Legalize / United Kingdom / Public General Act

Health and Social Care Act 2008

Type Public General Act

Publication 2008-07-21

Last updated 2023-02-07

State In force

Department Statute Law Database

Source legislation.gov.uk

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Part 1 — The Care Quality Commission

Chapter 1 — Introductory

Conflicts of interest

1

(1) There is to be a body corporate known as the Care Quality Commission (referred to in this Part as “the Commission”).

(2) The Commission for Healthcare Audit and Inspection, the Commission for Social Care Inspection and the Mental Health Act Commission are dissolved.

(3) Schedule 1 (which makes further provision about the Care Quality Commission) has effect.

The Office of the Health Professions Adjudicator

2

(1) The Commission has the functions conferred on it by or under any enactment.

(2) Those functions include—

(a) registration functions under Chapter 2,

(b) review and investigation functions under Chapter 3, and

Additional responsibilities of responsible officers: England and Wales and Northern Ireland

3

(1) The main objective of the Commission in performing its functions is to protect and promote the health, safety and welfare of people who use health and social care services.

(2) The Commission is to perform its functions for the general purpose of encouraging—

(a) the improvement of health and social care services,

(b) the provision of health and social care services in a way that focuses on the needs and experiences of people who use those services, and

(3) In this Chapter “health and social care services” means the services to which the Commission's functions relate.

Further amendments relating to public health protection

4

(1) In performing its functions the Commission must have regard to—

(a) views expressed by or on behalf of members of the public about health and social care services,

(b) experiences of people who use health and social care services and their families and friends,

(c) views expressed by Local Healthwatch organisations or Local Healthwatch contractors about the provision of health and social care services ...,

(d) the need to protect and promote the rights of people who use health and social care services (including, in particular, the rights of children, of persons detained under the Mental Health Act 1983, of persons who are deprived of their liberty in accordance with the Mental Capacity Act 2005 (c. 9), and of other vulnerable adults),

(e) the need to ensure that action by the Commission in relation to health and social care services is proportionate to the risks against which it would afford safeguards and is targeted only where it is needed,

(f) any developments in approaches to regulatory action, and

(g) best practice among persons performing functions comparable to those of the Commission (including the principles under which regulatory action should be transparent, accountable and consistent).

(2) In performing its functions the Commission must also have regard to such aspects of government policy as the Secretary of State may direct.

(3) In subsection (1)(c), “Local Healthwatch contractor” has the meaning given by section 223 of the Local Government and Public Involvement in Health Act 2007.

Statement on user involvement

5

(1) The Commission must publish a statement describing how it proposes to—

(a) promote awareness among service users and carers of its functions,

(b) promote and engage in discussion with service users and carers about the provision of health and social care services and about the way in which the Commission exercises its functions,

(d) arrange for any of its functions to be exercised by, or with the assistance of, service users and carers.

(2) The Commission may from time to time revise the statement and must publish any revised statement.

(3) Before publishing the statement (or revised statement) the Commission must consult such persons as it considers appropriate.

(4) In this section—

(a) “service users” means people who use health or social care services, and

(b) “carers” means people who care for service users as relatives or friends.

Transfers of property, rights and liabilities

6

Schedule 2 (which makes provision for the transfer of property, rights and liabilities) has effect.

7

In this Chapter “health and social care services” has the meaning given by section 3(3).

Introductory

“Regulated activity”

8

(1) In this Part “regulated activity” means an activity of a prescribed kind.

(2) An activity may be prescribed for the purposes of subsection (1) only if—

(a) the activity involves, or is connected with, the provision of health or social care in, or in relation to, England, and

(b) the activity does not involve the carrying on of any establishment or agency, within the meaning of the Care Standards Act 2000 (c. 14), for which Her Majesty's Chief Inspector of Education, Children's Services and Skills is the registration authority under that Act.

(3) For the purposes of subsection (2), activities connected with the provision of health or social care include, in particular—

(a) the supply of staff who are to provide such care;

(b) the provision of transport or accommodation for those who require such care;

9

(1) This section has effect for the interpretation of this Part.

(2) “Health care” includes all forms of health care provided for individuals, whether relating to physical or mental health, and also includes procedures that are similar to forms of medical or surgical care but are not provided in connection with a medical condition.

(3) “Social care” includes all forms of personal care and other practical assistance provided for individuals who by reason of age, illness, disability, pregnancy, childbirth, dependence on alcohol or drugs, or any other similar circumstances, are in need of such care or other assistance.

(4) “Health or social care” means health care or social care.

Registration of persons carrying on regulated activities

Requirement to register as a service provider

10

(1) Any person who carries on a regulated activity without being registered under this Chapter in respect of the carrying on of that activity is guilty of an offence.

(2) The Secretary of State may by regulations make provision for the purposes of this Chapter for determining, in relation to a regulated activity carried on by two or more persons acting in different capacities, which of those persons is to be regarded as the person who carries on the activity.

(3) In the following provisions of this Part, the registration of a person under this Chapter in respect of the carrying on of a regulated activity by that person is referred to as registration “as a service provider” in respect of that activity.

(4) A person guilty of an offence under this section is liable—

(a) on summary conviction, to a fine, or to imprisonment for a term not exceeding the general limit in a magistrates’ court, or to both;

(b) on conviction on indictment, to a fine, or to imprisonment for a term not exceeding 12 months, or to both.

(5) In relation to an offence committed before 2 May 2022, the reference in subsection (4)(a) to the general limit in a magistrates’ court is to be read as a reference to 6 months.

Applications for registration as a service provider

11

(1) A person seeking to be registered under this Chapter as a service provider must make an application to the Commission.

(2) The application must be made in such form, and contain or be accompanied by such information, as the Commission requires.

(3) In such cases as the Commission may determine, a person seeking to be registered as a service provider in respect of two or more regulated activities may make a single application in respect of them.

Grant or refusal of registration as a service provider

12

(1) Subsections (2) to (4) apply where an application under section 11 has been made in accordance with the provisions of this Chapter with respect to a regulated activity.

(2) If the Commission is satisfied that—

(a) the requirements of regulations under section 20, and

(b) the requirements of any other enactment which appears to the Commission to be relevant,

are being and will continue to be complied with (so far as applicable) in relation to the carrying on of the regulated activity, it must grant the application; otherwise it must refuse it.

(3) The application may be granted either unconditionally or subject to such conditions as the Commission thinks fit.

(4) On granting the application, the Commission must issue a certificate of registration to the applicant.

(5) The Commission may at any time—

(a) vary or remove any condition for the time being in force in relation to a person's registration as a service provider, or

(b) impose any additional condition.

(6) Subsections (3) and (5) have effect subject to section 13.

