C10C9C16C17Part 1The Care Quality Commission
Pt. 1 excluded (6.4.2010) by The Health and Social Care Act 2008 (Commencement No.16, Transitory and Transitional Provisions) Order 2010 (S.I. 2010/807), arts. 1(1)(a), 14(4)(c)
Pt. 1 modified (E.W.) (6.4.2015) by Care Act 2014 (c. 23), ss. 57(1), 127(1); S.I. 2015/993, art. 4 (with transitional provisions in S.I. 2015/995)
Pt. 1 modified (E.W.) (6.4.2015) by Care Act 2014 (c. 23), ss. 57(1)(2), 127(1); S.I. 2015/993, art. 4 (with transitional provisions in S.I. 2015/995)
C10C9C16C17Chapter 2Registration in respect of provision of health or social care
Registration procedure
26C10C9Notice of proposals
I2I111
Subsections (2) and (3) apply where a person applies for registration as a service provider or manager in respect of a regulated activity.
C3I12C6C122
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.
I2I113
The Commission must give the applicant notice in writing of a proposal to refuse the application.
I6I114
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,
C13c
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
C13d
to impose in relation to the registration any additional condition.
F84A
Where a proposal under subsection (4) names an individual and specifies action that the Commission would require the registered person to take in relation to that individual, the Commission must give that individual notice in writing of the proposal.
I6I11C155
The Commission must give the applicant notice in writing of a proposal to refuse an application under section 19(1)(a), (b) or (c).
I2I116
A notice under this section must give the Commission's reasons for its proposal.
I3I13C10C927C10C9Right to make representations
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.
28C10C9Notice of decisions
I4I141
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.
I4I142
A notice under subsection (1) must state the conditions subject to which registration is granted.
I4I14C113
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.
C114
A notice under subsection (3) must—
C4I15C7b
in the case of a decision to adopt a proposal under section 26(2), state the conditions subject to which the application is granted,
I155
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.
I15C14C116
Subject to F10subsections (7) to (9), 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.
I15C14C117
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.
F98
But in a case where notice of the proposal has been given to an individual under section 26(4A) subsection (7) does not apply unless, by the time the Commission receives the applicant's notification, it has received notification from the individual that he or she does not intend to appeal.
9
And if the Commission receives notification from the individual after it receives the applicant's notification and before the end of the period mentioned in subsection (6)(a), the decision is to take effect when the Commission receives the individual's notification.
I8I1729Warning notice
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.
F121A
But a warning notice under this section may not be given to an NHS trust established under section 25 of the National Health Service Act 2006 or an NHS foundation trust.
2
A warning notice F13under this section 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 F14under this section 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.
29AF11Warning notice: quality of health care
1
If it appears to the Commission that the quality of health care provided by an NHS trust established under section 25 of the National Health Service Act 2006 or by an NHS foundation trust requires significant improvement, the Commission may give the trust a warning notice.
2
A warning notice under this section is a notice in writing—
a
stating that the Commission has formed the view that the quality of health care provided by the trust requires significant improvement,
b
specifying the health care concerned,
c
giving the Commission's reasons for its view, and
d
requiring the trust to make a significant improvement to the quality of the health care concerned within a specified time.
3
Where a warning notice under this section imposes more than one requirement under subsection (2)(d), it may specify different times for different requirements.
4
The Commission must—
a
where the notice specifies only one time under subsection (2)(d), determine at the end of that time whether the requirement has been complied with;
b
where the notice specifies more than one time under subsection (2)(d), determine at the end of the latest of those times, whether the requirements have been complied with.
5
Where, having carried out the duty under subsection (4), the Commission is satisfied that a requirement to which the notice relates has not been complied with, it—
a
must decide what action to take in relation to the trust, and
F19b
must consider in particular whether to require NHS England to make an order under section 65B(1) or 65D(2) of the National Health Service Act 2006 (appointment of trust special administrator).
I1I9I1830Urgent procedure for cancellation
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
F7b
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F18c
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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.
I10I1931Urgent procedure for suspension, variation etc.
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.
I5C1C5I16C10C9C832C10C9Appeals to the Tribunal
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 F15or 29A, or
b
an order made by a justice of the peace under section 30,
lies to the F1First-tier 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 F2First-tier 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 F2First-tier 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 F2First-tier 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 F2First-tier 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 F2First-tier Tribunal thinks fit shall have effect in respect of the regulated activity, or
d
to vary the period of any suspension.
C27
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);
F3...
Pt. 1 excluded (6.4.2010) by The Health and Social Care Act 2008 (Commencement No.16, Transitory and Transitional Provisions) Order 2010 (S.I. 2010/807), arts. 1(1)(a), 17(4)(c)(5)(b)