Search Legislation

Advanced Search

Health and Social Care Act 2012

Help about what version

What Version

Help about advanced features

Advanced Features

Changes over time for: SCHEDULE 11

Help about opening options

Alternative versions:

Status:

Point in time view as at 01/01/2024.

Changes to legislation:

Health and Social Care Act 2012, SCHEDULE 11 is up to date with all changes known to be in force on or before 13 November 2024. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations. Help about Changes to Legislation

Close

Changes to Legislation

Changes and effects yet to be applied by the editorial team are only applicable when viewing the latest version or prospective version of legislation. They are therefore not accessible when viewing legislation as at a specific point in time. To view the ‘Changes to Legislation’ information for this provision return to the latest version view using the options provided in the ‘What Version’ box above.

Section 107

SCHEDULE 11E+WFurther provision about [F1NHS England’s] enforcement powers

This schedule has no associated Explanatory Notes

Textual Amendments

PART 1E+WDiscretionary requirements

ProcedureE+W

1(1)Where [F2NHS England] proposes to impose a discretionary requirement on a person, [F2NHS England] must give notice to that person (a “notice of intent”).E+W

(2)A notice of intent must—

(a)state that [F3NHS England] proposes to impose the discretionary requirement and set out its effect,

(b)set out the grounds for the proposal to impose the requirement,

(c)explain the effect of section 106 (enforcement undertakings),

(d)set out the circumstances (if any) in which [F4NHS England] may not impose the requirement, and

(e)specify the period (“the notice period”) within which representations with respect to the proposal may be made to [F5NHS England].

(3)The notice period must be not less than 28 days beginning with the day after that on which the notice of intent is received.

(4)But where [F6NHS England]—

(a)proposes to impose a compliance requirement or restoration requirement, and

(b)considers that a shorter notice period is necessary to prevent or minimise further breaches of the kind referred to in section 105(1),

the notice period is to be such shorter period as [F6NHS England] may determine, but not less than 5 days beginning with the day after that on which the notice of intent is received.

Textual Amendments

Commencement Information

I1Sch. 11 para. 1 in force at 1.4.2013 by S.I. 2013/671, art. 2(3)

2(1)After the end of the notice period [F7NHS England] must decide whether to—E+W

(a)impose the discretionary requirement, with or without modifications, or

(b)impose any other discretionary requirement.

(2)Where [F8NHS England] decides under sub-paragraph (1) to impose a discretionary requirement on a person [F8NHS England] must give notice to that person (a “final notice”).

(3)A final notice must—

(a)state that [F9NHS England] has decided to impose the discretionary requirement and set out its effect,

(b)set out the grounds for imposing the requirement,

(c)in the case of a variable monetary penalty, state—

(i)how payment may be made,

(ii)the period (“the payment period”) within which payment must be made,

(iii)any discount applicable for early payment of the penalty, and

(iv)the rate of interest payable for late payment of the penalty,

(d)set out the consequences of failing to comply with the requirement, and

(e)explain the right of appeal conferred by paragraph 3.

(4)The payment period must be not less than 28 days beginning with the day after that on which the final notice is received.

(5)[F10NHS England] must not decide under sub-paragraph (1) to impose a variable monetary penalty unless the notice of intent was given before the end of the period of 5 years beginning with the day (or, in the case of a continuing breach, the last day) on which the breach giving rise to the imposition of the discretionary requirement occurred.

Textual Amendments

Commencement Information

I2Sch. 11 para. 2(1)(2)(3)(a)(b)(d)(e) in force at 1.4.2013 by S.I. 2013/671, art. 2(3)

I3Sch. 11 para. 2(3)(c)(4)(5) in force at 1.7.2013 by S.I. 2013/671, art. 2(4)

3(1)A person may appeal to the First-tier Tribunal against a decision of [F11NHS England] to impose a discretionary requirement.E+W

(2)The grounds for an appeal under this paragraph are—

(a)that the decision was based on an error of fact,

(b)that the decision was wrong in law,

(c)in the case of a decision imposing a variable monetary penalty, that the amount of the penalty is unreasonable,

(d)in the case of a decision to impose a compliance requirement or a restoration requirement, that the nature of the requirement is unreasonable, or

(e)that the decision was unreasonable for any other reason.