Registration of managers

Condition requiring registered manager

13

(1) The registration under this Chapter of a person (“S”) as a service provider in respect of a regulated activity must in prescribed cases be subject to a registered manager condition.

(2) In deciding whether to impose a registered manager condition under section 12(3) or (5), in a case where subsection (1) does not require such a condition to be imposed, the Commission must have regard to prescribed matters.

(3) For the purposes of this Chapter, a registered manager condition is a condition that the activity as carried on by S, or the activity as carried on by S at or from particular premises, must be managed by an individual who is registered under this Chapter as a manager in respect of the activity, or the activity as carried on at or from those premises.

Applications for registration as a manager

14

(1) A person seeking to be registered under this Chapter as a manager in respect of a regulated activity in respect of which a registered manager condition has, or is to have, effect must make an application to the Commission.

(2) The application must be made in such form, and contain or be accompanied by such information, as the Commission requires.

(3) In such cases as the Commission may determine, a person seeking to be registered as a manager in respect of two or more regulated activities carried on by a person registered as a service provider may make a single application in respect of them.

Grant or refusal of registration as a manager

15

(1) Subsections (2) to (4) apply where an application under section 14 has been made in accordance with the provisions of this Chapter with respect to a regulated activity in respect of which a person is registered under this Chapter as a service provider and in respect of which a registered manager condition has effect.

(2) If the Commission is satisfied that—

(a) the requirements of regulations under section 20, and

(b) the requirements of any other enactment which appears to the Commission to be relevant,

are being and will continue to be complied with (so far as applicable) in relation to the carrying on of the regulated activity, it must grant the application; otherwise it must refuse it.

(3) The application may be granted either unconditionally or subject to such conditions as the Commission thinks fit.

(4) On granting the application, the Commission must issue a certificate of registration to the applicant.

(5) The Commission may at any time—

(a) vary or remove any condition for the time being in force in relation to a person's registration as a manager, or

(b) impose any additional condition.

Further provision about registration as a service provider or manager

Regulations about registration

16

Regulations may make provision for the purposes of this Chapter about—

(a) the keeping by the Commission of registers,

(b) the making of applications for registration as a service provider or manager,

(d) the notification by registered persons to the Commission of an address for service of documents.

Cancellation of registration

17

(1) The Commission may at any time cancel the registration of a person (“R”) under this Chapter as a service provider or manager in respect of a regulated activity—

(a) on the ground that R has been convicted of, or admitted, a relevant offence;

(b) on the ground that any other person has been convicted of any relevant offence in relation to the regulated activity;

(c) on the ground that the regulated activity is being, or has at any time been, carried on otherwise than in accordance with the relevant requirements;

(d) on the ground that R has failed to comply with a requirement imposed by or under Chapter 6;

(e) on any ground specified by regulations.

(2) The Commission must cancel the registration of a person under this Chapter as a manager in respect of a regulated activity if—

(a) no-one is registered under this Chapter as a service provider in respect of the activity, or

(b) the registration of a person under this Chapter as a service provider in respect of the activity ceases to be subject to a registered manager condition.

(3) For the purposes of this section, the following are relevant offences—

(a) a Part 1 offence,

(b) an offence under the Registered Homes Act 1984 (c. 23) or regulations made under it,

(ca) an offence under Part 1 of the Regulation and Inspection of Social Care (Wales) Act 2016 (anaw 2) or specified in regulations made under section 45 or 46 of that Act, and

(d) any other offence which appears to the Commission to be relevant.

(4) In this section “relevant requirements” means—

(a) any requirements or conditions imposed by or under this Chapter, and

(b) the requirements of any other enactment which appears to the Commission to be relevant.

Suspension of registration

18

(1) The Commission may at any time suspend a person's registration under this Chapter as a service provider or manager for a specified period.

(2) Except where the Commission gives notice under section 31, the power conferred by subsection (1) is exercisable only on the ground that—

(a) the regulated activity is being, or has at any time been, carried on otherwise than in accordance with the relevant requirements, or

(b) the person has failed to comply with a requirement imposed by or under Chapter 6.

(3) The suspension of a person's registration does not affect the continuation of the registration (but see sections 34 and 36 as to offences).

(4) A period of suspension may be extended under subsection (1) on one or more occasions.

(5) In this section “relevant requirements” has the same meaning as in section 17.

Applications by registered persons

19

(1) Except in case A or B and subject to subsections (3A) to (3F, a person registered under this Chapter as a service provider or manager (“R”) may apply to the Commission—

(a) for the variation or removal of any condition for the time being in force in relation to the registration, other than a registered manager condition required by section 13(1),

(b) for the cancellation of the registration, or

(2) Case A is where—

(a) the Commission has given R notice under section 26(4)(a) of a proposal to cancel the registration, and

(b) the Commission has not decided not to take that step.

(3) Case B is where—

(a) the Commission has given R notice under section 28(3) of its decision to cancel the registration, and

(b) either the time within which an appeal may be brought has not expired or, if an appeal has been brought, it has not yet been determined.

(3A) R may not apply under subsection (1)(a) for the variation of a condition where either subsection (3B) or (3C) applies.

(3B) This subsection applies where—

(a) the Commission has given R notice under section 26(4)(c) of a proposal to make that variation (or a variation which would have substantially the same effect as that variation), and

(b) the Commission has not decided not to take that step.

(3C) This subsection applies where—

(a) the Commission has given R notice under section 28(3) of its decision to make that variation (or a variation which would have substantially the same effect as that variation), and

(b) either the time within which an appeal may be brought has not expired or, if an appeal has been brought, it has not yet been determined.

(3D) R may not apply under subsection (1)(a) for the removal of a condition where either subsection (3E) or (3F) applies.

(3E) This subsection applies where—

(a) the Commission has given R notice under section 26(4)(c) of a proposal to remove that condition, and

(b) the Commission has not decided not to take that step.

(3F) This subsection applies where—

(a) the Commission has given R notice under section 28(3) of its decision to remove that condition, and

(b) either the time within which an appeal may be brought has not expired or, if an appeal has been brought, it has not yet been determined.

(4) An application under subsection (1) must be made in such form, and contain or be accompanied by such information, as the Commission requires.

(5) If the Commission decides to grant an application under subsection (1)(a), it must serve notice in writing of its decision on the applicant (stating, where applicable, the condition as varied) and issue a new certificate of registration.

(6) If the Commission decides to grant an application under subsection (1)(c), it must serve notice in writing of its decision on the applicant (stating, where applicable, the period as varied).

Regulation, code of practice and guidance

Regulation of regulated activities

20

(1) The Secretary of State must by regulations impose requirements that the Secretary of State considers necessary to secure that services provided in the carrying on of regulated activities cause no avoidable harm to the persons for whom the services are provided.

