PART 4Compliance and Offences
Guidance and Code21
For the purposes of compliance with the requirements set out in these Regulations, the registered person must have regard to—
a
guidance issued by the Commission under section 23 of the Act in relation to the requirements set out in Part 3 (with the exception of regulation 12 in so far as it applies to health care associated infections); and
b
in relation to regulation 12, in so far as it applies to health care associated infections, any code of practice issued by the Secretary of State under section 21 of the Act in relation to the prevention or control of health care associated infections.
Offences22
1
It is an offence for a registered person to fail to comply with any of the requirements in the following regulations, as read with regulation 8—
a
regulation 11,
b
regulation 16(3), F6...
c
regulation 17(3).
F7d
regulation 20(2)(a) and (3), or
e
regulation 20A.
2
A registered person commits an offence if the registered person fails to comply with a requirement of regulation 12, 13(1) to (4) or 14, as read with regulation 8, and such failure results in—
a
avoidable harm (whether of a physical or psychological nature) to a service user,
b
a service user being exposed to a significant risk of such harm occurring, or
c
in a case of theft, misuse or misappropriation of money or property, any loss by a service user of the money or property concerned.
F83
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4
But it is a defence for a registered personF9... to prove that they took all reasonable steps and exercised all due diligence to prevent the breach of any of those regulations that has occurred.
Offences: penalties23
F11
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F12
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F13
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4
A person guilty of an offence under regulation 22(1) for breach of regulation 11 or an offence under regulation 22(2) is liable on summary conviction to F2a fine .
5
A person guilty of an offence under regulation 22(1) for breach of regulation F416(3), 17(3) or 20(2)(a) and (3 is liable, on summary conviction, to a fine not exceeding level 4 on the standard scale.
F35A
A person guilty of an offence under regulation 22(1) for breach of regulation 20A is liable, on summary conviction, to a fine not exceeding level 2 on the standard scale.
F56
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