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Annex 2
APPENDIX D - ARRANGEMENTS FOR THE EXECUTION OF THE COMMISSION’S INSPECTION, REGISTRATION AND ENFORCEMENT
FUNCTIONS, AND REVIEW, PERFORMANCE ASSESSMENT AND INSPECTION WORK (LOCAL AUTHORITY SOCIAL SERVICES) FOR
USE FROM 1st October 2011
SUBJECT
LEVEL OF DELEGATION
PARENT LEGISLATION
Registration, Inspection and Enforcement (registered
services)
1
The issue of Notices of Proposal to grant or refuse an
application to register and the determination of conditions
which are to be attached (if any) to a proposed grant of an
application to register (or transitional Notices of Decision).
Regional Registration Manager
or for the period from 1st
October 2011 to 31 March
2012 any persons in the
following additional roles
identified and authorised by
Regional Directors in relation to
specific decisions are
authorised to sign Notices of
Proposal, Notices of Decision
and certificates of registration
Section 26(2) and (3), Health and
Social Care Act 2008
Health and Social Care Act 2008
(Primary Dental Services, Private
Ambulance Services and Primary
Medical Services) (Regulated
Activities) (Transitory and Transitional
provisions) Order 2010 (SI 2010 No:
2484)
Compliance Managers
Registration Assessors
Central registration recovery
team managers
Shared Services Team Leaders
(Registration)
2.
The hearing of written representations following the issue
of a Notice of Proposal to grant an application subject to
disputed conditions or to refuse an application to cancel
Regional Director or
Head of Operational Risk or
Head of Statutory Inspection
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Section 27, Health and Social Care
Act 2008
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SUBJECT
registration, or to impose a condition
3.
4.
The decision to refuse to grant an application (after hearing
written representations) or to grant an application subject
to conditions which have not been agreed (after hearing
written representations)
The decision to grant an application for registration
without conditions, or subject to conditions which have
been agreed with the applicant
LEVEL OF DELEGATION
PARENT LEGISLATION
and Mental Health Operations
Regional Director
Head of Statutory Inspection
and Mental Health Operations
Regional Registration Manager
or for the period from 1st
October 2011 until 31st March
2012 any persons in the
following additional roles
identified and authorised by
Regional Directors in relation to
specific decisions are
authorised to sign Notices of
Proposal and Notices of
Decision, certificates of
registration issued
Compliance Managers
Section 28, Health and Social Care
Act 2008
Section 28, Health and Social Care
Act 2008
Health and Social Care act 2008
(Commencement No.16, Transitory
and Transitional Provisions) Order
2010
Health and Social Care Act 2008
(Primary Dental Services, Private
Ambulance Services and Primary
Medical Services) (Regulated
Activities) (Transitory and Transitional
provisions) Order 2010 (SI 2010 No:
2484)
Registration Assessors
Central registration recovery
team managers
Shared Services Team Leaders
(Registration)
5.
The issue of a registration certificate including the signing
and dating of such certificate and checking to ensure that
it is in proper form
Regional Registration Manager, Section 12, Health and Social Care
Act 2008
Compliance Manager
or for the period 1st October
2011 until 31st March 2012 any
persons in the following
Page 2 of 12
Health and Social Care act 2008
(Commencement No.16, Transitory
and Transitional Provisions) Order
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SUBJECT
LEVEL OF DELEGATION
additional roles identified and
authorised by Regional
Directors in relation to specific
decisions are authorised to sign
Notices of Proposal, Notices of
Decision and certificates
issued:
Compliance Managers
PARENT LEGISLATION
2010
Health and Social Care Act 2008
(Primary Dental Services, Private
Ambulance Services and Primary
Medical Services) (Regulated
Activities) (Transitory and Transitional
provisions) Order 2010 (SI 2010 No:
2484)
Registration Assessors
Central registration recovery
team managers
Shared Services Team Leaders
(Registration)
6.
Issue a penalty notice
Compliance Manager
Section 86, Health and Social Care
Act 2008
Health and Social Care act 2008
(Commencement No.16, Transitory
and Transitional Provisions) Order
2010
7.