(2) The Secretary of State may by regulations impose any other requirements in relation to regulated activities that the Secretary of State thinks fit for the purposes of this Chapter, including in particular provision with a view to—

(a) securing that any service provided in the carrying on of a regulated activity is of appropriate quality, and

(b) securing the health, safety and welfare of persons for whom any such service is provided.

(3) Regulations under this section may in particular—

(a) make provision as to the persons who are fit to carry on or manage a regulated activity;

(b) make provision as to the manner in which a regulated activity is carried on;

(d) make provision as to the management and training of persons who work for the purpose of the carrying on of a regulated activity;

(da) impose requirements in connection with food or drink provided or made available to any person on hospital premises in England that are used in connection with the carrying on of a regulated activity;

(e) make provision as to the fitness of premises;

(f) impose requirements as to the keeping of records and accounts;

(g) impose requirements as to the provision of information;

(h) impose requirements as to the financial position of a person registered as a service provider;

(i) impose requirements as to the making available to the public of information as to any charges made for the provision of any services provided in the carrying on of a regulated activity;

(j) impose requirements as to the review of the quality of any services provided in the carrying on of a regulated activity, as to the preparation of reports of such reviews, and as to the making available to the public of such reports;

(k) make provision as to the handling of complaints and disputes and the application of lessons learnt from them.

(4) Regulations made under this section by virtue of subsection (3)(b) may in particular include provision as to the control and restraint, in appropriate cases, of persons receiving health or social care or other services in connection with the carrying on of a regulated activity.

(4A) Regulations made under this section by virtue of subsection (3)(d) may in particular include provision for a specified person to set the standards which persons undergoing the training in question must attain.

(4B) Regulations made under this section by virtue of subsection (3)(da) may in particular—

(a) specify nutritional standards, or other nutritional requirements, which are to be complied with;

(b) require that specified descriptions of food or drink are not to be provided or made available.

(5) Regulations made under this section may make provision for the prevention and control of health care associated infections and may include such provision as the Secretary of State considers appropriate for the purpose of safeguarding individuals (whether receiving health or social care or otherwise) from the risk, or any increased risk, of being exposed to health care associated infections or of being made susceptible, or more susceptible, to them.

(5ZA) Regulations under this section must require service providers to ensure that each person working for the purpose of the regulated activities carried on by them receives training on learning disability and autism which is appropriate to the person’s role.

(5A) Regulations under this section must make provision as to the provision of information in a case where an incident of a specified description affecting a person's safety occurs in the course of the person being provided with a service.

(5B) In subsection (1)—

(a) “cause” means cause or contribute to, whether directly or indirectly; and

(b) harm is avoidable, in relation to a service, unless the person providing the service cannot reasonably avoid it (whether because it is an inherent part or risk of a regulated activity or for another reason).

(5C) In subsection (3)(da) “hospital” has the meaning given by section 275 of the National Health Service Act 2006.

(5D) In subsection (5ZA)—

“learning disability” has the meaning given by section 1(4) of the Mental Health Act 1983;

“service provider” means a person registered under this Chapter as a service provider in respect of a regulated activity.

(6) In this Chapter “health care associated infection” means any infection to which an individual may be exposed or made susceptible (or more susceptible) in circumstances where—

(a) health or social care is being, or has been, provided to that or any other individual, and

(b) the risk of exposure to the infection, or of susceptibility (or increased susceptibility) to it, is directly or indirectly attributable to the provision of that care.

(7) But “health care associated infection” does not include an infection to which the individual is deliberately exposed as part of any health care.

(8) Before making regulations under this section, except regulations which amend other regulations under this section and do not, in the opinion of the Secretary of State, effect any substantial change in the provision made by those regulations, the Secretary of State must consult such persons as the Secretary of State considers appropriate.

(9) Consultation undertaken by the Secretary of State before the commencement of this section is as effective for the purposes of this section as consultation undertaken after that time.

Code of practice relating to health care associated infections

21

(1) The Secretary of State may issue a code of practice about compliance with any requirements of regulations under section 20 which relate to the prevention or control of health care associated infections.

(2) The code may—

(a) operate by reference to provisions of other documents specified in it (whether published by the Secretary of State or otherwise);

(b) provide for any reference in it to such a document to take effect as a reference to that document as revised from time to time;

(3) The Secretary of State must keep the code under review and may from time to time—

(a) revise the whole or any part of the code, and

(b) issue a revised code.

Consultation etc. in relation to code of practice under s. 21

22

(1) Where the Secretary of State proposes to issue a code of practice under section 21 or 21A, the Secretary of State must—

(a) prepare a draft of the code, and

(b) consult such persons as the Secretary of State considers appropriate about the draft.

(2) Where the Secretary of State proposes to issue under section 21 or 21A a revised code which in the opinion of the Secretary of State would result in a substantial change in the code, the Secretary of State must—

(a) prepare a draft of the revised code, and

(b) consult such persons as the Secretary of State considers appropriate about the change.

(3) Where, following consultation under subsection (1) or (2) in relation to a draft of a code or revised code under section 21, the Secretary of State issues the code or revised code (whether in the form of the draft or with such modifications as the Secretary of State thinks fit), it comes into force at the time when it is issued by the Secretary of State.

(4) Where—

(a) any document by reference to whose provisions the code operates as mentioned in section 21(2)(a) and (b) is a document published by the Secretary of State in connection with the Secretary of State's functions relating to health or social care,

(b) the Secretary of State proposes to revise the document, and

the Secretary of State must, before revising the document, consult such persons as the Secretary of State considers appropriate about the change.

(5) Where—

(a) any document by reference to whose provisions the code operates as mentioned in section 21(2)(a) and (b) is not one to which subsection (4)(a) of this section applies,

(b) the document is revised, and

the Secretary of State must consult such persons as the Secretary of State considers appropriate about whether the code should be revised in connection with the change.

(5A) Where, following consultation under subsection (1) or (2) in relation to a draft of a code or revised code under section 21A, the Secretary of State decides to proceed with the draft (in its original form or with modifications), the Secretary of State must lay a copy of the draft before Parliament.

(5B) The Secretary of State may not issue the code or revised code if, within the 40-day period, either House of Parliament resolves not to approve it.

(5C) In this section “40-day period” means—

(a) the period of 40 days beginning with the day on which the draft is laid before Parliament, or

(b) if the draft is not laid before each House on the same day, the period of 40 days beginning with the later of the days on which it is laid before Parliament.

(5D) For the purposes of subsection (5C), no account is to be taken of any whole days that fall within a period during which—

(a) Parliament is dissolved or prorogued, or

(b) either House of Parliament is adjourned for more than four days.

