PART 1 continued CHAPTER 2 continued
(1) Subsections (2) and (3) apply where a person applies for registration as a service provider or manager in respect of a regulated activity.
(2) If the Commission proposes to grant the application subject to any condition which has not been agreed in writing between it and the applicant, other than a registered manager condition required by section 13(1), it must give the applicant notice in writing of its proposal and of the conditions subject to which it proposes to grant the application.
(3) The Commission must give the applicant notice in writing of a proposal to refuse the application.
(4) Except where it makes an application under section 30 or gives notice under section 31, the Commission must give any person registered as a service provider or manager in respect of a regulated activity notice in writing of a proposal—
(a) to cancel the registration (otherwise than by virtue of section 17(2) or in accordance with an application under section 19(1)(b)),
(b) to suspend the registration or extend a period of suspension,
(c) to vary or remove (otherwise than in accordance with an application under section 19(1)(a)) any condition for the time being in force in relation to the registration, or
(d) to impose in relation to the registration any additional condition.
(5) The Commission must give the applicant notice in writing of a proposal to refuse an application under section 19(1)(a), (b) or (c).
(6) A notice under this section must give the Commission’s reasons for its proposal.
(1) A notice under section 26 must state that within 28 days of service of the notice any person on whom it was served may make written representations to the Commission concerning any matter which that person wishes to dispute.
(2) Where a notice has been served under section 26, the Commission must not determine any matter to which the notice relates until either—
(a) any person on whom the notice was served has made written representations to it concerning the matter,
(b) any such person has notified the Commission in writing that the person does not intend to make such representations, or
(c) the period during which any such person could have made representations has elapsed.
(1) If the Commission decides to grant an application for registration as a service provider or manager in respect of a regulated activity—
(a) unconditionally, or
(b) subject only to conditions each of which is either required by section 13(1) or agreed in writing between the Commission and the applicant,
it must give the applicant notice in writing of the decision.
(2) A notice under subsection (1) must state the conditions subject to which registration is granted.
(3) If the Commission decides to adopt a proposal of which it was required to give notice under section 26, it must give notice in writing of its decision to any person to whom it was required by section 26 to give notice of the proposal.
(4) A notice under subsection (3) must—
(a) explain the right of appeal conferred by section 32,
(b) in the case of a decision to adopt a proposal under section 26(2), state the conditions subject to which the application is granted,
(c) in the case of a decision to adopt a proposal under section 26(4)(b), state the period (or extended period) of suspension, and
(d) in the case of a decision to adopt a proposal under section 26(4)(c) or (d), state the condition as varied, the condition which is removed or (as the case may be) the additional condition imposed.
(5) Where a person (“M”) is registered as a manager in respect of a regulated activity, the Commission must—
(a) give M a copy of any notice given under subsection (3) to the person (“S”) registered as a service provider in respect of the regulated activity, and
(b) give S a copy of any such notice given under that subsection to M.
(6) Subject to subsection (7), a decision of the Commission to adopt a proposal under section 26(2) or (4) takes effect—
(a) at the end of the period of 28 days referred to in section 32(2), or
(b) if an appeal is brought, on the determination or abandonment of the appeal.
(7) Where the applicant notifies the Commission in writing before the end of the period mentioned in subsection (6)(a) that the applicant does not intend to appeal, the decision is to take effect when the Commission receives the applicant’s notification.
(1) If it appears to the Commission that a person who is registered under this Chapter as a service provider or manager in respect of a regulated activity has failed to comply with the relevant requirements, the Commission may give the registered person a warning notice.
(2) A warning notice is a notice in writing—
(a) specifying the conduct which appears to the Commission to constitute a failure to comply with the relevant requirements,
(b) specifying the requirement concerned, and
(c) where it appears to the Commission that the failure is continuing—
(i) requiring the registered person to comply with the requirement concerned within a specified time, and
(ii) stating that, if the registered person fails to do so within that time, the Commission may take action to secure compliance with the relevant requirements.
(3) Subsections (4) and (5) apply where—
(a) a warning notice has been given to any person, and
(b) where any failure to comply with a requirement is specified under subsection (2)(c), the requirement has been complied with within the specified time.
(4) The failure to which the notice relates, so far as occurring before the relevant time, is not to constitute a ground for the cancellation or suspension of registration, the variation of the conditions of registration, the removal of a condition or the imposition of any additional condition.
(5) No proceedings may be brought against any person registered in respect of the regulated activity for a Part 1 offence that arises out of the failure to which the notice relates, so far as occurring before the relevant time.
(6) In subsections (4) and (5) “the relevant time” means—
(a) where a time is specified under subsection (2)(c)(i), the time so specified, and
(b) in any other case, the date on which the notice was given.
