Agenda Item: 10

CM/05/11/09

Annex 2

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 1stOctober 2011

SUBJECT

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LEVEL OF DELEGATION

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PARENT LEGISLATION

Registration, Inspection and Enforcement (registered services)

1The 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
Compliance Managers
Registration Assessors
Central registration recovery team managers
Shared Services Team Leaders (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)
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 registration, or to impose a condition / Regional Director or
Head of Operational Risk or
Head of Statutory Inspection and Mental Health Operations / Section 27, Health and Social Care Act 2008
3. 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) / Regional Director
Head of Statutory Inspection and Mental Health Operations / Section 28, Health and Social Care Act 2008
4. The decision to grant an application for registration without conditions, or subject to conditions which have been agreed with the applicant / Regional Registration Manager
or for the period from 1st October 2011until 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
Registration Assessors
Central registration recovery team managers
Shared Services Team Leaders (Registration) / 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)
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,
Compliance Manager
or for the period 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, Notices of Decision and certificates issued:
Compliance Managers
Registration Assessors
Central registration recovery team managers
Shared Services Team Leaders (Registration) / Section 12, 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)
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
Compliance Manager
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 specific decisions are authorised to sign Notices of Proposal, Notices of Decision and certificates issued:
Registration Assessors
Central registration recovery team manager
Shared Services Team Leader (Registration) / Section 19(5) and (6), 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)
8. 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
Compliance Manager / Sections 26 and 19(1)(a), (b) and (c), Health and Social Care Act 2008
9. 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
Regional Director / Sections 27 and 28, Health and Social Care Act 2008
10. Issuing a notice of decisions on an application for registration granted unconditionally or where conditions are agreed / Compliance Manager or
Regional Registration Manager / Section 28(1), Health and Social Care act 2008
11. 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
12. Issuing a notice of decision in respect of Written Representations considered in accordance with paragraph 9 above. / Director of Operations Delivery or
Regional Director / Section 28 (3) Health and Social Care Act 2008
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
Head of Statutory Inspection and Mental Health Operations / Section 27, Health and Social Care Act 2008
14.Issuing a warning notice where it appears a registered service provider or manager has failed to comply with the relevant requirements / Compliance Manager / Section 29, Health and Social Care Act 2008
15. Consideration of representations made to the Commission with respect to the issue of a warning notice (13 above) where information contained is to be made public, and the taking of any decision consequent upon those requirements / Compliance Manager (independent of the original decision) / Schedule 2 Part 2 Para 13(2)
The Care Quality Commission (Registration) Regulations 2009
16. Urgent cancellation of registration – application to a justice of the peace / Director of Operations Delivery or
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) / Section 30, Health and Social Care Act 2008
17. Urgent decisions to vary or remove a condition on registration or impose an additional condition; to suspend registration or extend a period of suspension / Director of Operations Delivery or
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) / Section 31, Health and Social Care Act 2008
18. 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
19. Authorisation of the institution of prosecutions for offences: / Regional Director or
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 / (see below)
(a)carrying on any regulated activity whilst not being registered so to do / Section 10(1), Health and Social Care Act 2008
(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
Head of Statutory Inspection and Mental Health Operations both with the agreement of the Head of Legal Services and Information Rights or their representative
21. Authorisation to enable Inspectors and Assessors and/or others to require information / Regional Registration Manager or
Compliance Manager
or
Mental Health Act Operations Managers / Section 64, Health and Social Care Act 2008
Schedule 3, Health and Social Care Act 2008
Section 120 (7) (c ) Mental Health Act 1983
Regulation 4, Mental Capacity (Deprivation of Liberty; Monitoring and Reporting; and Assessments - Amendment) Regulations 2009
22.Authorisation to enable Inspectors and Assessors and/or others to require an explanation / Regional Registration Manager or
Compliance Manager / Section 65, Health and Social Care Act 2008
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
Compliance Manager
or
Mental Health Act Operations Managers / Section 120(3), Mental Health Act 1983
Sections 62, 63 and 65 Health and Social Care Act 2008
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
26. Authorisation to visit and interview relevant patients in private / MHA Commissioners
Mental Health Act Operations Managers / Section 120(7) Mental Health Act 1983
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 / Section 120(4) Mental Health Act 1983
Schedule 3 Health & Social Care Act 2008
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 / Section 120 B (1) Mental Health Act 1983
Schedule 3 Health and Social Care Act 2008
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 Operationsor
Head of Regulatory Risk / Section 19, Health and Safety At Work Act etc. 1974
30.To authorise a person to accompany an inspector appointed under section 19 of the Health and Safety At Work Act etc. 1974. / Director of Operations or
Headof Regulatory Risk / 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 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 forinformation 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
41. Review of decisions to withhold correspondence / MHA Commissioner / 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
Periodic Review and Performance Assessment
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
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 adult social services functions to an acceptable standard following review under Sections 46 or 49 or investigation under Section 48 / Chief Executive on advice from Director of Operations Delivery / Section 50(2)(a), Health and Social 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 investigations / Chief Executive on advice from 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 / Chief Executive on advice of Director of Operations Delivery / Section 48(5) and 53(2) Health and Social Care Act 2008
General
53. Sign-off of consultation responses / Chairman and Chief Executive

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