(6) Consultation undertaken by the Secretary of State before the commencement of this section is as effective for the purposes of this section as consultation undertaken after that time.

Guidance as to compliance with requirements

23

(1) The Commission must issue guidance about compliance with the requirements of regulations under section 20, other than requirements which relate to—

(a) the prevention or control of health care associated infections, or

(b) training on learning disability or autism.

(2) The guidance may, if the Commission thinks fit, also relate to compliance for the purposes of this Chapter with the requirements of any other enactments.

(3) The guidance may—

(a) operate by reference to provisions of other documents specified in it (whether published by the Commission or otherwise);

(b) provide for any reference in it to such a document to take effect as a reference to that document as revised from time to time;

(4) The Commission may from time to time revise guidance issued by it under this section and issue the revised guidance.

Consultation in relation to guidance under s. 23

24

(1) Where the Commission proposes to issue guidance under section 23, it must—

(a) prepare a draft of the guidance, and

(b) consult such persons as the Commission considers appropriate about the draft.

(2) Where the Commission proposes to issue under section 23 revised guidance which in its opinion would result in a substantial change in the guidance, the Commission must—

(a) prepare a draft of the revised guidance, and

(b) consult such persons as the Commission considers appropriate about the change.

(3) Where, following consultation under subsection (1) or (2), the Commission issues the guidance or revised guidance (whether in the form of the draft or with such modifications as the Commission thinks fit), it comes into force at the time when it is issued by the Commission.

(4) Where—

(a) any document by reference to whose provisions the guidance operates as mentioned in section 23(3)(a) and (b) is a document published by the Commission,

(b) the Commission proposes to revise the document, and

the Commission must, before revising the document, consult such persons as the Commission considers appropriate about the change.

(5) Where—

(a) any document by reference to whose provisions the guidance operates as mentioned in section 23(3)(a) and (b) is not one to which subsection (4)(a) of this section applies,

(b) the document is revised, and

the Commission must consult such persons as the Commission considers appropriate about whether the guidance should be revised in connection with the change.

(6) Consultation undertaken by the Commission before the commencement of this section is as effective for the purposes of this section as consultation undertaken after that time.

Effect of code under s. 21 and guidance under s. 23

25

(1) Codes of practice under sections 21 and 21A and guidance under section 23 are to be taken into account—

(a) in the making of any decision by the Commission under this Chapter;

(b) in any proceedings for the making of an order under section 30;

(d) in any proceedings for an offence under section 33 or under regulations under section 20.

(2) Codes of practice under sections 21 and 21A and guidance under section 23 are also admissible in evidence in other criminal or civil proceedings.

(3) A failure to observe any provision of a code of practice under section 21 or 21A or guidance under section 23 does not of itself make a person liable to any criminal or civil proceedings.

Registration procedure

Notice of proposals

26

(1) Subsections (2) and (3) apply where a person applies for registration as a service provider or manager in respect of a regulated activity.

(2) 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.

(3) The Commission must give the applicant notice in writing of a proposal to refuse the application.

(4) 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,

(c) 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

(d) to impose in relation to the registration any additional condition.

(4A) 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.

(5) The Commission must give the applicant notice in writing of a proposal to refuse an application under section 19(1)(a), (b) or (c).

(6) A notice under this section must give the Commission's reasons for its proposal.

Right to make representations

27

(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

Notice of decisions

28

(1) 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.

(2) A notice under subsection (1) must state the conditions subject to which registration is granted.

(3) 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.

(4) A notice under subsection (3) must—

(a) explain the right of appeal conferred by section 32,

(b) in the case of a decision to adopt a proposal under section 26(2), state the conditions subject to which the application is granted,

(c) in the case of a decision to adopt a proposal under section 26(4)(b), state the period (or extended period) of suspension, and

(d) in the case of a decision to adopt a proposal under section 26(4)(c) or (d), state the condition as varied, the condition which is removed or (as the case may be) the additional condition imposed.

(5) 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.

(6) Subject to subsections (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.

(7) 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.

(8) 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.

Warning notice

29

(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.

(1A) 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 under 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

(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 under 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.

Urgent procedure for cancellation

30

(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—

(za) in any case where regulations so provide, to NHS England,

(a) in any case where regulations so provide, to such integrated care board ... or English local authority as may be determined in accordance with regulations,

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(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.

Urgent procedure for suspension, variation etc.

31

(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),

(d) explain the right of appeal conferred by section 32.

Appeals to the Tribunal

32

(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 or 29A, or

(b) an order made by a justice of the peace under section 30,

lies to the First-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 First-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 First-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 First-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 First-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 First-tier Tribunal thinks fit shall have effect in respect of the regulated activity, or

(d) to vary the period of any suspension.

(7) 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);

Offences

Failure to comply with conditions

33

A person who—

(a) is registered under this Chapter in respect of a regulated activity (whether as a service provider or manager), and

(b) fails, without reasonable excuse, to comply with any condition for the time being in force by virtue of this Chapter in relation to the registration,

is guilty of an offence and liable on summary conviction to a fine.

Offences relating to suspension or cancellation of registration

34

(1) If a person (“S”) who is registered under this Chapter as a service provider in respect of a regulated activity carries on that activity while S's registration is suspended, S is guilty of an offence.

(2) A person (“M”) whose registration under this Chapter as a manager in respect of a regulated activity is suspended is guilty of an offence if, during the period of suspension, M manages that activity at a time when no one else has been registered under this Chapter as a manager in respect of the activity since the suspension of M's registration.

(3) A person (“M”) whose registration under this Chapter as a manager in respect of a regulated activity has been cancelled is guilty of an offence if M manages that activity at a time when—

(a) a person (“S”) remains registered under this Chapter as a service provider in respect of the activity,

(b) S's registration remains subject to a registered manager condition, and

(c) no-one has been registered under this Chapter as a manager in respect of the activity since the cancellation of M's registration.

(4) If a person (“M”) who is registered under this Chapter as a manager in respect of a regulated activity manages that activity while the registration of the person registered under this Chapter as a service provider in respect of the activity is suspended, M is guilty of an offence if M knows or could reasonably be expected to know of the suspension.

(5) A person guilty of an offence under this section is liable on summary conviction to a fine.

Contravention of regulations

35

Regulations under this Chapter may provide that a contravention of or failure to comply with any specified provision of the regulations is to be an offence, but may not provide for an offence to be triable on indictment or to be punishable with imprisonment or, except in the case of regulations under section 20, with a fine exceeding level 4 on the standard scale.

False description of concerns, premises etc.

