major variation is a variation of conditions where HIW consider it necessary to attend the practice in order to determine the application. 

It will often be an application which changes the purpose for which registration was originally granted.   

The following are examples where an inspection may be considered necessary – however each application will be considered on its own merits:

  • Extension of the service into additional building(s).
  • Changes to a service that requires new equipment/staffing.

You would not legally be entitled to carry out the changes until we have granted your application.  You would receive a Notice of Proposal and/or Notice of Decision in the same way as your initial registration.

Table 2 - Costs to Vary or Remove Conditions of Registration

Vary a condition of registration by a provider of a dental practice 

Type of variationFee
Minor £250
Major£500

Remove a condition of registration

CategoryFee
Registered providers of a dental practice £50

 

F. Reportable Incidents

Regulations –25 - 30 of the Private Dentistry (Wales) Regulations 2017 state that you must inform HIW with regards to specific events if they  occur at the dental practice, this includes:

  • The death of or serious injury to, a patient
  • The outbreak of any infectious disease
  • Any allegation of misconduct against a member of staff
  • Appointment of a manager
  • Notice of temporary absence of registered person 
  • Notice of changes 
  • Notification of offences
  • Appointment of liquidators
  • Death of a registered person

Notifiable events guidance and forms are available at Notify us of an event | Healthcare Inspectorate Wales (hiw.org.uk)

 

G. Annual Fees

Registered providers of dental practices have to pay an annual fee.  Managers do not have to pay an annual fee.

The annual fee is due on 1 April each year. Appendix D sets out the fees that must be paid annually to remain registered with HIW.

Further information on fees is available on our website Private Dental Practice Fees | Healthcare Inspectorate Wales (hiw.org.uk) 

 

H. Registered Manager responsibilities

Please note that Registered Managers are responsible for their own registration, including applying to register and changing the details of their registration.  

When a Registered Manager leaves their post it is their responsibility (not the provider’s) to notify us. An application to cancel their registration must be submitted.  The consequence of not cancelling their registration is that they remain legally liable for the service. 

 

I. Providing a service when not registered 

Any person who carries on or manages an establishment or agency which provides a relevant independent healthcare service without being registered commits an offence under section 11(1) of the Care Standards Act 2000. 

From time to time, HIW receives information suggesting services may be operating outside registration. This results in HIW taking action to investigate.  HIW has powers under Section 31(2) of the Care Standards Act 2000 to enter and inspect any premises which are used, or which it has reasonable cause to believe are being used, to provide services that are required to be registered. 

Where a service is being provided without being registered HIW will take enforcement action. This may range from a requirement to cease provision of the service until registration has been achieved but may also result in prosecution where conviction may lead to a fine and / or imprisonment. 

Appendix A - Application Checklist

Required Information

HIW will only process an application that is complete. A complete application must consist of the following, please indicate that each item has been submitted.

Private dental practice
Application form to register – fully completed, signed and dated 
Statement of Purpose 
Patient information leaflet 
2 personal/professional references (Registered Manager/s) 
Copy of birth certificate or passport (Registered Manager/s & Responsible Individual/s) 
Copies of relevant qualification certificates (Registered Manager/s & Responsible Individual/s) 
Policies and procedures index 
Evidence of adequate public liability insurance 
Evidence of sufficient planning permission or that application for planning having been submitted to the local authority planning department 
Dental laser applications must also include the following information:
Evidence that you have employed a Laser Protection Advisor 
Local Rules for each machine, signed by all users of the machine 
Signed treatment protocols drawn up by a practicing GDC registered professional 

An application will not be accepted unless all of the above has been submitted or prior agreement with the Registration Team.

Appendix B - Statement of Purpose

Your Statement of Purpose must include:

  • The aims and objectives of the private dental practice – explain the goals that your service has set for itself and include the outcomes or results that you will use to measure its success.  You should also try to describe the specific impact you intend to have on the people who use your services and what benefits they can expect to experience as a result of accessing the services you provide.
  • The registered provider and registered manager details - The name, address, telephone, fax and email contact details.
  • The relevant qualifications and experience of the registered provider and any registered manager
  • In the case of an organisation, details of the responsible individual’s roles and responsibilities within the organisation.
  • The names, relevant qualifications and experience of all the dentists and dental care professionals employed in or for the purposes of the private dental practice.
  • The registered provider’s organisational structure.
  • The kinds of treatment, facilities and all other services provided in or for the purposes of the private dental practice, including details of the range of needs which those services are intended to meet. - details of the services, treatments and facilities you intend providing and how these will be provided referring to both the equipment and staff with the specialist skills to provide these.  Describe the type of needs that the people who will use your services will have.  Give details of specific health needs that you aim to meet.  You should not include any personal or confidential details about individuals in the Statement of Purpose.
  • Patient views - describe how you will seek patient views in order to monitor the quality of the services you provide and how you intend to use this information.

The practice opening hours and any arrangements for patients who require urgent care or treatment out of hours.

  • Complaints - explain how a patient can lodge a complaint and set out the timescales for responding. You should ensure that your policy meets the requirements of Regulation 21 of the Private Dentistry (Wales) Regulations 2017.
  • Privacy & Dignity - describe how you will respect the privacy and dignity of your patients. 

Date - the date on which the Statement of Purpose was agreed and any subsequent revisions. 

Appendix C - Patient Information Leaflet

Your Patient Information Leaflet must include:

  • A summary of the Statement of Purpose 
  • The relevant experience and qualifications of all the dentists and dental care professionals employed in or for the purposes of the private dental practice
  • The arrangements made for seeking patients’ views
  • The arrangements for the appropriate development and training of employees.
  • The address and telephone number for each of the premises used for the purpose of carrying on a dental care practice by the registered provider.
  • The arrangements for access to premises used for the purpose of carrying on a private dental practice.
  • The rights and responsibilities of a patient including keeping appointments.
  • Details of persons who have access to patient information and patients’ rights in relation to disclosure of such information.

Appendix D – Annual Fees

Type of practiceFee
Private only practice£500
NHS and private practice where 2 or more dentists provide dental services.£500
NHS and private practice where no more than one dentist provides dental services.£300

Your annual fee is due one month after the date of registration (pro rata for the remaining months of the financial year) and annually on 1 April thereafter.  We will issue an invoice by email to inform you that your annual fee is due.  This will provide details of the amount you will be required to pay, the date it must be paid by and how you can pay it.  You should not pay your fee until you have received the invoice.

If you do not pay your annual fee by the due date, HIW will issue a Notice of Proposal to cancel your registration.  HIW may also choose to recover the fee as a civil debt.

If you have any queries about this guidance or registration please contact us:

Registration Team

Healthcare Inspectorate Wales

Welsh Government

Rhydycar Business Park

Merthyr Tydfil

CF48 1UZ

Tel. 0300 062 8163

Email.  HiwRegistration@gov.wales