Source: http://www.legislation.gov.uk/uksi/2009/3112/made/data.xht?view=snippet&wrap=true
Timestamp: 2019-07-20 02:10:35
Document Index: 511088966

Matched Legal Cases: ['art 2', 'ART 1', 'art 1', 'art 1', 'ART 2', 'art 1', 'art 1', 'art 1', 'art 2', 'art 1', 'art 1', 'art 3', 'art 4', 'art 5', 'art 6', 'art 8', 'art 2', 'art 2', 'art 2']

The Care Quality Commission (Registration) Regulations 2009 No. 3112 xmlns:atom="http://www.w3.org/2005/Atom"
The Secretary of State makes the following Regulations in exercise of the powers conferred by sections 10(2), 13(1), 16(a), 17(1), 20, 30(3), 39(1) and (4), 41(1), 42, 65(1) and (3), 89 and 161(3) and (4) of the Health and Social Care Act 2008(1).
In accordance with section 20(8) of the Act, the Secretary of State has consulted such persons as he considers appropriate.
“health service body” means an English NHS body(2), NHS Blood and Transplant(3) or the Health Protection Agency(4);
(a)“carer agreement” has the same meaning as in the Adult Placement Schemes (England) Regulations 2004(5); and
(b)“practising privileges” means the grant, by a person managing a hospital (as defined in section 275 of the National Health Service Act 2006(6)), to a registered medical practitioner(7) of permission to practise as a medical practitioner in that hospital.
10.—(1) Where the Commission considers an explanation of a relevant matter(8) necessary or expedient for the purposes of any of its regulatory functions, the persons specified in paragraph (3) must, if so requested, provide an explanation of that matter to the Commission or to persons authorised by it.
(k)an elected mayor of a local authority within the meaning given in section 39 of the Local Government Act 2000(9);
(6) In this regulation “working day” means any day other than a Saturday, a Sunday, Christmas Day, Good Friday or a day which is a bank holiday in England and Wales within the meaning of the Banking and Financial Dealings Act 1971(10).
(4) Paragraph (2) does not apply if, and to the extent that, the registered person has reported the death to the National Patient Safety Agency(11).
(a)under the Mental Health Act 1983(12) (“the 1983 Act”); or
(a)references to persons “liable to be detained” include a community patient who has been recalled to hospital in accordance with section 17E of the 1983 Act(13), but do not include a patient who has been conditionally discharged and not recalled to hospital in accordance with section 42(14), 73(15) or 74(16) of the 1983 Act;
(b)“community patient” has the same meaning as in section 17A of the 1983 Act(17);
(c)“hospital” means a hospital within the meaning of Part 2 of that Act(18); and
(a)“the 2005 Act” means the Mental Capacity Act 2005(19);
(c)“health care professional” means a person who is registered as a member of any profession to which section 60(2) of the Health Act 1999(20) applies;
(9) The registered person must ensure that notice in writing is sent to the Chief Medical Officer of the Department of Health of each termination of pregnancy(21).
(12) In this regulation, “certificate of opinion” means a certificate required by regulations made under section 2(1) of the Abortion Act 1967(22).
(a)a receiver or manager of the property of the relevant company(23);
(c)the trustee in bankruptcy of a relevant individual(24).
SCHEDULE 1INFORMATION REQUIRED IN RESPECT OF A SERVICE PROVIDER WHO PROPOSES TO MANAGE THE CARRYING ON OF A REGULATED ACTIVITY
1. Proof of identity including a recent photograph.
2. Where the certificate is required for a purpose referred to in—
(a)section 113A(2)(b) of the Police Act 1997(25), a criminal record certificate issued under section 113A of that Act together with, after the appointed day and where applicable, relevant information relating to children or vulnerable adults; or
(b)section 113B(2)(b) of the Police Act 1997, an enhanced criminal record certificate issued under section 113B of that Act together with, where applicable, suitability information relating to children or vulnerable adults.
3. Satisfactory evidence of conduct in previous employment concerned with the provision of services relating to—
(a)health or social care; or
(b)children or vulnerable adults.
4. Where a person (P) has been previously employed in a position whose duties involved work with children or vulnerable adults, satisfactory verification, so far as reasonably practicable, of the reason why P’s employment in that position ended.
5. Satisfactory documentary evidence of any relevant qualification.
7. Satisfactory information about any physical or mental health conditions which are relevant to the person’s ability to manage the carrying on of the regulated activity.