(7) In this section “relevant requirements” means—
(a) any requirements or conditions imposed by or under this Chapter or Chapter 6, and
(b) the requirements of any other enactment which appears to the Commission to be relevant.
(1) If—
(a) the Commission applies to a justice of the peace for an order cancelling the registration of a person as a service provider or manager in respect of a regulated activity, and
(b) it appears to the justice that, unless the order is made, there will be a serious risk to a person’s life, health or well-being,
the justice may make the order, and the cancellation has effect from the time when the order is made.
(2) An application under subsection (1) may, if the justice thinks fit, be made without notice having been given to the registered person.
(3) As soon as practicable after the making of an application under this section, the Commission must give notice of the application—
(a) to such Primary Care Trust or English local authority as may be determined in accordance with regulations,
(b) where the person registered as a service provider is a Primary Care Trust or National Health Service trust, to such Strategic Health Authority as may be so determined,
(c) where the person registered as a service provider is an NHS foundation trust, to the Independent Regulator of NHS Foundation Trusts, and
(d) to such other persons as the Commission considers appropriate.
(4) An order under subsection (1) must be in writing.
(5) Where such an order is made, the Commission must, as soon as practicable after the making of the order, serve on the person registered as a service provider or manager in respect of the regulated activity—
(a) a copy of the order, and
(b) notice of the right of appeal conferred by section 32.
(1) If the Commission has reasonable cause to believe that unless it acts under this section any person will or may be exposed to the risk of harm, the Commission may, by giving notice in writing under this section to a person registered as a service provider or manager in respect of a regulated activity, provide for any decision of the Commission that is mentioned in subsection (2) to take effect from the time when the notice is given.
(2) Those decisions are—
(a) a decision under section 12(5) or 15(5) to vary or remove a condition for the time being in force in relation to the registration or to impose an additional condition;
(b) a decision under section 18 to suspend the registration or extend a period of suspension.
(3) The notice must—
(a) state that it is given under this section,
(b) state the Commission’s reasons for believing that the circumstances fall within subsection (1),
(c) specify the condition as varied, removed or imposed or the period (or extended period) of suspension, and
(d) explain the right of appeal conferred by section 32.
(1) An appeal against—
(a) any decision of the Commission under this Chapter, other than a decision to give a warning notice under section 29, or
(b) an order made by a justice of the peace under section 30,
lies to the Tribunal.
(2) No appeal against a decision or order may be brought by a person more than 28 days after service on the person of notice of the decision or order.
(3) On an appeal against a decision of the Commission, other than a decision to which a notice under section 31 relates, the Tribunal may confirm the decision or direct that it is not to have effect.
(4) On an appeal against an order made by a justice of the peace the Tribunal may confirm the order or direct that it is to cease to have effect.
(5) On an appeal against a decision to which a notice under section 31 relates, the Tribunal may confirm the decision or direct that it is to cease to have effect.
(6) On an appeal against a decision or order, the Tribunal also has power—
(a) to vary any discretionary condition for the time being in force in respect of the regulated activity to which the appeal relates,
(b) to direct that any such discretionary condition is to cease to have effect,
(c) to direct that any such discretionary condition as the Tribunal thinks fit shall have effect in respect of the regulated activity, or
(d) to vary the period of any suspension.
(7) In this section—
“discretionary condition”, in relation to registration under this Chapter, means any condition other than a registered manager condition required by section 13(1);
“the Tribunal” means the tribunal established by section 9 of the Protection of Children Act 1999 (c. 14).
A person who—
(a) is registered under this Chapter in respect of a regulated activity (whether as a service provider or manager), and
(b) fails, without reasonable excuse, to comply with any condition for the time being in force by virtue of this Chapter in relation to the registration,
is guilty of an offence and liable on summary conviction to a fine not exceeding £50,000.
(1) If a person (“S”) who is registered under this Chapter as a service provider in respect of a regulated activity carries on that activity while S’s registration is suspended, S is guilty of an offence.
(2) A person (“M”) whose registration under this Chapter as a manager in respect of a regulated activity is suspended is guilty of an offence if, during the period of suspension, M manages that activity at a time when no one else has been registered under this Chapter as a manager in respect of the activity since the suspension of M’s registration.
(3) A person (“M”) whose registration under this Chapter as a manager in respect of a regulated activity has been cancelled is guilty of an offence if M manages that activity at a time when—
(a) a person (“S”) remains registered under this Chapter as a service provider in respect of the activity,
(b) S’s registration remains subject to a registered manager condition, and
(c) no-one has been registered under this Chapter as a manager in respect of the activity since the cancellation of M’s registration.