36

(1) Any person who, with intent to deceive any person—

(a) applies any name to any concern carried on in England or to any premises in England, or

(b) in any way describes such a concern or such premises or holds such a concern or such premises out,

so as to indicate, or reasonably be understood to indicate, that the carrying on of the concern is a regulated activity or that the premises are used for the carrying on of a regulated activity is guilty of an offence unless the conditions in subsection (2) are met.

(2) Those conditions are—

(a) that a person is registered under this Chapter as a service provider in respect of the regulated activity in question, and

(b) that the registration has not been suspended.

(3) Any person who, with intent to deceive any person, in any way describes or holds out any person registered under this Chapter as a service provider in respect of a regulated activity as able to provide a service or do any thing the provision or doing of which would contravene a condition for the time being in force by virtue of this Chapter in relation to the regulated activity is guilty of an offence.

(4) A person guilty of an offence under subsection (1) or (3) is liable on summary conviction to a fine not exceeding level 5 on the standard scale.

(5) In this section “concern” includes any organisation.

False statements in applications

37

(1) Subsection (2) applies to any application under this Chapter by a person (“A”)—

(a) for registration,

(b) for the variation or removal of any condition in force in relation to A's registration,

(d) for the cancellation of A's registration.

(2) If, in an application to which this subsection applies, A knowingly makes a statement which is false or misleading in a material respect, A is guilty of an offence.

(3) A person guilty of an offence under this section is liable on summary conviction to a fine not exceeding level 4 on the standard scale.

Information to be available to public

Provision of copies of registers

38

(1) Subject to subsection (3), the Commission must secure that copies of any register kept for the purposes of this Chapter are available at its offices for inspection at all reasonable times by any person.

(2) Subject to subsections (3) and (4), any person who asks the Commission for a copy of, or an extract from, a register kept for the purposes of this Chapter is entitled to have one.

(3) Regulations may provide that subsections (1) and (2) do not apply—

(a) in such circumstances as may be prescribed, or

(b) to such parts of a register as may be prescribed.

(4) A fee determined by the Commission is payable for the copy or extract except—

(a) in prescribed circumstances, or

(b) in any case where the Commission considers it appropriate to provide the copy or extract free of charge.

Miscellaneous

Bodies required to be notified of certain matters

39

(1) Where the Commission gives a notice to which this section applies in respect of a regulated activity, it must give a copy of the notice—

(za) in any case where regulations so provide, to NHS England ,

(a) in any case where regulations so provide, to such integrated care board ... or English local authority as may be determined in accordance with regulations,

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d) to such other persons as the Commission considers appropriate.

(2) This section applies to the following notices—

(a) a notice under section 26 (notice of proposals),

(b) a notice under subsection (1) or (3) of section 28 (notice of decisions),

(d) a notice under section 31 (urgent procedure for suspension, variation etc.).

(3) The Commission must notify each of the persons mentioned in subsection (1)(a) to (d) of either of the following events in relation to a person registered under this Chapter—

(a) the payment of a penalty in accordance with a penalty notice issued under section 86, or

(b) the commencement of proceedings in respect of a Part 1 offence.

(4) Regulations may prescribe cases in which subsection (1) or (3) does not apply.

Periodic returns

40

(1) Regulations may require the person carrying on a regulated activity to make a return to the Commission at such intervals as may be prescribed.

(2) Provision may be made by the regulations as to the contents of the return and the period in respect of which and date by which it is to be made.

Liquidators etc.

41

(1) Regulations may—

(a) require any person to whom this section applies to give notice of the person's appointment to the Commission;

(b) require any person to whom this section applies to appoint a person to manage the regulated activity in question.

(2) This section applies to any person appointed as—

(a) a receiver or manager of the property of a relevant company,

(b) the liquidator or provisional liquidator of a relevant company, or

(3) In this section—

“company” includes a partnership;

“relevant company” means a company which is registered under this Chapter as a service provider in respect of a regulated activity;

“relevant individual” means an individual who is registered under this Chapter as a service provider in respect of a regulated activity.

Death of registered person

42

(1) Regulations may—

(a) provide for the provisions of this Chapter to apply with prescribed modifications in cases where a person who was the only person registered under this Chapter as a service provider in respect of a regulated activity has died;

(b) require the personal representatives of a deceased person who was registered as a service provider in respect of a regulated activity to notify the Commission of the person's death.

(2) Regulations under subsection (1)(a) may in particular—

(a) provide for the regulated activity to be carried on for a prescribed period by a person who is not registered in respect of it, and

(b) include provision for the prescribed period to be extended by such further period as the Commission may allow.

Power to modify provisions of Chapter

Power to modify Chapter in relation to newly regulated activities

43

(1) Regulations may modify the provisions of this Chapter in their application to any newly regulated activity of a prescribed description.

(2) A “newly regulated activity” is any regulated activity other than one which—

(a) consists of or includes the carrying on of a relevant concern,

(b) under the 2000 Act as it has effect immediately before commencement, is regulated under Part 2 of that Act by virtue of regulations under section 42 of that Act (power to extend application of that Part), or

(3) For this purpose a relevant concern is anything which, under the 2000 Act as it has effect immediately before commencement, would for the purposes of that Act be—

(a) an independent hospital,

(b) an independent clinic,

(d) a care home,

(e) a domiciliary care agency, or

(f) a nurses agency.

(4) Any regulated activity carried on by or on behalf of the Crown is for this purpose a newly regulated activity.

(5) In this section—

“the 2000 Act” means the Care Standards Act 2000 (c. 14);

“commencement” means the commencement of section 10 of this Act.

Interpretation

Interpretation of Chapter 2

44

In this Chapter—

“health care associated infection” is to be read in accordance with section 20(6) and (7);

“registered manager condition” is to be read in accordance with section 13(3).

...

Standards set by Secretary of State

45

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Reviews and investigations

Periodic reviews

46

(1) The Commission must, in respect of such regulated activities and such registered service providers as may be prescribed—

(a) conduct reviews of the carrying on of the regulated activities by the service providers,

(b) assess the performance of the service providers following each such review, and

(2) Regulations under subsection (1) may prescribe—

(a) all regulated activities or regulated activities of a particular description;

(b) all registered service providers or particular registered service providers;

(3) The assessment of the performance of a registered service provider is to be by reference to whatever indicators of quality the Commission devises.

(4) The Commission must prepare a statement—

(a) setting out the frequency with which reviews under this section are to be conducted and the period to which they are to relate, and

(b) describing the method that it proposes to use in assessing and evaluating the performance of a registered service provider under this section.

(5) The Commission may—

(a) use different indicators for different cases,

(b) make different provision about frequency and period of reviews for different cases, and

(6) The Commission must publish—

(a) any indicators it devises for the purpose of subsection (3), and

(b) the statement it prepares for the purpose of subsection (4).

(7) Before doing so, the Commission—

(a) must consult the Secretary of State and such other persons, or other persons of such a description, as may be prescribed, and

(b) may also consult any other persons it considers appropriate.

(8) The Commission may from time to time revise—

(a) any indicators it devises for the purpose of subsection (3), and

(b) the statement it prepares for the purpose of subsection (4);

and, if it does so, it must publish the indicators and statement as revised.

(9) Subsection (7) applies to revised indicators and a revised statement, so far as the Commission considers the revisions in question to be significant.

(10) In this section “registered service provider” means a person registered under Chapter 2 as a service provider.

(11) Consultation undertaken before the commencement of this section is as effective for the purposes of subsection (7) as consultation undertaken after that commencement.

Frequency and period of review

47

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Special reviews and investigations

48

(1) The Commission may ...conduct any special review or investigation, and must do so if the Secretary of State so requests ; but the Commission may not conduct a review or investigation under subsection (2)(ba) or (bb) without the approval of the Secretary of State..

(1A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) A special review or investigation is a review (other than a review under section 46) of or an investigation into—

(a) the provision of NHS care,

(b) the provision of adult social services,

(ba) the exercise of the functions of NHS England or an integrated care board in arranging for the provision of NHS care under the National Health Service Act 2006 or section 117 of the Mental Health Act 1983 (after-care),

(bb) the exercise of the functions of English local authorities in arranging for the provision of adult social services, or

(3) Such a review or investigation may relate—

(a) to the overall provision of NHS care or adult social services or to the provision of NHS care or adult social services of a particular description;

(b) to the overall exercise of functions or to the exercise of functions of a particular description;

(c) to the provision of care or services or the exercise of functions by bodies or persons generally or by particular bodies or persons.

(3A) A review or investigation under subsection (2)(b), in so far as it involves a review or investigation into the arrangements made for the provision of the adult social services in question, is to be treated as a review under subsection (2)(bb) (and the requirement for approval under subsection (1) is accordingly to apply).

(4) Where the Commission conducts a review or investigation under this section, it must publish a report.

(5) The Commission must consider whether the report raises anything on which it ought to give advice to the Secretary of State under section 53(2).

(6) If the review or investigation gives rise to a duty to act under section 50(2) or (3) in respect of an English local authority, subsection (5) does not apply in relation to so much of the report as relates to that local authority.

(7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(8) In this section “English Health Authority” means—

(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b) a Special Health Authority performing functions only or mainly in respect of England.

Power to extend periodic review function

49

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Failings by English local authorities

50

(1) This section applies where the Commission conducts a review under section 46..., or a review or investigation under section 48, in respect of an English local authority.

(2) If the Commission considers that the local authority is failing to discharge any of its adult social services functions to an acceptable standard, then subject to subsection (3) the Commission must—

(a) inform the Secretary of State of that fact, and

(b) recommend any special measures which it considers the Secretary of State should take.

(3) If the Commission considers that the failure is not substantial, it may instead—

(a) give the local authority a notice under subsection (4), and

(b) inform the Secretary of State that it has done so.

(4) A notice under this subsection is a notice which specifies—

(a) the respects in which the Commission considers that the local authority is failing,

(b) the action which the Commission considers the local authority should take to remedy the failure, and

(5) If the Commission recommends that the Secretary of State should take special measures in relation to the local authority, the Commission must, if the Secretary of State so requests—

(a) conduct a further review under section 48 in relation to the authority, and

(b) include in its report under subsection (4) of that section a report on such matters as the Secretary of State may specify.

Failings by Welsh NHS bodies

51

(1) Following a review under section 46 ..., or a review or investigation under section 48, the Commission must inform the Welsh Ministers if it considers that—

(a) there are significant failings in relation to the provision of health care by or pursuant to arrangements made by a Welsh NHS body,

(b) there are significant failings in the running of a Welsh NHS body, or

(c) there are significant failings in the running of a body, or the practice of an individual, providing health care pursuant to arrangements made by a Welsh NHS body.

(2) The Commission may also recommend to the Welsh Ministers that, with a view to remedying those failings, the Welsh Ministers take special measures—

(a) in a case falling within subsection (1)(a) or (b), in relation to the Welsh NHS body concerned;

(b) in a case falling within subsection (1)(c), in relation to the body or individual concerned (except an English NHS body or a cross-border Special Health Authority).

(3) In this section “Welsh NHS body” has the same meaning as in Part 2 of the Health and Social Care (Community Health and Standards) Act 2003 (c. 43).

Chapter 4 — Functions under Mental Health Act 1983

Transfer and amendment of functions under Mental Health Act 1983

52

(1) The functions of the Secretary of State under the following provisions of the Mental Health Act 1983 (c. 20) (“the MHA”) are transferred to the Commission—

(a) section 57(2)(a) (appointment of registered medical practitioners and other persons),

(b) section 58(3)(a) (appointment of registered medical practitioners),

(d) section 61(3) (power to disapply Part 4 certificates),

(e) section 64H(4) (receipt of reports on treatment),

(f) section 64H(5) (power to disapply Part 4A certificates),

(g) section 118(2) (code of practice) so far as it relates to the appointment of registered medical practitioners,

(h) section 119(1) (power to make provision for payment to practitioners etc.), and

(i) section 120 (duty to keep matters under review etc.).

(2) Registered medical practitioners, and other persons, appointed or authorised by the Commission in the exercise of a function under the MHA may include members or employees of the Commission.

(3) The functions of the Mental Health Act Commission under the MHA are transferred—

(a) in relation to England, to the Care Quality Commission;

(b) in relation to Wales, to the Welsh Ministers.

(4) Section 121 of the MHA (which makes provision about the Mental Health Act Commission and requires the Secretary of State and the Welsh Ministers to delegate some of their functions to it) ceases to have effect.

(5) Schedule 3 (which makes amendments to the MHA consequential on the provisions of this section, and other amendments to the MHA relating to the functions of the Commission and the Welsh Ministers) has effect.

Chapter 5 — Further functions

Information and advice

53

(1) The Commission must keep the Secretary of State informed about the following matters—

(a) the provision of NHS care;

(b) the provision of adult social services;

(2) The Commission may at any time give the Secretary of State advice on anything connected with those matters.

(3) Advice under subsection (2) may in particular include advice on any changes that the Commission thinks should be made to—

(a) regulations under section 20 (regulation of regulated activities), or

(b) a code of practice under section 21 (code of practice relating to health care associated infections), or

(4) When requested to do so by the Secretary of State, the Commission must give the Secretary of State such advice or information in connection with a matter mentioned in subsection (1) as may be specified in the request.

(5) The Commission may give advice—

(a) to the Secretary of State or an English NHS body about the establishment or conduct of any inquiry held, or to be held, by the Secretary of State or NHS body in relation to the provision of health care by or pursuant to arrangements made by that body;

(b) to the Secretary of State or an English local authority about the establishment or conduct of any inquiry held, or to be held, by the Secretary of State or local authority in relation to the provision of adult social services by or pursuant to arrangements made by that authority.

Studies as to economy, efficiency etc.

54

(1) The Commission may ...undertake or promote comparative or other studies designed to enable it to make recommendations—

(a) for improving economy, efficiency and effectiveness in any activity mentioned in subsection (2),

(b) for improving the management, other than the financial management, of an English NHS body, or

(2) Those activities are—

(a) the provision of health care by an English NHS provider,

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d) the making of arrangements by an English local authority for the provision of adult social services.

(2A) The Commission may not exercise the power under subsection (1)(a), so far as it relates to the activity mentioned in subsection (2)(d), without the approval of the Secretary of State.

(3) The Commission may ... also undertake or promote studies designed to enable it to prepare reports as to the impact of—

(a) the operation of any particular statutory provisions, or

(b) any directions or guidance given by a Minister of the Crown (whether pursuant to any such provisions or otherwise),

on economy, efficiency and effectiveness in an activity mentioned in subsection (2)(c) or (d).

(4) The Commission must undertake or promote a study falling within subsection (1) or (3) if the Secretary of State so requests.

(5) The reference in subsection (1) to an English NHS body does not include a reference to NHS England, an integrated care board or a Special Health Authority.

Publication of results of studies under s. 54

55

(1) The Commission must publish—

(a) any recommendations made by it under subsection (1) of section 54, and

(b) the result of any studies undertaken or promoted under that section.

(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Role of Audit Commission

56

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Reviews of data, studies and research

57

(1) The Commission may ... review—

(a) studies and research undertaken by others, or the quality of data obtained by others, in relation to the provision of NHS care or adult social services or the carrying on of regulated activities,

(b) the methods used in undertaking such studies and research or in collecting and analysing such data, and

(2) The Commission must conduct a review under subsection (1) if the Secretary of State so requests.

(3) If the Commission conducts a review under this section it must publish a report.

Publication of information

58

(1) The Commission may make available to the public information relating to—

(a) the provision of NHS care;

(b) the provision of adult social services;

(2) Subsection (1) is subject to sections 76 and 79(2).

Additional functions

59

(1) The Secretary of State may by regulations provide that the Commission is to have such additional functions as may be specified in the regulations in relation to any of the following—

(a) the provision of NHS care;

(b) the exercise in respect of England of functions by cross-border Special Health Authorities;

(i) economy, efficiency and effectiveness in the exercise of the functions of English NHS bodies, and

(ii) the financial or other management, or operations, of English NHS bodies;

(d) the provision of adult social services;

(e) the carrying on of regulated activities;

(f) the exercise of powers or the discharge of duties conferred or imposed by the Mental Health Act 1983 (c. 20) as mentioned in section 120(1) of that Act.

(2) The Secretary of State must consult NHS England before making provision under subsection (1) in relation to persons who hold licences under Chapter 3 of Part 3 of the Health and Social Care Act 2012.

(3) The references in subsection (1) to English NHS bodies do not include references to NHS England or integrated care boards.

Chapter 6 — Miscellaneous and General

Inspections

60

(1) The Commission may for the purposes of its regulatory functions carry out inspections of—

(a) the carrying on of a regulated activity,

(b) the provision of NHS care,

(d) the exercise of functions by an English NHS body.

(2) For the purposes of this Part, the “regulatory functions” of the Commission are its functions under Chapters 2, 3 and 5 except—

(a) its functions under section 53 (information and advice),

(b) its functions under section 57 (reviews of data, studies and research), and

(c) its functions under regulations under section 59 (additional functions) to the extent that the regulations provide that they are not to be treated as regulatory functions for the purposes of this Part.

Inspections carried out for registration purposes

61

(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) Where an inspection is carried out under section 60 for the purposes of the Commission's functions under Chapter 2, the Commission must—

(a) prepare a report on the matters inspected, and

(b) without delay send a copy of the report to—

(i) the person who carries on the regulated activity in question, and

(ii) if a person is registered under that Chapter as a manager in respect of the activity, that person.

(3) The Commission must publish a report prepared under subsection (2).

(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Powers of entry etc.

Entry and inspection

62

(1) The power in subsection (2) is exercisable if the Commission considers it necessary or expedient for the purposes of any of its regulatory functions.

(2) A person authorised by the Commission may enter and inspect any premises which are, or which the person reasonably believes to be, regulated premises.

(3) Premises are “regulated premises” if they fall within one or more of the following descriptions—

(a) they are used for the carrying on of a regulated activity,

(b) they are owned or controlled by an English NHS body or English local authority, or

(i) the provision of NHS care,

(ii) the exercise of any functions of an English NHS body, or

(iii) the provision of adult social services.

(4) If NHS care or an adult social service is provided to a person in premises used wholly or mainly as a private dwelling, the premises are not to be regarded as used for or in connection with the provision of that care or service.

(5) A person who proposes to exercise the power conferred by subsection (2) must if so required produce some duly authenticated document showing the person's authority to exercise the power.

(6) “Premises” includes a vehicle.

Entry and inspection: supplementary

63

(1) This section applies where a person (“A”) is authorised by virtue of section 62 to enter and inspect premises.

(2) If A considers it necessary or expedient for relevant purposes, A may—

(a) make any examination into the state and management of the premises or the treatment of persons receiving care there,

(b) inspect and take copies of any documents or records,

(c) have access to, and check the operation of, any computer, and any associated apparatus or material, which is or has been in use in connection with any documents or records,

(d) inspect any other item,

(e) seize and remove from the premises any documents, records or other items,

(f) interview in private—

(i) any person who carries on or manages a regulated activity, or who manages the provision of NHS care or adult social services, at the premises,

(ii) any person working at the premises, and

(iii) any person receiving care at the premises who consents to be interviewed, and

(g) if the conditions in subsection (3) are met, examine in private any person receiving care at the premises.

(3) The conditions are—

(a) A is a registered medical practitioner or registered nurse,

(b) A has reason to believe that the person to be examined is not receiving proper care at the premises, and

(i) is capable of giving consent to the examination and does so, or

(ii) is incapable of giving consent to the examination.

(4) The power under subsection (2)(b) includes power—

(a) to require any person holding or accountable for documents or records (whether or not kept at the premises) to produce them for inspection at the premises, and

(b) to require any records which are kept by means of a computer to be produced in a form in which they are legible and can be taken away.

(5) The power under subsection (2)(f)(i) to interview a person in private includes power, in the case of a body corporate, to interview in private—

(a) any director, manager, secretary or other similar officer of the body corporate, and

(b) where the body is an English NHS body or English local authority, any officer or member of the NHS body or local authority.

(6) A may—

(a) require any person to afford A such facilities and assistance with respect to matters within the person's control as are necessary to enable A to exercise powers under section 62 and this section, and

(b) take such measurements and photographs, and make such recordings, as A considers necessary to enable A to exercise those powers.

(7) A person who without reasonable excuse—

(a) obstructs the exercise of a power conferred by section 62 or this section, or

(b) fails to comply with a requirement imposed under this section,

is guilty of an offence and liable on summary conviction to a fine not exceeding level 4 on the standard scale.

(8) In this section—

(a) “relevant purposes” means the purposes of any of the Commission's regulatory functions,

(b) any reference to documents or records includes a reference to personal and medical records, and

Power to require documents and information etc.

64

(1) The Commission may require any person mentioned in subsection (2) to provide it with any information, documents, records (including personal and medical records) or other items which the Commission considers it necessary or expedient to have for the purposes of any of its regulatory functions.

(2) The persons are—

(a) an English NHS body,

(b) a person providing health care commissioned by —

(i) NHS England,

(ii) an integrated care board, or

(iii) ...

(d) a person providing adult social services commissioned by an English local authority, ...

(e) a person who carries on or manages a regulated activity, ...

(f) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3) The power in subsection (1) to require the provision of information, documents or records includes, in relation to information, documents or records kept by means of a computer, power to require the provision of the information, documents or records in legible form.

(4) A person who without reasonable excuse fails to comply with a requirement imposed under this section is guilty of an offence and liable on summary conviction to a fine not exceeding level 4 on the standard scale.

Power to require explanation

65

(1) The Secretary of State may by regulations make provision requiring prescribed persons to provide an explanation of any relevant matter to the Commission, or to persons authorised by the Commission, in circumstances where the Commission considers the explanation necessary or expedient for the purposes of any of its regulatory functions.

(2) “Relevant matter” means—

(a) any documents, records or other items inspected, copied or provided under sections 62 to 64,

(b) any information provided under those sections,

(c) any documents, records, other items or information otherwise provided to the Commission by any person for the purposes of the Commission's regulatory functions, or

(d) any matters which are the subject of the exercise of any such functions.

(3) Regulations under subsection (1) may require explanations to be provided at such times and places as may be specified by the Commission.

(4) A person who without reasonable excuse fails to comply with a requirement imposed by virtue of this section is guilty of an offence and liable on summary conviction to a fine not exceeding level 4 on the standard scale.

Interaction with other authorities

66

Schedule 4 (interaction with other authorities) has effect.

Co-ordination of reviews or assessments

67

The Commission must promote the effective co-ordination of reviews or assessments carried out by public bodies or other persons in relation to the carrying on of regulated activities.

Avoidance of unreasonable burdens in exercise of regulatory powers

68

(1) The Secretary of State may publish guidance about steps which regulatory authorities may take in exercising relevant powers with a view to avoiding the imposition of unreasonable burdens on those in respect of whom the powers are exercisable.

(2) “Regulatory authorities” means—

(a) the Commission, and

(b) such other bodies as may be prescribed.

(3) A body may not be prescribed under subsection (2)(b) unless it has functions relating to the provision of health or social care.

(4) “Relevant powers” means powers conferred by or under an enactment to—

(a) carry out inspections, or

(b) require the provision of information,

but, in relation to a body prescribed under subsection (2)(b), such powers are “relevant powers” only so far as they are exercisable in respect of a person in respect of whom the Commission has relevant powers.

(5) The steps mentioned in subsection (1) might include for example—

(a) co-operating with other regulatory authorities and co-ordinating the exercise of relevant powers,

(b) sharing information or the results of inspections, and

(c) seeking to obtain information from other sources before exercising a relevant power to require the provision of that information.

(6) In exercising relevant powers, regulatory authorities must have regard to any guidance published under subsection (1).

(7) Nothing in this section is intended to limit the scope of a relevant power or affect a person's obligation to comply with a requirement imposed in the exercise of such a power.

(8) In this section—

(a) “inspections” includes inspections of persons, premises or the carrying on of activities,

(b) a reference to a power to carry out inspections includes a reference to any power which is ancillary to that power (such as a power to enter premises or to require assistance), and

(c) a reference to a power to require the provision of information includes a reference to a power to require the production of documents, records or other items, a power to require the making of reports and a power to require explanations.

Co-operation between the Commission and Welsh Ministers

69

(1) The Commission and the Welsh Ministers must co-operate with each other for the efficient and effective discharge of their corresponding functions.

(2) Their corresponding functions are—

(a) the Commission's functions, and

(b) any functions of the Welsh Ministers exercisable in or in relation to Wales which correspond or are similar to any of the Commission's functions.

(3) The Commission and the Welsh Ministers may share information with each other for the purposes of subsection (1).

Co-operation between the Commission and the Independent Regulator of NHS Foundation Trusts

70

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Health and Social Care Act 2008

Part 1 — The Care Quality Commission

Chapter 1 — Introductory

Conflicts of interest

1

The Office of the Health Professions Adjudicator

2

Additional responsibilities of responsible officers: England and Wales and Northern Ireland

3

Further amendments relating to public health protection

4

Statement on user involvement

5

Transfers of property, rights and liabilities

6

Meaning of “health and social care services” in Chapter 1

7

Chapter 2 — Registration in respect of provision of health or social care

Introductory

“Regulated activity”

8

“Health or social care”

9

Registration of persons carrying on regulated activities

Requirement to register as a service provider

10

Applications for registration as a service provider

11

Grant or refusal of registration as a service provider

12

Registration of managers

Condition requiring registered manager

13

Applications for registration as a manager

14

Grant or refusal of registration as a manager

15

Further provision about registration as a service provider or manager

Regulations about registration

16

Cancellation of registration

17

Suspension of registration

18

Applications by registered persons

19

Regulation, code of practice and guidance

Regulation of regulated activities

20

Code of practice relating to health care associated infections

21

Consultation etc. in relation to code of practice under s. 21

22

Guidance as to compliance with requirements

23

Consultation in relation to guidance under s. 23

24

Effect of code under s. 21 and guidance under s. 23

25

Registration procedure

Notice of proposals

26

Right to make representations

27

Notice of decisions

28

Warning notice

29

Urgent procedure for cancellation

30

Urgent procedure for suspension, variation etc.

31

Appeals to the Tribunal

32

Offences

Failure to comply with conditions

33

Offences relating to suspension or cancellation of registration

34

Contravention of regulations