(3)The discretionary requirement is suspended pending determination of the appeal.

(4)On an appeal under this paragraph, the Tribunal may—

(a)confirm, vary or withdraw the discretionary requirement,

(b)take such steps as [F12NHS England] could take in relation to the breach giving rise to the imposition of the requirement, or

(c)remit the decision whether to confirm the requirement, or any matter relating to that decision, to [F13NHS England].

Textual Amendments

Commencement Information

I4Sch. 11 para. 3(1)(2)(a)(b)(d)(e) in force at 1.4.2013 by S.I. 2013/671, art. 2(3)

I5Sch. 11 para. 3(2)(c) in force at 1.7.2013 by S.I. 2013/671, art. 2(4)

4E+W[F14NHS England] may by notice to a person on whom a discretionary requirement has been imposed—

(a)withdraw the discretionary requirement,

(b)in the case of a variable monetary penalty, reduce the amount of the penalty or extend the payment period, or

(c)in the case of a compliance requirement or a restoration requirement, extend the period specified for taking the steps specified in the requirement.

Textual Amendments

Commencement Information

I6Sch. 11 para. 4(a)(c) in force at 1.4.2013 by S.I. 2013/671, art. 2(3)

I7Sch. 11 para. 4(b) in force at 1.7.2013 by S.I. 2013/671, art. 2(4)

Non-compliance penaltiesE+W

5(1)If a person fails to comply with a compliance requirement or a restoration requirement [F15NHS England] may impose a monetary penalty on that person of such amount as [F15NHS England] may determine (a “non-compliance penalty”).E+W

(2)Where [F16NHS England] proposes to impose a non-compliance penalty on a person [F16NHS England] must give notice to that person (a “non-compliance notice”).

(3)A non-compliance notice must—

(a)specify the amount of the non-compliance penalty,

(b)set out the grounds for imposing the penalty,

(c)state how payment of the penalty may be made,

(d)state the period (“the payment period”) within which payment must be made,

(e)state any discount applicable for early payment of the penalty,

(f)set out the consequences of a failure to pay within the payment period (including any increase in the amount payable), and

(g)explain the right of appeal conferred by paragraph 6.

(4)The payment period must be not less than 28 days beginning with the day after that on which the non-compliance notice is received.

(5)If the whole or any part of a non-compliance penalty is not paid by the time it is required to be paid [F17NHS England] may increase the amount payable by no more than 50% of the amount of the penalty.

(6)[F18NHS England] may by notice to a person on whom a non-compliance penalty has been imposed reduce the amount of the penalty or extend the payment period.

Textual Amendments

Commencement Information

I8Sch. 11 para. 5 in force at 1.4.2013 by S.I. 2013/671, art. 2(3)

6(1)A person may appeal to the First-tier Tribunal against a decision of [F19NHS England] to impose a non-compliance penalty.E+W

(2)The grounds for such an appeal are—

(a)that the decision was based on an error of fact,

(b)that the decision was wrong in law, or

(c)that the decision was, or the amount of the penalty is, unfair or unreasonable.

(3)The non-compliance penalty is suspended pending determination of the appeal.

(4)On an appeal, the Tribunal may—

(a)confirm, vary or withdraw the non-compliance penalty, or

(b)remit the decision whether to confirm the penalty, or any matter relating to that decision, to [F20NHS England].

