Representations and appeals in relation to action after registration
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CQC will continue to monitor a provider’s compliance with the regulations after registration has taken place. If you are a registered person (a provider or manager), you can make written representations to CQC about its warning notices and notices of proposal served under enforcement procedures.
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Warning notices
CQC can send warning notices to registered persons when it thinks that certain legal requirements are not being met. The warning notice informs the registered person:
- What requirement is not being met
- What they must do to meet the requirement and by when, and
- Why they must do this.
If warning notices are not complied with, CQC normally takes further action, for example prosecuting the registered person.
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Notices of proposal
CQC can send a notice of proposal to a registered person when it wants to:
- Limit the way an activity is carried on or managed
- Suspend a registered person’s registration, or
- Cancel a registered person’s registration.
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Representations to CQC
A registered person has the right to make written representations to CQC about:
- Warning notices.
- Notices of proposal.
Written representations enable the registered person to explain why CQC should withdraw its Notice.
The time limit for making representations is within 28 days of service of the notice.
For notices sent by email the day of service is the day on which the notice was sent.
For notices sent by post the day of service is 2 days after CQC posted the notice.
CQC considers the representations and then either:
- Upholds the representations, or
- Confirms the warning notice or decides to adopt the notice of proposal.
CQC aims to respond to representations within 28 days. If CQC upholds representations it will consider how to deal with the problem that the notice was about. We may serve a different notice, follow another course of action, or take no further action, depending on circumstances.
If representation is not upheld in relation to a notice of proposal CQC will issue a notice of decision and details of how to appeal to the First-tier Tribunal.
If representation is not upheld in relation to a warning notice the warning notice remains in place. If a provider does not take the necessary action required as set out in the warning notice CQC will take further regulatory action which may include prosecution.
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Notices of decision
Inform a registered person that CQC has decided to adopt a notice of proposal served under the normal procedures of the Health and Social Care Act 2008.
Notices served under urgent procedures inform a registered person that CQC has decided to:
- suspend registration, or
- extend the suspension of a registration, or
- vary or impose a condition of registration with immediate effect.
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Urgent cancellation orders
CQC can apply to a magistrate to make an order to immediately cancel a registration.
CQC can apply for these orders where there is serious, immediate risk to a person’s life, health or wellbeing if a registration is not cancelled.
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Appeals to the First-tier Tribunal
The Tribunal Service deals with appeals against decisions made by a variety of statutory regulators, government departments and other public providers.
Appealing to the First-tier Tribunal (Care Standards) : A guide to the appeals procedures
A registered person has the right to make a formal appeal, within 28 days, to the First-tier Tribunal against:
- Notices of decision.
- Notices served under the urgent procedures.
- Urgent cancellation orders.
This appeal process is completely independent of CQC.
The First-tier Tribunal considers all the relevant evidence in a hearing and makes a decision. It can:
- dismiss the appeal – the Notice of Decision is confirmed and takes effect, or
- uphold the appeal.
If the Tribunal upholds a provider’s appeal it will make a decision about a provider’s registration.
A provider can appeal the decision of the First-tier Tribunal, by appealing to the Upper Tribunal.
The CQC guidance is here:
Representations against warning notices and notices of proposal and Appeals to the Tribunal against notices of decision and urgent cancellation orders : Guidance for registered providers and managers
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Frequently asked questions
Q. I am an associate and my practice principal has shown me a copy of his CQC provider application. I am concerned that he has declared himself to be ‘non-compliant’ with a number the registration requirements that are relevant to the services (regulated activities) that are provided in our practice, nor has he submitted a plan to achieve compliance. Although I am not a provider I am still worried about how the principal’s application will affect me.
A. It is entirely appropriate that you are concerned. Although only the provider is registered with CQC and accountable to them, the continued ability for other team members (eg, associates and DCPs) to practise - is dependent upon the compliance of those owning/managing the facility in which they work. If the provider’s CQC registration is refused then the whole practice will be affected by that decision because they would not be permitted to carry on any regulated activities on and after 1 April 2011.
If a provider declares non compliance in his/her application and does not submit an appropriate action plan CQC has indicated that it will make further enquiries of the applicant by way of a ‘conversation’ and a practice visit. If no appropriate action plan is subsequently submitted then it is likely that registration will be refused.
You may wish to discuss this matter further with your principal and direct him to the CQC guidance documents including Guidance about compliance: Summary of regulations, outcomes and judgment framework
Further information is also available here
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