(1) Subsection (2) applies to any application under this Chapter by a person (“A”)—
(a) for registration,
(b) for the variation or removal of any condition in force in relation to A's registration,
(c) for the variation or cancellation of any suspension of A's registration, or
(d) for the cancellation of A's registration.
(2) If, in an application to which this subsection applies, A knowingly makes a statement which is false or misleading in a material respect, A is guilty of an offence.
(3) A person guilty of an offence under this section is liable on summary conviction to a fine not exceeding level 4 on the standard scale.
(1) Subject to subsection (3), the Commission must secure that copies of any register kept for the purposes of this Chapter are available at its offices for inspection at all reasonable times by any person.
(2) Subject to subsections (3) and (4), any person who asks the Commission for a copy of, or an extract from, a register kept for the purposes of this Chapter is entitled to have one.
(3) Regulations may provide that subsections (1) and (2) do not apply—
(a) in such circumstances as may be prescribed, or
(b) to such parts of a register as may be prescribed.
(4) A fee determined by the Commission is payable for the copy or extract except—
(a) in prescribed circumstances, or
(b) in any case where the Commission considers it appropriate to provide the copy or extract free of charge.
39 Bodies required to be notified of certain matters
(1) Where the Commission gives a notice to which this section applies in respect of a regulated activity, it must give a copy of the notice—
(za) in any case where regulations so provide, to NHS England ,
(a) in any case where regulations so provide, to such integrated care board ... or English local authority as may be determined in accordance with regulations,
(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(d) to such other persons as the Commission considers appropriate.
(2) This section applies to the following notices—
(a) a notice under section 26 (notice of proposals),
(b) a notice under subsection (1) or (3) of section 28 (notice of decisions),
(c) a warning notice under section 29 or 29A (warning notice), and
(d) a notice under section 31 (urgent procedure for suspension, variation etc.).
(3) The Commission must notify each of the persons mentioned in subsection (1)(a) to (d) of either of the following events in relation to a person registered under this Chapter—
(a) the payment of a penalty in accordance with a penalty notice issued under section 86, or
(b) the commencement of proceedings in respect of a Part 1 offence.
(4) Regulations may prescribe cases in which subsection (1) or (3) does not apply.
(1) Regulations may require the person carrying on a regulated activity to make a return to the Commission at such intervals as may be prescribed.
(2) Provision may be made by the regulations as to the contents of the return and the period in respect of which and date by which it is to be made.
(1) Regulations may—
(a) require any person to whom this section applies to give notice of the person's appointment to the Commission;
(b) require any person to whom this section applies to appoint a person to manage the regulated activity in question.
(2) This section applies to any person appointed as—
(a) a receiver or manager of the property of a relevant company,
(b) the liquidator or provisional liquidator of a relevant company, or
(c) the trustee in bankruptcy of a relevant individual.
(3) In this section—
“company” includes a partnership;
“relevant company” means a company which is registered under this Chapter as a service provider in respect of a regulated activity;
“relevant individual” means an individual who is registered under this Chapter as a service provider in respect of a regulated activity.
(1) Regulations may—
(a) provide for the provisions of this Chapter to apply with prescribed modifications in cases where a person who was the only person registered under this Chapter as a service provider in respect of a regulated activity has died;
(b) require the personal representatives of a deceased person who was registered as a service provider in respect of a regulated activity to notify the Commission of the person's death.
(2) Regulations under subsection (1)(a) may in particular—
(a) provide for the regulated activity to be carried on for a prescribed period by a person who is not registered in respect of it, and
(b) include provision for the prescribed period to be extended by such further period as the Commission may allow.
43 Power to modify Chapter in relation to newly regulated activities
(1) Regulations may modify the provisions of this Chapter in their application to any newly regulated activity of a prescribed description.
(2) A “newly regulated activity” is any regulated activity other than one which—
(a) consists of or includes the carrying on of a relevant concern,
(b) under the 2000 Act as it has effect immediately before commencement, is regulated under Part 2 of that Act by virtue of regulations under section 42 of that Act (power to extend application of that Part), or
(c) consists of the provision of health care by a National Health Service body, as defined by section 121 of that Act.