(4) If a person (“M”) who is registered under this Chapter as a manager in respect of a regulated activity manages that activity while the registration of the person registered under this Chapter as a service provider in respect of the activity is suspended, M is guilty of an offence if M knows or could reasonably be expected to know of the suspension.
(5) A person guilty of an offence under this section is liable on summary conviction to a fine not exceeding £50,000.
Regulations under this Chapter may provide that a contravention of or failure to comply with any specified provision of the regulations is to be an offence, but may not provide for an offence to be triable on indictment or to be punishable with imprisonment or with a fine exceeding—
(a) in the case of regulations under section 20 (regulation of regulated activities), £50,000, or
(b) in any other case, level 4 on the standard scale.
(1) Any person who, with intent to deceive any person—
(a) applies any name to any concern carried on in England or to any premises in England, or
(b) in any way describes such a concern or such premises or holds such a concern or such premises out,
so as to indicate, or reasonably be understood to indicate, that the carrying on of the concern is a regulated activity or that the premises are used for the carrying on of a regulated activity is guilty of an offence unless the conditions in subsection (2) are met.
(2) Those conditions are—
(a) that a person is registered under this Chapter as a service provider in respect of the regulated activity in question, and
(b) that the registration has not been suspended.
(3) Any person who, with intent to deceive any person, in any way describes or holds out any person registered under this Chapter as a service provider in respect of a regulated activity as able to provide a service or do any thing the provision or doing of which would contravene a condition for the time being in force by virtue of this Chapter in relation to the regulated activity is guilty of an offence.
(4) A person guilty of an offence under subsection (1) or (3) is liable on summary conviction to a fine not exceeding level 5 on the standard scale.
(5) In this section “concern” includes any organisation.
(1) Subsection (2) applies to any application under this Chapter by a person (“A”)—
(a) for registration,
(b) for the variation or removal of any condition in force in relation to A’s registration,
(c) for the variation or cancellation of any suspension of A’s registration, or
(d) for the cancellation of A’s registration.
(2) If, in an application to which this subsection applies, A knowingly makes a statement which is false or misleading in a material respect, A is guilty of an offence.
(3) A person guilty of an offence under this section is liable on summary conviction to a fine not exceeding level 4 on the standard scale.
(1) Subject to subsection (3), the Commission must secure that copies of any register kept for the purposes of this Chapter are available at its offices for inspection at all reasonable times by any person.
(2) Subject to subsections (3) and (4), any person who asks the Commission for a copy of, or an extract from, a register kept for the purposes of this Chapter is entitled to have one.
(3) Regulations may provide that subsections (1) and (2) do not apply—
(a) in such circumstances as may be prescribed, or
(b) to such parts of a register as may be prescribed.
(4) A fee determined by the Commission is payable for the copy or extract except—
(a) in prescribed circumstances, or
(b) in any case where the Commission considers it appropriate to provide the copy or extract free of charge.
(1) Where the Commission gives a notice to which this section applies in respect of a regulated activity, it must give a copy of the notice—
(a) to such Primary Care Trust or English local authority as may be determined in accordance with regulations,
(b) where the person registered as a service provider in respect of the activity is a Primary Care Trust or National Health Service trust, to such Strategic Health Authority as may be so determined,
(c) where the person registered as a service provider in respect of the activity is an NHS foundation trust, to the Independent Regulator of NHS Foundation Trusts, and
(d) to such other persons as the Commission considers appropriate.
(2) This section applies to the following notices—
(a) a notice under section 26 (notice of proposals),
(b) a notice under subsection (1) or (3) of section 28 (notice of decisions),
(c) a warning notice under section 29 (warning notice), and
(d) a notice under section 31 (urgent procedure for suspension, variation etc.).
(3) The Commission must notify each of the persons mentioned in subsection (1)(a) to (d) of either of the following events in relation to a person registered under this Chapter—
(a) the payment of a penalty in accordance with a penalty notice issued under section 86, or
(b) the commencement of proceedings in respect of a Part 1 offence.
(4) Regulations may prescribe cases in which subsection (1) or (3) does not apply.
(1) Regulations may require the person carrying on a regulated activity to make a return to the Commission at such intervals as may be prescribed.
(2) Provision may be made by the regulations as to the contents of the return and the period in respect of which and date by which it is to be made.
(1) Regulations may—
(a) require any person to whom this section applies to give notice of the person’s appointment to the Commission;
(b) require any person to whom this section applies to appoint a person to manage the regulated activity in question.
(2) This section applies to any person appointed as—
(a) a receiver or manager of the property of a relevant company,
(b) the liquidator or provisional liquidator of a relevant company, or
(c) the trustee in bankruptcy of a relevant individual.