8. For the purposes of this Schedule—
(a)“the appointed day” means the day on which section 30 of the Safeguarding Vulnerable Groups Act 2006(26) comes into force;
(b)“relevant information relating to children or vulnerable adults” has the same meaning as in section 31(2) and (3) of that Act;
(c)“satisfactory” means satisfactory in the opinion of the Commission; and
(d)“suitability information relating to children or vulnerable adults” means the information specified in sections 113BA and 113BB respectively of the Police Act 1997(27).
SCHEDULE 2PUBLICATION OF INFORMATION RELATING TO ENFORCEMENT ACTION
PART 1INFORMATION RELATING TO ENFORCEMENT ACTION WHICH MUST BE PUBLISHED
1. In relation to the cancellation or suspension of a registered person’s registration under section 17, 18, 30 or 31 of the Act, the prescribed information, subject to paragraph 5, is—
(a)a description of the regulated activity to which the cancellation or suspension relates;
(b)the name of the service provider in respect of that regulated activity;
(c)where the cancellation or suspension relates to a registered manager, the name of the registered manager;
(d)an explanation of why the registration has been cancelled or suspended and, where applicable, the period of suspension; and
(e)the relevant address.
2. In relation to the conviction of any person in respect of an offence under Part 1 of the Act, except an offence under section 76 (disclosure of confidential personal information: offence), the prescribed information, subject to paragraph 6, is—
(a)a description of the offence;
(b)a description of the regulated activity that the person so convicted is carrying on, or involved in carrying on;
(c)the name of the service provider in respect of that regulated activity;
(d)where the person convicted is the registered manager, the name of the registered manager; and
3.—(1) This paragraph applies to a decision under section 12(5) of the Act to vary or remove a condition for the time being in force in relation to a person’s registration, or to impose an additional condition, which—
(a)takes effect from the time when the notice is given in accordance with section 31 of the Act; or
(b)appears to the Commission to have a material impact on the regulated activity being carried on.
(2) The prescribed information, subject to paragraph 5, in cases to which this paragraph applies is—
(a)a description of the regulated activity that the variation or removal of a condition, or the imposition of an additional condition, relates to;
(c)where the decision relates to a condition in respect of a registered manager, the name of the registered manager;
(d)a description of the condition being varied, removed or imposed and, where applicable, the variation or removal;
(e)an explanation of why the decision was taken; and
(f)the relevant address.
4. In relation to the payment by any person of a penalty in accordance with a penalty notice issued under section 86 of the Act other than in respect of an offence under section 63(7), 64(4) or 65(4) of that Act, the prescribed information, subject to paragraph 7, is—
(a)a description of the fixed penalty offence;
(b)a description of the regulated activity that the person given the penalty notice was carrying on or involved in carrying on;
(d)where the penalty notice is given to a registered manager, the name of the registered manager; and
5. Paragraphs 1 and 3 do not apply, and the information prescribed in that paragraph must not be published, where an appeal is brought under section 32 of the Act and the First-tier Tribunal has directed that the Commission’s decision is not, or is to cease, to have effect, or the order made by a justice of peace is to cease to have effect.
6. Paragraph 2 does not apply, and the information prescribed in that paragraph must not be published, where an appeal is brought against a conviction for an offence under Part 1 of the Act and the conviction is quashed.
7. Paragraph 4 does not apply, and the information prescribed in that paragraph must not be published, where a penalty notice is withdrawn in accordance with regulations made under section 87(1)(e) of the Act after the penalty has been paid but before publication of the information prescribed in paragraph 4.
8.—(1) The time prescribed for information required to be published under paragraphs 1 and 3 where no appeal is brought under section 32 of the Act is within the period starting immediately after the end of the period of 28 days referred to in section 32(2) of the Act and ending 4 months after service on the person of the notice of the Commission’s decision or the date of the order under section 30 of the Act.
(2) The time prescribed for information required to be published under paragraphs 1 and 3 where an appeal is brought under section 32 of the Act is within 3 months of the determination or abandonment of the appeal.
(3) The time prescribed for information required to be published under paragraph 2 where no appeal is brought against a conviction is within the period starting immediately after the end of the period of 28 days after the date of the conviction and ending 4 months after the date of the conviction.
(4) The time prescribed for information required to be published under paragraph 2 where an appeal is brought against a conviction is within 3 months of the determination or abandonment of the appeal.
(5) The time prescribed for information to be published under paragraph 4 is within 3 months of the date of payment of the penalty.
PART 2INFORMATION RELATING TO ENFORCEMENT ACTION WHICH MAY BE PUBLISHED
10. In relation to decisions under section 12(5) of the Act which do not fall within paragraph 3(1), the prescribed information is the information listed in paragraph 3(2)(a) to (f).
