The CQC Enforcement Policy was published in October 2010.
This policy sets out the principles CQC will follow when using the enforcement powers in the Health and Social Care Act 2008.
The Health and Social Care Act 2008 gives CQC a variety of powers to intervene and take action where the requirements of the Act are not being met.
These legal requirements and powers are set out in:
- The Health and Social Care Act 2008 (‘The Act’).
- The Health and Social Care Act 2008 (Regulated Activities) Regulations 2010 (‘the regulated activities regulations’).
- The Care Quality Commission (Registration) Regulations 2009 (‘the registration regulations’).
Providers and managers of regulated activities (‘registered persons’) have to comply with different kinds of requirements under the Health and Social Care Act 2008:
- They must apply for registration and show that they can comply with the requirements of the law.
After registration, they must comply with:
- Any conditions of registration.
- The relevant sections and regulations of the Act.
The Act and regulations:
- Provide direction to registered persons about what they must do.
- Provide CQC with powers to monitor and inspect regulated activities and to gather information about whether relevant requirements are being met.
- Provide CQC with powers to prosecute unregistered providers of regulated activities.
- Provide CQC with civil powers to promote compliance by limiting what a registered person is allowed to do, or by temporarily or permanently stopping them from carrying on regulated activities.
- Provide CQC with powers to prosecute, fine, warn and caution registered persons who break the law.
Enforcement options
If CQC thinks a service is not meeting the Essential standards and the requirements of the law, or if it is operating outside of the law because it is unregistered, CQC will decide what kind of regulatory action to take.
CQC has stated that where problems can be resolved quickly and easily, and there is no immediate risk of unnecessary harm to people, it will discuss voluntary action with the provider to achieve improvements.
However where CQC has concerns that registered providers are not currently meeting the requirements of the law, or are not likely to meet the requirements of the law continuously over time, it can set improvement actions or compliance actions, and/or take enforcement action as appropriate.
Where enforcement is needed CQC can take ‘civil enforcement’ or ‘criminal law’ action.
Civil enforcement action is taken when CQC needs to protect people who use services from unnecessary harm through improving care or preventing the provision of unsafe care.
Criminal law action is taken when CQC wants to hold a registered person to account for causing unnecessary harm and/or failing to meet important requirements of the law.
Civil enforcement and criminal law can be used together if people who use services need protection from unnecessary harm and it is also appropriate that a registered person is held to account.
CQC can use the criminal law to prosecute unregistered providers of regulated activities.
CQC also has a Memorandum of understanding with GDC and can share information with GDC.
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