(3) In this section—
“company” includes a partnership;
“relevant company” means a company which is registered under this Chapter as a service provider in respect of a regulated activity;
“relevant individual” means an individual who is registered under this Chapter as a service provider in respect of a regulated activity.
(1) Regulations may—
(a) provide for the provisions of this Chapter to apply with prescribed modifications in cases where a person who was the only person registered under this Chapter as a service provider in respect of a regulated activity has died;
(b) require the personal representatives of a deceased person who was registered as a service provider in respect of a regulated activity to notify the Commission of the person’s death.
(2) Regulations under subsection (1)(a) may in particular—
(a) provide for the regulated activity to be carried on for a prescribed period by a person who is not registered in respect of it, and
(b) include provision for the prescribed period to be extended by such further period as the Commission may allow.
(1) Regulations may modify the provisions of this Chapter in their application to any newly regulated activity of a prescribed description.
(2) A “newly regulated activity” is any regulated activity other than one which—
(a) consists of or includes the carrying on of a relevant concern,
(b) under the 2000 Act as it has effect immediately before commencement, is regulated under Part 2 of that Act by virtue of regulations under section 42 of that Act (power to extend application of that Part), or
(c) consists of the provision of health care by a National Health Service body, as defined by section 121 of that Act.
(3) For this purpose a “relevant concern” is anything which, under the 2000 Act as it has effect immediately before commencement, would for the purposes of that Act be—
(a) an independent hospital,
(b) an independent clinic,
(c) an independent medical agency,
(d) a care home,
(e) a domiciliary care agency, or
(f) a nurses agency.
(4) Any regulated activity carried on by or on behalf of the Crown is for this purpose a newly regulated activity.
(5) In this section—
“the 2000 Act” means the Care Standards Act 2000 (c. 14);
“commencement” means the commencement of section 10 of this Act.
In this Chapter—
“health care associated infection” is to be read in accordance with section 20(6) and (7);
“registered manager condition” is to be read in accordance with section 13(3).
(1) The Secretary of State may prepare and publish statements of standards in relation to the provision of NHS care.
(2) The Secretary of State must keep the standards under review and may publish amended statements whenever the Secretary of State considers it appropriate.
(3) The Secretary of State may direct a person—
(a) to prepare a draft statement of standards for the purposes of subsection (1), submit it to the Secretary of State for approval and publish it in the form approved or modified by the Secretary of State;
(b) to keep standards under review for the purposes of subsection (2) and, whenever the person considers it appropriate, submit a draft amended statement to the Secretary of State for approval and publish it in the form approved or modified by the Secretary of State.
(4) The Secretary of State must consult such persons as the Secretary of State considers appropriate—
(a) before publishing a statement under subsection (1) or approving a statement under subsection (3)(a);
(b) before publishing under subsection (2), or approving under subsection (3)(b), any amended statement which in the opinion of the Secretary of State effects a substantial change in the standards.
(1) In respect of each Primary Care Trust the Commission must—
(a) conduct reviews of the provision of health care provided or commissioned by the Trust,
(b) assess the Trust’s performance following each such review, and
(c) publish a report of its assessment.
(2) In respect of each English NHS provider the Commission must—
(a) conduct reviews of the provision of health care by the provider,
(b) assess the provider’s performance following each such review, and
(c) publish a report of its assessment.
(3) In respect of each English local authority the Commission must—
(a) conduct reviews of the provision of adult social services provided or commissioned by the authority,
(b) assess the authority’s performance following each such review, and
(c) publish a report of its assessment.
(4) The assessment of a body’s performance is to be by reference to such indicators of quality as the Secretary of State may devise or approve.
(5) The Secretary of State may direct the Commission to devise indicators for the purposes of subsection (4) and submit them to the Secretary of State for approval.
(6) The Commission must—
(a) prepare a statement describing the method that it proposes to use in assessing and evaluating a body’s performance under this section, and
(b) submit the statement to the Secretary of State for approval.
(7) Different indicators may be devised or approved, and different methods may be described, for different cases.
(8) The Commission must publish—
(a) the indicators devised or approved from time to time by the Secretary of State, and
(b) the method statement approved from time to time by the Secretary of State.
(9) The Secretary of State may, after consulting the Commission, by regulations make provision as to the procedure to be followed in respect of the making of representations to the Commission before the publication of a report under this section.
(1) The Commission must—
(a) prepare a document setting out the frequency with which reviews under section 46 are to be conducted and the period to which they are to relate, and
(b) submit the document to the Secretary of State for approval.
(2) The document may make different provision for different cases.
(3) The Commission may revise the document from time to time with the approval of the Secretary of State.
(4) The Commission must publish the document as approved by the Secretary of State and as revised from time to time.