11. Where a person who is not a registered person is convicted of an offence under Part 1 of the Act, except an offence under section 76, the prescribed information is the name of, and such other details as the Commission considers relevant about, the individual convicted of the offence.
12. In relation to the payment by any person of a penalty in accordance with a penalty notice issued under section 86 of the Act in respect of an offence under section 63(7), 64(4) or 65(4) of that Act, which is committed in connection with the carrying on of a regulated activity, the prescribed information is the information listed in paragraph 4(a) to (e).
13.—(1) In relation to a warning notice given under section 29 of the Act, the prescribed information is—
(a)a description of the regulated activity to which the warning notice relates;
(c)where the warning notice is given to a registered manager, the name of the registered manager;
(d)a description of the conduct which appears to the Commission to constitute a failure to comply with the relevant requirements and a description of the requirements concerned; and
(2) Before publishing the information prescribed under sub-paragraph (1), the Commission must—
(a)provide the person to whom the notice was given an opportunity to make representations to the Commission relating to the matters dealt with in the notice; and
(b)take any such representations into account when determining whether to publish the prescribed information.
SCHEDULE 3INFORMATION TO BE INCLUDED IN THE STATEMENT OF PURPOSE
1. The aims and objectives of the service provider in carrying on the regulated activity.
2. The kinds of services provided for the purposes of the carrying on of the regulated activity and the range of service users’ needs which those services are intended to meet.
3. The full name of the service provider and of any registered manager, together with their business address, telephone number and, where available, electronic mail addresses.
4. The legal status of the service provider.
5. Details of the locations at which the services provided for the purposes of the regulated activity are carried on.
These Regulations, which are to come into force on 1st April 2010, are made under the Health and Social Care Act 2008 (“the Act”) and apply in relation to regulated activities carried on in England. Part 1 of the Act establishes the Care Quality Commission (“the Commission”) and provides for the registration of persons carrying on a regulated activity.
Part 1 of the Regulations contains provisions relating to citation, commencement and interpretation (regulations 1 and 2).
Part 2 of the Regulations contains provisions relating to registration. Regulation 3 requires the Commission to keep a register of persons registered with the Commission under Chapter 2 of Part 1 of the Act as a service provider or a manager in respect of a regulated activity and regulation 4 contains details of the persons to be regarded as carrying on the regulated activity for the purposes of Chapter 2 of Part 1 of the Act (registration in respect of the provision of health or social care). Regulation 5 (and Schedule 1) sets out the circumstances in which the registration of a service provider is to be subject to a registered manager condition. Regulation 6 specifies the grounds on which the Commission may cancel a service provider’s registration pursuant to section 17(1)(e) of the Act.
Part 3 contains provisions relating to the publication of information and explanations. Regulation 7 (and Schedule 2) prescribe information relating to enforcement action that the Commission must publish and the time by which it must be published, and information that the Commission may publish. Regulation 8 prescribes cases in which copies of notices of proposals given under section 26 of the Act, notices of decisions given under section 28 of the Act and warning notices given under section 29 of the Act do not need to be given to persons listed in section 39 of the Act. Regulation 9 defines which Primary Care Trust, local authority and Strategic Health Authority is required to be notified by the Commission of an application for an order for cancellation of the registration of a service provider under section 30 of the Act or given a copy of a notice referred to in section 39(2) of the Act. Regulation 10 enables the Commission to require the persons prescribed to provide an explanation of a relevant matter to the Commission, or to persons authorised by it, in circumstances where the Commission considers the explanation necessary or expedient for the purposes of its regulatory functions. It also gives the Commission power to require the explanation to be given at such times and such places as it specifies.
Part 4 contains registration requirements. Regulation 11 provides that a registered person must comply with the requirements contained in regulations 12 to 20 in so far as they apply to an activity in respect of which they are registered. Regulation 12 provides that the registered person must give to the Commission a statement of purpose containing the information set out in Schedule 3 and regulation 13 contains provision as to the financial viability of a service provider (excluding English local authorities or a health service body). Regulations 14 and 15 require the giving of notices to the Commission in relation to the absence of a registered person and in relation to certain changes affecting the carrying on of the regulated activity. Regulations 16 and 17 prescribe the circumstances in which notification of the death of a service user must be given to the Commission (and regulation 17 also requires notification of the unauthorised absence of a service user who is liable to be detained under the Mental Health Act 1983) and regulation 18 prescribes the incidents, occurring whilst services are being provided in the carrying on of a regulated activity, or as a consequence of the carrying on of a regulated activity, which must be notified to the Commission. Regulation 19 deals with information to be given to service users in relation to fees for care or treatment. Regulation 20 contains requirements relating to a registered person who carries on the regulated activity of termination of pregnancies.