Textual Amendments

Commencement Information

I9Sch. 11 para. 6 in force at 1.4.2013 by S.I. 2013/671, art. 2(3)

Recovery of financial penaltiesE+W

7(1)Amounts payable to [F21NHS England] of the kind mentioned in sub-paragraph (2) are recoverable summarily as a civil debt (but this does not affect any other method of recovery).E+W

(2)The amounts are—

(a)a variable monetary penalty and any interest payable on it, or

(b)a non-compliance penalty.

Textual Amendments

Commencement Information

I10Sch. 11 para. 7(1)(2)(b) in force at 1.4.2013 by S.I. 2013/671, art. 2(3)

I11Sch. 11 para. 7(2)(a) in force at 1.7.2013 by S.I. 2013/671, art. 2(4)

Payments of penalties etc. into Consolidated FundE+W

8E+W[F22NHS England] must pay any sums it receives in respect of any of the following into the Consolidated Fund—

(a)a variable monetary penalty and any interest payable on it, or

(b)a non-compliance penalty.

Textual Amendments

Commencement Information

I12Sch. 11 para. 8(a) in force at 1.7.2013 by S.I. 2013/671, art. 2(4)

I13Sch. 11 para. 8(b) in force at 1.4.2013 by S.I. 2013/671, art. 2(3)

PART 2E+WEnforcement undertakings

ProcedureE+W

9(1)[F23NHS England] must publish a procedure for entering into enforcement undertakings.E+W

(2)[F24NHS England] may revise the procedure and if it does so, [F24NHS England] must publish the procedure as revised.

(3)[F25NHS England] must consult such persons as it considers appropriate before publishing or revising the procedure.

Textual Amendments

Commencement Information

I14Sch. 11 para. 9 in force at 1.4.2013 by S.I. 2013/671, art. 2(3)

10(1)Where [F26NHS England] accepts an enforcement undertaking, [F26NHS England] must publish the undertaking.E+W

(2)But [F27NHS England] must not under sub-paragraph (1) publish any part of an enforcement undertaking which contains information which it is satisfied is—

(a)commercial information the disclosure of which would, or might, significantly harm the legitimate business interests of the person to whom it relates;

(b)information relating to the private affairs of an individual the disclosure of which would, or might, significantly harm that person's interests.

Textual Amendments

Commencement Information

I15Sch. 11 para. 10 in force at 1.4.2013 by S.I. 2013/671, art. 2(3)

Variation of termsE+W

11E+WThe terms of an enforcement undertaking (including, in particular, the action specified under it and the period so specified within which the action must be taken) may be varied if both the person giving the undertaking and [F28NHS England] agree.

Textual Amendments

Commencement Information

I16Sch. 11 para. 11 in force at 1.4.2013 by S.I. 2013/671, art. 2(3)

Compliance certificatesE+W

12(1)Where [F29NHS England] is satisfied that an enforcement undertaking has been complied with, [F29NHS England] must issue a certificate to that effect (referred to in this Schedule as a “compliance certificate”).E+W

(2)A person who has given an enforcement undertaking may at any time make an application to [F30NHS England] for a compliance certificate.

(3)The application must be made in such form, and accompanied by such information, as [F31NHS England] requires.

(4)[F32NHS England] must decide whether or not to issue a compliance certificate, and give notice to the applicant of its decision, before the end of the period of 14 days beginning with the day after that on which the application is received.

Textual Amendments

Commencement Information

I17Sch. 11 para. 12 in force at 1.4.2013 by S.I. 2013/671, art. 2(3)

13(1)An appeal lies to the First-tier Tribunal against a decision of [F33NHS England] to refuse an application for a certificate of compliance.E+W

(2)The grounds for an appeal under this paragraph are that the decision was—

(a)based on an error of fact,

(b)wrong in law, or

(c)unfair or unreasonable.

(3)On an appeal under this paragraph, the Tribunal may confirm [F34NHS England’s] decision or direct that it is not to have effect.

