The CQC can serve notices about a health and social care service’s previous failures to comply with legal requirements or about continuing non-compliance.
Warning Notices, and to a lesser degree Fixed Penalty Notices, are often the first formal enforcement option used by the CQC. CQC prosecutions can attract fines of up to £50,000 per offence. The CQC has the power to publish information about Warning Notices and it does so routinely. Providers are given the opportunity to make representations about why a Warning Notice should be withdrawn or not be published. It is essential that providers challenge any Warning Notices for non-compliance that they consider defective, either because they are based on erroneous judgments or because the process was unfair or disproportionate.
CQC will rely on any failure to challenge the Notices as evidence that the provider acknowledges the appropriateness of the enforcement action.
CQC can issue Fixed Penalty Notices where a health and social care provider has failed, amongst other reasons, to comply with relevant legislation. Examples include where a service does not have a registered manager or where it has failed to make relevant notifications as per the Regulations. Each individual breach can attract a fine of up to £4000, which can escalate.
In respect of Fixed Penalty Notices for non-compliance, CQC has a duty to publish information once the fee has been paid. Local press often report on stories generated by CQC’s press releases and the reputational damage publication of these Notices can do is significant.
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CQC’s annual report for 2012/2013 notes that during the course of that year CQC issued 910 warning
In November 2011 and May 2012 The Ridout Report reported on Warning Notices, their shortcomings and the
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