Warning/Fixed Penalty Notices

The CQC can issue a Warning Notice to NHS Trusts. This can be on the basis the Trust is deemed to have failed to, or is continuing to fail to, comply with a legal requirement. NHS Trusts are given the opportunity to make representations about why a Warning Notice should be withdrawn or not be published. Warning Notices are a first step towards the CQC prosecuting a Trust in respect of certain regulations and can be an indication of enforcement action to come.

If representations are not made to a Warning Notice then the Trust will be deemed to have accepted the findings. The CQC has the power to publish information about Warning Notices and it does so routinely. This can lead to press attention and reputational damage.

The CQC can issue Fixed Penalty Notices where an NHS Trust has failed, amongst other reasons, to comply with relevant legislation. Examples include where a service has failed to comply with the duty of candour 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 the CQC has a duty to publish information once the fee has been paid. Again, press interest can lead to reputational damage.

Ridouts can help you by:

Challenging the accuracy of any Warning Notice or Fixed Penalty Notice;
Making submissions as to the public interest value of publication of any notice;
Supporting NHS Trusts with advice on how to manage the public relations issues relating to press interest in a notice; and
Drafting representations as to the validity of fixed penalty notices using documentary evidence and any mitigating factors.

Testimonials

"During 41 years’ service in the NHS working at very senior level for 35 years I rarely had cause to seek legal advice. However during the last 10 years the introduction of regulation has put CEOs and their Boards in a position where they face sanctions that in the worst case scenario could lead to criminalisation. However what really concerns me is the effect that regulation (however well intended) can have on patient care. I sought advice from Ridouts on several occasions when my real worry and concerns for patient care reached a level I could not tolerate. Ridouts support was crucial in enabling me to be very clear about the consequences in law of certain actions that were being proposed by the regulator. They were also able to facilitate communication with the regulator which was clear, factual, unemotional and reasonable. Using Ridouts enabled me to get a better safer more strategic outcome for my patients, protected the workforce involved and surprisingly perhaps helped foster a much better relationship with the regulator."

“When the trust was threatened with enforcement action by the CQC, our response was a typical NHS one of arguing on the grounds of proportionality and equity. Engaging Ridouts turned our approach on its head and brought into focus that this was a legal process and required an expert legal response. The team couldn’t have been more supportive or committed and cancelled personal plans to stay late into the evening to ensure a crucial submission deadline was met. This approach proved to be successful with the threat of action removed.”

Warning/Fixed Penalty Notices

Testimonials

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