(3) For this purpose a relevant concern is anything which, under the 2000 Act as it has effect immediately before commencement, would for the purposes of that Act be—
(a) an independent hospital,
(b) an independent clinic,
(c) an independent medical agency,
(d) a care home,
(e) a domiciliary care agency, or
(f) a nurses agency.
(4) Any regulated activity carried on by or on behalf of the Crown is for this purpose a newly regulated activity.
(5) In this section—
“the 2000 Act” means the Care Standards Act 2000 (c. 14);
“commencement” means the commencement of section 10 of this Act.
In this Chapter—
“health care associated infection” is to be read in accordance with section 20(6) and (7);
“registered manager condition” is to be read in accordance with section 13(3).
45A Functions to be exercised by Healthwatch England
(1) The Commission has the functions set out in subsections (2) to (5), but must arrange for the Healthwatch England committee to exercise the functions on its behalf.
(2) The function in this subsection is to provide Local Healthwatch organisations with general advice and assistance in relation to—
(a) the making of arrangements under section 221(1) of the Local Government and Public Involvement in Health Act 2007 (local care services);
(b) the making of arrangements in pursuance of arrangements made under section 221(1) of that Act (see section 222(2B) of that Act);
(c) the carrying-on of activities specified in section 221(2) of that Act.
(3) The function in this subsection is a power to make recommendations of a general nature to English local authorities about the making of arrangements under section 221(1) of that Act.
(4) The function in this subsection is a power, where the Healthwatch England committee is of the opinion that the activities specified in section 221(2) of that Act are not being carried on properly in an English local authority's area, to give the authority concerned written notice of its opinion.
(5) The function in this subsection is to provide the persons mentioned in subsection (6) with information and advice on—
(a) the views of people who use health or social care services and of other members of the public on their needs for and experiences of health and social care services, and
(b) the views of Local Healthwatch organisations and of other persons on the standard of provision of health and social care services and on whether or how the standard could or should be improved.
(6) The persons referred to in subsection (5) are—
(a) the Secretary of State;
(b) NHS England;
(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(d) English local authorities.
(7) A person provided with advice under subsection (5) must inform the Healthwatch England committee in writing of its response or proposed response to the advice.
(8) The Healthwatch England committee may provide the Commission with information and advice on the matters mentioned in subsection (5)(a) and (b); and the Commission must inform the committee in writing of its response or proposed response to the advice.
(9) The Commission must publish details of arrangements it makes under subsection (1) (including details of payments of remuneration or other amounts); and inclusion of the details in a report under section 83 is not to be regarded as a discharge of the duty imposed by this subsection.
(10) In performing functions under this section, the Healthwatch England committee must have regard to such aspects of government policy as the Secretary of State may direct.
(1) In making arrangements under section 45A(1), the Commission must have regard to any conflicts guidance issued by the Secretary of State.
(2) In exercising functions on behalf of the Commission, the Healthwatch England committee must have regard to any conflicts guidance issued by the Secretary of State.
(3) In this section, “ conflicts guidance ” means guidance about managing conflicts between—
(a) the exercise of functions by the Commission, and
(b) the exercise of functions by the Healthwatch England committee on the Commission's behalf.
(1) As soon as possible after the end of each financial year, the Healthwatch England committee—
(a) must make a report to the Commission (whether or not in writing) on the matters mentioned in section 45A(5)(a) and (b), and
(b) must publish a report on the way in which it has exercised during the year the functions exercisable by it.
(2) The committee must—
(a) lay before Parliament a copy of each report made under subsection (1)(b), and
(b) send a copy of each such report to the Secretary of State and to every Local Healthwatch organisation.
(3) The committee may publish other reports at such times, and on such matters relating to health or social care, as it thinks appropriate.
(4) Where a recommendation is made to the committee under section 221(2)(h) of the Local Government and Public Involvement in Health Act 2007 (reports under subsection (3)), the committee must have regard to the recommendation.
(5) Before publishing a report under subsection (1)(b) or (3), the committee must, so far as practicable, exclude any matter which relates to the private affairs of an individual the publication of which, in the committee's opinion, would or might seriously and prejudicially affect that individual's interests.
(6) In this section, “ financial year ” means—
(a) the period beginning with the date on which the committee is appointed and ending with the following 31 March, and
(b) each successive period of 12 months ending with 31 March.
(1) The Commission may grant a Local Healthwatch organisation a licence authorising the use, in relation to the carrying-on of activities under arrangements made under section 221(1) of the Local Government and Public Involvement in Health Act 2007, of a registered trade mark of which the Commission is the proprietor.
(2) A licence under this section may not provide for the grant of a sub-licence by the licensee other than a sub-licence authorising the use of the mark by a Local Healthwatch contractor in relation to the carrying-on of activities under Local Healthwatch arrangements.
(3) In this section—
“Local Healthwatch arrangements” has the meaning given by section 222 of the Local Government and Public Involvement in Health Act 2007,
“Local Healthwatch contractor” has the meaning given by section 223 of that Act, and
“registered trade mark” and “use” have the same meaning as in the Trade Marks Act 1994.
46 Reviews and performance assessments : registered service providers
(1) The Commission must, in respect of such regulated activities and such registered service providers as may be prescribed—
(a) conduct reviews of the carrying on of the regulated activities by the service providers,
(b) assess the performance of the service providers following each such review, and
(c) publish a report of its assessment.
(2) Regulations under subsection (1) may prescribe—
(a) all regulated activities or regulated activities of a particular description;
(b) all registered service providers or particular registered service providers;
(c) the whole of a regulated activity or a particular aspect of it.
(3) The assessment of the performance of a registered service provider is to be by reference to whatever indicators of quality the Commission devises.
(4) The Commission must prepare a statement—
(a) setting out the frequency with which reviews under this section are to be conducted and the period to which they are to relate, and
(b) describing the method that it proposes to use in assessing and evaluating the performance of a registered service provider under this section.
(5) The Commission may—
(a) use different indicators for different cases,
(b) make different provision about frequency and period of reviews for different cases, and
(c) describe different methods for different cases.
(6) The Commission must publish—
(a) any indicators it devises for the purpose of subsection (3), and
(b) the statement it prepares for the purpose of subsection (4).
(7) Before doing so, the Commission—
(a) must consult the Secretary of State and such other persons, or other persons of such a description, as may be prescribed, and
(b) may also consult any other persons it considers appropriate.
(8) The Commission may from time to time revise—
(a) any indicators it devises for the purpose of subsection (3), and
(b) the statement it prepares for the purpose of subsection (4);
and, if it does so, it must publish the indicators and statement as revised.
(9) Subsection (7) applies to revised indicators and a revised statement, so far as the Commission considers the revisions in question to be significant.
(10) In this section “registered service provider” means a person registered under Chapter 2 as a service provider.
(11) Consultation undertaken before the commencement of this section is as effective for the purposes of subsection (7) as consultation undertaken after that commencement.
46A Reviews and performance assessments: local authorities
(1) The Commission must, in accordance with this section—
(a) conduct reviews of the exercise of regulated care functions by English local authorities,
(b) assess the performance of those authorities following each such review, and
(c) publish a report of its assessment.
(2) In this section “regulated care functions” means such functions under Part 1 of the Care Act 2014 (functions relating to adult social care in England) as may be prescribed.
(3) Regulations under subsection (2) may prescribe—
(a) all functions of English local authorities under Part 1 of the Care Act 2014 or some of their functions under that Part;
(b) the whole of a function or a particular aspect of it.
(4) The Secretary of State—
(a) must set, and may from time to time revise, objectives and priorities for the Commission in relation to the assessment under this section of the performance of English local authorities, and
(b) must inform the Commission of the objectives and priorities.
(5) The Commission—
(a) must determine, and may from time to time revise, indicators of quality for the purposes of the assessment under this section of the performance of English local authorities, and
(b) must obtain the approval of the Secretary of State in relation to the indicators.
(6) The Secretary of State may direct the Commission to revise the indicators under subsection (5).
(7) Different objectives and priorities may be set, and different indicators of quality may be determined, for different cases.
(8) The Commission—
(a) must prepare, and may from time to time revise, a statement—
(i) setting out the frequency with which reviews under this section are to be conducted and the period to which they are to relate, and
(ii) describing the method that it proposes to use in assessing and evaluating the performance of a English local authority under this section, and
(b) must obtain the approval of the Secretary of State in relation to the statement.
(9) The Secretary of State may direct the Commission to revise the statement under subsection (8).