Textual Amendments

Commencement Information

I18Sch. 11 para. 13 in force at 1.4.2013 by S.I. 2013/671, art. 2(3)

Inaccurate, incomplete or misleading informationE+W

14E+WWhere [F35NHS England] is satisfied that a person who has given an enforcement undertaking has supplied [F35NHS England] with inaccurate, misleading or incomplete information in relation to the undertaking—

(a)[F35NHS England] may treat the person as having failed to comply with the undertaking, and

(b)if [F35NHS England] decides so to treat the person, [F35NHS England] must by notice revoke any compliance certificate given to that person.

Textual Amendments

Commencement Information

I19Sch. 11 para. 14 in force at 1.4.2013 by S.I. 2013/671, art. 2(3)

Back to top

Options/Help

Print Options

You have chosen to open The Whole Act

The Whole Act you have selected contains over 200 provisions and might take some time to download. You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run.

Would you like to continue?

You have chosen to open The Whole Act as a PDF

The Whole Act you have selected contains over 200 provisions and might take some time to download.

Would you like to continue?

You have chosen to open the Whole Act

The Whole Act you have selected contains over 200 provisions and might take some time to download. You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run.

Would you like to continue?

You have chosen to open the Whole Act without Schedules

The Whole Act without Schedules you have selected contains over 200 provisions and might take some time to download. You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run.

Would you like to continue?

You have chosen to open Schedules only

The Schedules you have selected contains over 200 provisions and might take some time to download. You may also experience some issues with your browser, such as an alert box that a script is taking a long time to run.

Would you like to continue?

Close

Legislation is available in different versions:

Latest Available (revised):The latest available updated version of the legislation incorporating changes made by subsequent legislation and applied by our editorial team. Changes we have not yet applied to the text, can be found in the ‘Changes to Legislation’ area.

Original (As Enacted or Made): The original version of the legislation as it stood when it was enacted or made. No changes have been applied to the text.

Point in Time: This becomes available after navigating to view revised legislation as it stood at a certain point in time via Advanced Features > Show Timeline of Changes or via a point in time advanced search.

Close

See additional information alongside the content

Geographical Extent: Indicates the geographical area that this provision applies to. For further information see ‘Frequently Asked Questions’.

Show Timeline of Changes: See how this legislation has or could change over time. Turning this feature on will show extra navigation options to go to these specific points in time. Return to the latest available version by using the controls above in the What Version box.

Close

Opening Options

Different options to open legislation in order to view more content on screen at once

Close

Explanatory Notes

Text created by the government department responsible for the subject matter of the Act to explain what the Act sets out to achieve and to make the Act accessible to readers who are not legally qualified. Explanatory Notes were introduced in 1999 and accompany all Public Acts except Appropriation, Consolidated Fund, Finance and Consolidation Acts.

Close

More Resources

Access essential accompanying documents and information for this legislation item from this tab. Dependent on the legislation item being viewed this may include:

  • the original print PDF of the as enacted version that was used for the print copy
  • lists of changes made by and/or affecting this legislation item
  • confers power and blanket amendment details
  • all formats of all associated documents
  • correction slips
  • links to related legislation and further information resources
Close

Timeline of Changes

This timeline shows the different points in time where a change occurred. The dates will coincide with the earliest date on which the change (e.g an insertion, a repeal or a substitution) that was applied came into force. The first date in the timeline will usually be the earliest date when the provision came into force. In some cases the first date is 01/02/1991 (or for Northern Ireland legislation 01/01/2006). This date is our basedate. No versions before this date are available. For further information see the Editorial Practice Guide and Glossary under Help.

Close

More Resources

Use this menu to access essential accompanying documents and information for this legislation item. Dependent on the legislation item being viewed this may include:

  • the original print PDF of the as enacted version that was used for the print copy
  • correction slips

Click 'View More' or select 'More Resources' tab for additional information including:

  • lists of changes made by and/or affecting this legislation item
  • confers power and blanket amendment details
  • all formats of all associated documents
  • links to related legislation and further information resources

The data on this page is available in the alternative data formats listed: