227Grounds for impositionE+W
This section has no associated Explanatory Notes
(1)The regulator may require a [... registered provider] to pay a penalty if the regulator is satisfied that—
(a)any of the following cases applies, and
(b)the imposition of a penalty is appropriate (whether or not as part of a response including other action).
(2)Case 1 is where the registered provider has failed to meet a standard under section [193, 194 or 194C].
(3)Case 2 is where the affairs of the registered provider have been mismanaged.
(4)Case 3 is where the registered provider has failed to comply with an enforcement notice.
(5)Case 4 is where the registered provider has given an undertaking under section 125 and failed to comply with it.
(6)Case 5 is where the registered provider has failed to pay an annual fee under section [117(1)(b)].
(7)Case 6 is where an offence under this Part has been committed by the registered provider.
(7A). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
[(7B)Case 8 is where—
(a)the registered provider—
(i)does not have a health and safety lead designated under section 126A, or
(ii)has failed to meet a requirement under section 126C, or
(b)the functions of the health and safety lead are not being carried out.]
[(7C)Case 9 is where the registered provider has failed to comply with directions or a request under section 198C.]
[(7D)Case 10 is where the registered provider has failed to comply with a performance improvement plan notice.
(7E)Case 11 is where the registered provider has failed to comply with the duty in section 218B(4) (duty to provide copy of performance improvement plan).]
(8)Where the regulator is satisfied that an offence under this Part has been committed in respect of a registered provider but by another person (such as a member, employee or agent of the registered provider)—
(a)Case 6 applies,
(b)the regulator may require the other person to pay a penalty, and
(c)this Chapter applies with the substitution of references to that other person for references to the registered provider.
(9)In order to rely on Case 6 the regulator must be satisfied beyond reasonable doubt that it applies.
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