(10) The statement may—
(a) make different provision about frequency and period of reviews for different cases, and
(b) describe different methods for different cases.
(11) The Commission must publish—
(a) the objectives and priorities under subsection (4),
(b) the indicators of quality under subsection (5), and
(c) the statement under subsection (8).
(12) For the purposes of this section “English local authority” includes the Council of the Isles of Scilly only so far as references to a local authority in Part 1 of the Care Act 2014 include references to that Council as a result of an order under section 128(4) of that Act.
46B Reviews and performance assessments: integrated care system
(1) The Commission must, in accordance with this section—
(a) conduct reviews of—
(i) the provision of relevant health care, and adult social care, within the area of each integrated care board, and
(ii) the exercise of the functions of the following in relation to the provision of that care within the area of each integrated care board: the board; its partner local authorities; and registered service providers,
(b) assess the functioning of the system for the provision of relevant health care, and adult social care, within the area of each integrated care board (taking into account, in particular, how those mentioned in paragraph (a)(ii) work together), and
(c) publish a report of its assessment.
(2) The Secretary of State—
(a) must set, and may from time to time revise, objectives and priorities for the Commission in relation to assessments under this section, and
(b) must inform the Commission of the objectives and priorities.
(3) The priorities set by the Secretary of State under subsection (2)(a) must include priorities relating to leadership, the integration of services and the quality and safety of services.
(4) The Commission—
(a) must determine, and may from time to time revise, indicators of quality for the purposes of assessments under this section, and
(b) must obtain the approval of the Secretary of State in relation to the indicators.
(5) The Secretary of State may direct the Commission to revise the indicators under subsection (4).
(6) Different objectives and priorities may be set, and different indicators of quality may be determined, for different cases.
(7) The Commission—
(a) must prepare, and may from time to time revise, a statement—
(i) setting out the frequency with which reviews under this section are to be conducted and the period to which they are to relate, and
(ii) describing the method that it proposes to use in assessing and evaluating the functioning of the system for the provision of relevant health care, and adult social care, within the area of an integrated care board, and
(b) must obtain the approval of the Secretary of State in relation to the statement.
(8) The statement may—
(a) make different provision about frequency and period of reviews for different cases, and
(b) describe different methods for different cases.
(9) Before preparing or revising a statement under subsection (7) the Commission must consult—
(a) NHS England, and
(b) any other persons it considers appropriate.
(10) The Secretary of State may direct the Commission to revise the statement under subsection (7).
(11) The Commission must publish—
(a) the objectives and priorities under subsection (2),
(b) the indicators of quality under subsection (4), and
(c) the statement under subsection (7).
(12) For the purposes of this section—
“adult social care” means social care for individuals aged 18 or over;
“partner local authority”, in relation to an integrated care board, means any English local authority whose area coincides with, or includes the whole or any part of, the area of the integrated care board;
“registered service provider” means a person registered under Chapter 2 as a service provider;
“relevant health care” means—
NHS care, or
the promotion and protection of public health.
(13) Regulations may amend the definition of “relevant health care” to include health care which is provided or commissioned by a public authority (but which does not amount to NHS care).
(1) The Commission may ...conduct any special review or investigation, and must do so if the Secretary of State so requests ; but the Commission may not conduct a review or investigation under subsection (2)(ba) or (bb) without the approval of the Secretary of State..
(1A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2) A special review or investigation is a review (other than a review under section 46 , 46A or 46B) of or an investigation into—
(a) the provision of NHS care,
(b) the provision of adult social services,
(ba) the exercise of the functions of NHS England or an integrated care board in arranging for the provision of NHS care under the National Health Service Act 2006 or section 117 of the Mental Health Act 1983 (after-care),
(bb) the exercise of the functions of English local authorities in arranging for the provision of adult social services, or
(c) the exercise of functions by English Health Authorities.
(3) Such a review or investigation may relate—
(a) to the overall provision of NHS care or adult social services or to the provision of NHS care or adult social services of a particular description;
(b) to the overall exercise of functions or to the exercise of functions of a particular description;
(c) to the provision of care or services or the exercise of functions by bodies or persons generally or by particular bodies or persons.
(3A) A review or investigation under subsection (2)(b), in so far as it involves a review or investigation into the arrangements made for the provision of the adult social services in question, is to be treated as a review or investigation under subsection (2)(bb) (and the requirement for approval under subsection (1) is accordingly to apply).
(4) Where the Commission conducts a review or investigation under this section, it must publish a report.
(5) The Commission must consider whether the report raises anything on which it ought to give advice to the Secretary of State under section 53(2).
(6) If the review or investigation gives rise to a duty to act under section 50(2) ... in respect of an English local authority, subsection (5) does not apply in relation to so much of the report as relates to that local authority.
(7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(8) In this section “English Health Authority” means—
(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b) a Special Health Authority performing functions only or mainly in respect of England.
(1) This section applies where the Commission conducts a review under section 46 , 46A or 46B ..., or a review or investigation under section 48, in respect of an English local authority.
(2) If the Commission considers that the local authority is failing to discharge any of its adult social services functions to an acceptable standard, then ... the Commission must—
(a) inform the Secretary of State of that fact, and
(b) recommend any special measures which it considers the Secretary of State should take.
(3A) Nothing in subsection (2) prevents a report published under section 46(1)(c), 46A(1)(c), 46B(1)(c) or 48(4) from specifying respects in which the Commission considers a local authority to be failing and making recommendations to the local authority for addressing the failure.
(5) If the Commission recommends that the Secretary of State should take special measures in relation to the local authority, the Commission must, if the Secretary of State so requests—
(a) conduct a further review under section 48 in relation to the authority, and
(b) include in its report under subsection (4) of that section a report on such matters as the Secretary of State may specify.
(1) Following a review under section 46 ..., or a review or investigation under section 48, the Commission must inform the Welsh Ministers if it considers that—
(a) there are significant failings in relation to the provision of health care by or pursuant to arrangements made by a Welsh NHS body,
(b) there are significant failings in the running of a Welsh NHS body, or
(c) there are significant failings in the running of a body, or the practice of an individual, providing health care pursuant to arrangements made by a Welsh NHS body.
(2) The Commission may also recommend to the Welsh Ministers that, with a view to remedying those failings, the Welsh Ministers take special measures—
(a) in a case falling within subsection (1)(a) or (b), in relation to the Welsh NHS body concerned;
(b) in a case falling within subsection (1)(c), in relation to the body or individual concerned (except an English NHS body or a cross-border Special Health Authority).
(3) In this section “Welsh NHS body” has the same meaning as in Part 2 of the Health and Social Care (Community Health and Standards) Act 2003 (c. 43).
52 Transfer and amendment of functions under Mental Health Act 1983
(1) The functions of the Secretary of State under the following provisions of the Mental Health Act 1983 (c. 20) (“the MHA”) are transferred to the Commission—
(a) section 57(2)(a) (appointment of registered medical practitioners and other persons),
(b) section 58(3)(a) (appointment of registered medical practitioners),
(c) section 61(1) (receipt of reports on treatment),
(d) section 61(3) (power to disapply Part 4 certificates),
(e) section 64H(4) (receipt of reports on treatment),
(f) section 64H(5) (power to disapply Part 4A certificates),
(g) section 118(2) (code of practice) so far as it relates to the appointment of registered medical practitioners,
(h) section 119(1) (power to make provision for payment to practitioners etc.), and
(i) section 120 (duty to keep matters under review etc.).
(2) Registered medical practitioners, and other persons, appointed or authorised by the Commission in the exercise of a function under the MHA may include members or employees of the Commission.
(3) The functions of the Mental Health Act Commission under the MHA are transferred—
(a) in relation to England, to the Care Quality Commission;
(b) in relation to Wales, to the Welsh Ministers.
(4) Section 121 of the MHA (which makes provision about the Mental Health Act Commission and requires the Secretary of State and the Welsh Ministers to delegate some of their functions to it) ceases to have effect.
(5) Schedule 3 (which makes amendments to the MHA consequential on the provisions of this section, and other amendments to the MHA relating to the functions of the Commission and the Welsh Ministers) has effect.
(1) The Commission must keep the Secretary of State informed about the following matters—
(a) the provision of NHS care;
(b) the provision of adult social services;
(c) the carrying on of regulated activities.
(2) The Commission may at any time give the Secretary of State advice on anything connected with those matters.