Decisions to grant an application by the registered person
for variation or removal of conditions, cancellation of
registration or cancellation or variation of any suspension
of regulation
Regional Registration Manager
or
Section 19(5) and (6), Health and
Social Care Act 2008
Compliance Manager
Health and Social Care act 2008
(Commencement No.16, Transitory
and Transitional Provisions) Order
2010
or for the period from 1st
October 2011 to 31st march
2012 any persons in the
following additional roles
identified and authorised by
Regional Directors in relation to
Page 3 of 12
Health and Social Care Act 2008
(Primary Dental Services, Private
Ambulance Services and Primary
Agenda Item: 10
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Annex 2
SUBJECT
LEVEL OF DELEGATION
specific decisions are
authorised to sign Notices of
Proposal, Notices of Decision
and certificates issued:
PARENT LEGISLATION
Medical Services) (Regulated
Activities) (Transitory and Transitional
provisions) Order 2010 (SI 2010 No:
2484)
Registration Assessors
Central registration recovery
team manager
Shared Services Team Leader
(Registration)
8.
9.
10.
11.
12.
Notice of proposal to refuse an application for registration;
to cancel registrations; to suspend registration or extend a
period of suspension; to vary or remove conditions in
relation to the registration or to impose any additional
conditions
Regional Registration Manager
or
Sections 26 and 19(1)(a), (b) and (c),
Health and Social Care Act 2008
Consideration of any representations made to the
Commission with respect to any notice of proposal made
under 8 and the taking of any decision consequent upon
those representations.
Director of Operations Delivery
or
Issuing a notice of decisions on an application for
registration granted unconditionally or where conditions
are agreed
Compliance Manager or
Issuing a notice of decisions on an application for
registration granted conditionally where the condition(s)
have not been agreed in writing
Compliance Manager or
Regional Registration Manager
Section 28(3), Health and Social Care
Act 2008
Issuing a notice of decision in respect of Written
Representations considered in accordance with
paragraph 9 above.
Director of Operations Delivery
or
Section 28 (3) Health and Social Care
Act 2008
Compliance Manager
Sections 27 and 28, Health and Social
Care Act 2008
Regional Director
Regional Registration Manager
Regional Director
Page 4 of 12
Section 28(1), Health and Social Care
act 2008
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SUBJECT
LEVEL OF DELEGATION
13.
Consideration of any representations made to the
Commission with respect to the notice of decision made
under 11 and the taking of any decision consequent upon
those representations
Regional Director or
14.
Issuing a warning notice where it appears a registered
service provider or manager has failed to comply with the
relevant requirements
Compliance Manager
15.
Consideration of representations made to the Commission Compliance Manager
with respect to the issue of a warning notice (13 above)
(independent of the original
where information contained is to be made public, and the decision)
taking of any decision consequent upon those
requirements
Schedule 2 Part 2 Para 13(2)
Urgent cancellation of registration – application to a justice Director of Operations Delivery
of the peace
or
Section 30, Health and Social Care
Act 2008
16.
Head of Statutory Inspection
and Mental Health Operations
PARENT LEGISLATION
Section 27, Health and Social Care
Act 2008
Section 29, Health and Social Care
Act 2008
The Care Quality Commission
(Registration) Regulations 2009
Regional Director
with the agreement of the Head
of Legal Services and
Information Rights or their
representative
(In urgent circumstances falling
outside of normal business
hours such action may be
authorised by the Director of
Operations or the Head of
Legal Services and Information
Rights alone)
17.
Urgent decisions to vary or remove a condition on
registration or impose an additional condition; to suspend
Director of Operations Delivery
Page 5 of 12
Section 31, Health and Social Care
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SUBJECT
LEVEL OF DELEGATION
registration or extend a period of suspension
or
PARENT LEGISLATION
Act 2008
Regional Director
with the agreement of the
Head of Legal Services and
Information Rights or their
representative
(In urgent circumstances falling
outside of normal business
hours such action may be
authorised by the Director of
Operations or the Head of
Legal Services and Information
Rights alone)
18.
19.