Part 5 contains other miscellaneous requirements. Regulation 21 deals with the notification to be given to the Commission where a service provider dies. Regulation 22 contains provisions which apply where a liquidator or similar person has been appointed in relation to the carrying on of a regulated activity.
Part 6 contains provisions relating to compliance, guidance and offences. Regulation 23 deals with who is responsible for complying with the Regulations in circumstances where there is more than one registered person in respect of a regulated activity. Regulation 24 states that, for the purposes of compliance with the Regulations, a registered person must take account of guidance issued by the Commission under section 23 of the Act. Regulation 25 provides that a breach of certain of the requirements in the Regulations is to be an offence punishable, on summary conviction, with a fine not exceeding level 4 on the standard scale.
An impact assessment of the effect that this instrument will have on the costs and benefits to the service provider in question, together with an Equality Screening Assessment was published alongside a draft Statutory Instrument entitled the Health and Social Care Act 2008 (Regulated Activities) Regulations 2009 and is available on the Department of Health website at http://dh.gov.uk/en/Publicationsandstatistics/Legislation/index.htm.
2008 c.14. “Prescribed” and “regulations” are defined in section 97(1) of the Act.
“English NHS body” is defined in section 97(1) of the Act.
NHS Blood and Transplant was established as a Special Health Authority in October 2005 (see: S.I. 2005/2529) and is a cross-border Special Health Authority as defined in section 97(1) of the Act.
The Health Protection Agency was established by the Health Protection Agency Act 2004 (c. 17), section 1.
S.I. 2004/2071 to which there are amendments not relevant to these Regulations.
The definition of “registered medical practitioner” in Schedule 1 to the Interpretation Act 1978 (c.30) has been substituted by S.I. 2002/3135, Schedule 1, paragraph 10 with effect from 16th November 2009.
See section 65(2) of the Act for the definition of “relevant matter”.
2000 c. 22; section 39 has been amended by section 66 of the Local Government and Public Involvement in Health Act 2007 (c. 28).
The National Patient Safety Agency is a Special Health Authority established by the National Patient Safety Agency (Establishment and Constitution) Order 2001 (S.I. 2001/1743), to which there are amendments which are not relevant to these Regulations.
Section 17E was inserted by the Mental Health Act 2007 (c.12) (“the 2007 Act”), section 32(2).
Section 42 was amended by the 2007 Act, sections 40(2) and 55 and Schedule 11, Part 8.
Section 73 was amended by the 2007 Act, section 4(9) and S.I. 2001/3712 and 2008/2833.
Section 74 was amended by the Crime (Sentences) Act 1997 (c. 43), Schedule 4, paragraphs 12(10) to (12), the Criminal Justice Act 2003 (c. 44), section 295 and S.I. 2008/2833.
Section 17A was inserted by section 32(2) of the 2007 Act.
See sections 34(2) and 145(1) of the 1983 Act; relevant amendments were made by the Care Standards Act 2000, Schedule 4, paragraph 9 and by the National Health Service (Consequential Provisions) Act 2006 (c.43), Schedule 1, paragraph 70(c).
2005 c. 9. Schedule A1 was inserted by Schedule 7 to the Mental Health Act 2007 (c. 12).
1999 c. 8. Section 60(2) was amended by the Health and Social Care Act 2008, Schedule 8, paragraph 1(3) and Schedule 15, Part 2 and by S.I. 2002/253 and 254.
See section 4 of the Abortion Act 1967 (c.87) which requires such notice to be given by the medical practitioner carrying out the termination. For relevant amendments see: S.I. 2002/887.
The Regulations made under section 2 are S.I. 1991/499. Relevant amending instrument is S.I. 2002/887.
See section 41(3) of the Act for the definitions of “company” and “relevant company”.
See section 41(3) of the Act for the definition of “relevant individual”.
1997 c. 50. Sections 113A and 113B were inserted by the Serious Organised Crime and Police Act 2005 (c. 15), section 163(2), and amended by the Safeguarding Vulnerable Groups Act 2006 (c. 47), Schedule 9, Part 2, paragraphs 14(1), (2) and (3).
Sections 113BA and 113BB were inserted into the Police Act 1997 by the Safeguarding Vulnerable Groups Act 2006, section 63(1), Schedule 9, Part 2, paragraph 14(1) and (4).