Depending on the issue, the CQC can require improvement, serve warning notices, impose or vary conditions, suspend or cancel registration, issue penalties and, in appropriate cases, bring a prosecution.
Providers should take early correspondence seriously. A well-managed response needs to address immediate safety issues while also protecting the provider’s legal and regulatory position.
What powers does the CQC have?
The CQC has a range of civil and criminal enforcement powers under the Health and Social Care Act 2008 and associated regulations. Its published enforcement policy explains that action can be used both to protect people from harm and to hold providers and individuals to account.
Civil powers can include imposing, varying or removing conditions of registration, suspending registration or cancelling registration. The CQC can also use warning notices and, in some circumstances, criminal enforcement.
What is a CQC Warning Notice?
A Warning Notice is one of the tools the CQC can use when it considers that a registered person has failed to meet a legal requirement or a condition of registration. The notice will identify the issue and can have serious reputational and operational consequences.
Providers should check the factual basis of the notice, the legal requirement said to have been breached, the evidence relied upon and any opportunity to make representations.
What is a CQC Notice of Proposal?
A Notice of Proposal is commonly associated with proposed changes to registration, such as imposing, varying or removing conditions, suspending registration or cancelling registration. It is not the final decision, but it is a significant formal step.
Providers may have rights to make representations. The deadline and procedure matter, so the notice should be reviewed promptly and supporting evidence gathered early.
When can the CQC prosecute?
The CQC states that it can prosecute organisations or individuals where the legal criteria are met. Its enforcement guidance refers to prosecution for breaches of prosecutable fundamental standards, unregistered regulated activity, failures to comply with certain registration requirements and other offences.
The CQC’s published prosecution information states that prosecutions must be brought within the applicable statutory timeframe and that its prosecution list is updated regularly. Prosecution can result in substantial fines and costs as well as reputational damage.
What should a provider do after receiving CQC enforcement correspondence?
Identify the deadline first. Then preserve the relevant records, review the inspection findings and evidence, identify factual inaccuracies, assess immediate remedial action and decide who will coordinate the response.
Avoid sending a hurried response that concedes matters unnecessarily or fails to address the regulator’s actual concern. Equally, genuine safety issues should be corrected promptly and documented.
When should a provider seek legal advice?
Legal advice is particularly important when there is a Warning Notice, Notice of Proposal, threatened cancellation or suspension, interview under caution, suspected criminal offence or prosecution. Advice can also be useful where findings may affect commissioners, insurers, directors, registered managers or other professional regulators.
Adkirk Law’s regulatory practice includes Care Quality Commission enforcement and prosecution matters. Early advice can help a provider organise evidence, make focused representations and understand the consequences of each available option.
How Adkirk Law can help
If you are dealing with a regulatory or professional issue connected with this subject, speak to Adkirk Law for advice tailored to the facts of your case. Early advice can help you understand the process, organise the evidence and decide on the most appropriate next step.
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What is a hygiWhat is CQC enforcement action? ene improvement notice?
CQC enforcement action is the use of regulatory powers to require or force improvement, protect people using services and hold providers or individuals to account.
What is a CQC Warning Notice?
A Warning Notice is a formal notice used by the CQC where it considers a registered person has failed to meet a legal requirement or condition of registration.
Can I challenge a CQC Notice of Proposal?
There may be a right to make representations against a Notice of Proposal. The notice will set out the process and deadline, so it should be reviewed promptly.
Can the CQC prosecute a registered manager or director?
The CQC can prosecute organisations and, in certain circumstances, individuals where the statutory requirements and evidential/public-interest criteria are met.
When should I instruct a CQC solicitor?
It is sensible to seek advice early where formal enforcement action, prosecution, suspension, cancellation, a warning notice or an interview under caution is possible.