The authentication and issue of an authorisation to enable
inspectors and/or other to enter premises, request
documents or exercise inspection powers
Compliance Manager or
Regional Registration Manager
Section 62, Health and Social Care
Act 2008
Authorisation of the institution of prosecutions for
offences:
Regional Director or
(see below)
Head of Statutory Inspection
and Mental Health Operations
or
Head of Operational Risk
with the agreement of the Head
of Legal Services and
Information Rights or their
representative
(a)
carrying on any regulated activity whilst not being
registered so to do
Section 10(1), Health and Social Care
Act 2008
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SUBJECT
LEVEL OF DELEGATION
PARENT LEGISLATION
(b)
failure to comply with conditions of registration
Section 33, Health and Social Care
Act 2008
(c)
breach of Regulations
Section 35, Health and Social Care
Act 2008
(d)
deception and/or the making of false statements
Section 36 and Section 37, Health and
Social Care Act 2008
(e)
carrying on a registerable activity during suspension
or registration or following cancellation of registration
Section 34, Health and Social Care
Act 2008
(f)
obstruction of inspectors and failure to comply with
requests requiring information, documents or
explanation
Sections 63,64 and 65, Health and
Social Care Act 2008
(g)
offence committed by bodies corporate in relation to
a Part 1 offence
Section 91, Health and Social Care
Act 2008
(h)
offences committed by unincorporated associates in
relation to a Part 1 offence
Section 92, Health and Social Care
Act 2008
20. Authorisation of a simple caution in lieu of prosecution in
the circumstances set out in 18(a)-(h) above
Regional Director or
21.
Regional Registration Manager
or
Authorisation to enable Inspectors and Assessors and/or
others to require information
Head of Statutory Inspection
and Mental Health Operations
both with the agreement of the
Head of Legal Services and
Information Rights or their
representative
Section 64, Health and Social Care
Act 2008
Schedule 3, Health and Social Care
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SUBJECT
LEVEL OF DELEGATION
Compliance Manager
Act 2008
or
Section 120 (7) (c ) Mental Health Act
1983
Mental Health Act Operations
Managers
22.
Authorisation to enable Inspectors and Assessors and/or
others to require an explanation
PARENT LEGISLATION
Regional Registration Manager
or
Regulation 4, Mental Capacity
(Deprivation of Liberty; Monitoring and
Reporting; and Assessments Amendment) Regulations 2009
Section 65, Health and Social Care
Act 2008
Compliance Manager
23.
Authentication and issue of authorisation to enable
inspectors and / or others to enter premises, request
documents and exercise inspectors powers
Regional Registration Manager
or
Section 120(3), Mental Health Act
1983
Compliance Manager
Sections 62, 63 and 65 Health and
Social Care Act 2008
or
Mental Health Act Operations
Managers
24.
Referral of Care Workers to the Secretary of State as a
result of misconduct causing harm or the risk of harm to a
vulnerable adult
Compliance Manager
Section 45 of the Safeguarding
Vulnerable Groups Act 2006
25.
Referral of Care Workers to the Secretary of State where
an individual has been guilty of misconduct which harmed
a child or put a child at risk of harm after 1st April 2002
and the individual has not been referred to the Secretary
of State by the Child Care Organisation
Compliance Manager
Paragraph 1 of Schedule 4 to the
Safeguarding Vulnerable Groups Act
2006
MHA Commissioners
Section 120(7) Mental Health Act
1983
26. Authorisation to visit and interview relevant patients in
private
Mental Health Act Operations
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SUBJECT
LEVEL OF DELEGATION
Managers
PARENT LEGISLATION
Schedule 3 Health & Social Care Act
2008
Regulation 4, Mental Capacity
(Deprivation of Liberty; Monitoring and
Reporting; and Assessments Amendment) Regulations 2009
27. Authorisation to investigate any complaint as to the
exercise of the powers of the discharge of duties
confirmed of imposed by the Mental Health Act in respect
of a relevant patient
Head of Statutory Inspection
and Mental Health Operations
28. Authorisation to direct a person to publish a statement as
to the action the person proposes to take as a result of
review or investigation under Section 120(1) Mental
Health Act 1983
Head of Statutory Inspection
and Mental Health Operations
29. Appointing Inspector’s for the purposes of the Ionising
Radiation (Medical Exposure) Regulations 2000, setting
out in writing the terms of the appointment, varying the
terms of the appointment and revoking the appointment.
Director of Operations or
Section 120(4) Mental Health Act
1983
Schedule 3 Health & Social Care Act
2008
Section 120 B (1) Mental Health Act
1983
Schedule 3 Health and Social Care
Act 2008
Head of Regulatory Risk
Section 19, Health and Safety At
Work Act etc. 1974
30. To authorise a person to accompany an inspector appointed Director of Operations or
under section 19 of the Health and Safety At Work Act
Head of Regulatory Risk
etc. 1974.
Section 20(2)(c)(i), Health and Safety
At Work Act etc. 1974
31. To indemnify an inspector appointed under section 19 of the
Health and Safety At Work Act etc. 1974 .
Director of Operations on the
advice of Head of Legal
Services and Information
Rights
Section 26, Health and Safety At
Work Act etc. 1974
To produce and publish a list of Accountable Officers
Controlled Drugs National
Manager
Regulation 4(3) The Controlled Drugs
(Supervision of Management and
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SUBJECT
LEVEL OF DELEGATION
PARENT LEGISLATION
Use) Regulations 2006
To request a Periodic Declaration from a registered care home
provider or a registered health care provider.
Controlled Drugs National
Manager
Regulation 12(2) The Controlled
Drugs (Supervision of Management
and Use) Regulations 2006
To request a Self-assessment from a registered care home
provider or a registered health care provider.
Controlled Drugs National
Manager
Regulation 12(3) The Controlled
Drugs (Supervision of Management
and Use) Regulations 2006
To share information with the Local Intelligence Networks
Compliance Inspector
Regulation 18(2) and (3) The
Controlled Drugs (Supervision of
Management and Use) Regulations
2006
36. To disclose information to a Responsible Body
Controlled Drugs National
Manager
Regulation 25(1) The Controlled
Drugs (Supervision of Management
and Use) Regulations 2006
37. To request in writing additional information from a
Responsible Body
Controlled Drugs National
Manager
Regulation 26(1) The Controlled
Drugs (Supervision of Management
and Use) Regulations 2006
To determine whether to comply with a request for information
from a Responsible Body
Controlled Drugs National
Manager
Regulation 26(2) The Controlled
Drugs (Supervision of Management
and Use) Regulations 2006
Other
39.
Ministerial briefing/Handling serious cases
Regional Director
40.
Notifications to DH/DCSF in which the Commission plays
a part in receiving and handling
Regional Director
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SUBJECT
LEVEL OF DELEGATION
41.
MHA Commissioner
Review of decisions to withhold correspondence
PARENT LEGISLATION
Section 134 Mental Health Act 1983
Schedule 3 Health & Social Care Act
2008
42.
Part IV Mental Health Act 1983 – safeguards relating to
Consent to Treatment for people who are detained or on
supervised community treatment
Second Opinion Appointed
Doctor (acting as an
independent professional)
Sections 57, 58(a) and 58(3)(a)
Mental Health Act 1983
43. The determination and award of adult social care annual
periodic review
Chief Executive (with
recommendation from Written
Representations Process
where necessary)
Section 46, Health and Social Care
Act 2008
44. Hearing of written representations (where made) before
the award of an adult social care or healthcare periodic review
CQC Written Representations
Panel
Section 46(9), Health and Social Care
Act 2008
Periodic Review and Performance Assessment
Other Reviews and Investigations
45.
Consideration of commencing a review or investigation on
the provision of English Local Authority Social Services or
the provision of health care by and for English NHS
bodies and cross-border SHAs
Chief Executive after receiving
advice from Director of
Operations Delivery/Regional
Director
Section 48, Health and Social Care
Act 2008
46.
The production and publication of a report upon a review
or investigation
Regional Director
Section 48(4), Health and Social Care
Act 2008
47.
Consideration of representations prior to the publication of
a report upon a review or investigation
Regional Director
Section 48(7), Health and Social Care
Act 2008
48.
Informing the Secretary of State of the failure to discharge
Chief Executive on advice from
Section 50(2)(a), Health and Social
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SUBJECT
LEVEL OF DELEGATION
PARENT LEGISLATION
adult social services functions to an acceptable standard
following review under Sections 46 or 49 or investigation
under Section 48
Director of Operations Delivery
Care Act 2008
49.
The recommendation of special measures to the
Secretary of State where CQC considers that a local
authority is failing to discharge any of its Social Services
functions to an acceptable standard
Chief Executive on advice from
Director of Operations Delivery
Section 50(2)(b), Health and Social
Care Act 2008
50.
Consideration of representations prior to the publication of
a report issued under Section 48 of the Health and Social
Care act 2008
Chief Executive on advice from
Director of Operations Delivery
Section 48(7) Health and Social Care
Act 2008
51.
Agreement in relation to the subject of special reviews and Chief Executive on advice from
investigations
Director of Operations Delivery
Section 48 Health and Social Care Act
2008
52.
Making a report to the Secretary of State where CQC is of
the view that there are significant failings in relation to the
provision of healthcare by or for an English NHS body or
cross-border SHA, or in the running of such a body
Section 48(5) and 53(2) Health and
Social Care Act 2008
Chief Executive on advice of
Director of Operations Delivery
General
53.
Sign-off of consultation responses
Chairman and Chief Executive
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