(3) Advice under subsection (2) may in particular include advice on any changes that the Commission thinks should be made to—
(a) regulations under section 20 (regulation of regulated activities), or
(b) a code of practice under section 21 (code of practice relating to health care associated infections), or
(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4) When requested to do so by the Secretary of State, the Commission must give the Secretary of State such advice or information in connection with a matter mentioned in subsection (1) as may be specified in the request.
(5) The Commission may give advice—
(a) to the Secretary of State or an English NHS body about the establishment or conduct of any inquiry held, or to be held, by the Secretary of State or NHS body in relation to the provision of health care by or pursuant to arrangements made by that body;
(b) to the Secretary of State or an English local authority about the establishment or conduct of any inquiry held, or to be held, by the Secretary of State or local authority in relation to the provision of adult social services by or pursuant to arrangements made by that authority.
(1) The Commission may ...undertake or promote comparative or other studies designed to enable it to make recommendations—
(a) for improving economy, efficiency and effectiveness in any activity mentioned in subsection (2),
(b) for improving the management, other than the financial management, of an English NHS body, or
(c) for improving the management of an English local authority in its provision of adult social services.
(2) Those activities are—
(a) the provision of health care by an English NHS provider,
(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(c) the provision of adult social services by an English local authority, and
(d) the making of arrangements by an English local authority for the provision of adult social services.
(2A) The Commission may not exercise the power under subsection (1)(a), so far as it relates to the activity mentioned in subsection (2)(d), without the approval of the Secretary of State.
(3) The Commission may ... also undertake or promote studies designed to enable it to prepare reports as to the impact of—
(a) the operation of any particular statutory provisions, or
(b) any directions or guidance given by a Minister of the Crown (whether pursuant to any such provisions or otherwise),
on economy, efficiency and effectiveness in an activity mentioned in subsection (2)(c) or (d).
(4) The Commission must undertake or promote a study falling within subsection (1) or (3) if the Secretary of State so requests.
(5) The reference in subsection (1) to an English NHS body does not include a reference to NHS England, an integrated care board or a Special Health Authority.
(1) The Commission must publish—
(a) any recommendations made by it under subsection (1) of section 54, and
(b) the result of any studies undertaken or promoted under that section.
(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(1) The Commission may ... review—
(a) studies and research undertaken by others, or the quality of data obtained by others, in relation to the provision of NHS care or adult social services or the carrying on of regulated activities,
(b) the methods used in undertaking such studies and research or in collecting and analysing such data, and
(c) the validity of conclusions drawn from such studies and research or from such data.
(2) The Commission must conduct a review under subsection (1) if the Secretary of State so requests.
(3) If the Commission conducts a review under this section it must publish a report.
(1) The Commission may make available to the public information relating to—
(a) the provision of NHS care;
(b) the provision of adult social services;
(c) the carrying on of regulated activities.
(2) Subsection (1) is subject to sections 76 and 79(2).
(1) The Secretary of State may by regulations provide that the Commission is to have such additional functions as may be specified in the regulations in relation to any of the following—
(a) the provision of NHS care;
(b) the exercise in respect of England of functions by cross-border Special Health Authorities;
(c) the improvement of—
(i) economy, efficiency and effectiveness in the exercise of the functions of English NHS bodies, and
(ii) the financial or other management, or operations, of English NHS bodies;
(d) the provision of adult social services;
(e) the carrying on of regulated activities;
(f) the exercise of powers or the discharge of duties conferred or imposed by the Mental Health Act 1983 (c. 20) as mentioned in section 120(1) of that Act.
(2) The Secretary of State must consult NHS England before making provision under subsection (1) in relation to persons who hold licences under Chapter 3 of Part 3 of the Health and Social Care Act 2012.
(3) The references in subsection (1) to English NHS bodies do not include references to NHS England or integrated care boards.
(1) The Commission may for the purposes of its regulatory functions carry out inspections of—
(a) the carrying on of a regulated activity,
(b) the provision of NHS care,
(c) the provision of adult social services,
(ca) the exercise of functions by an English local authority, or
(d) the exercise of functions by an English NHS body.
(2) For the purposes of this Part, the “regulatory functions” of the Commission are its functions under Chapters 2, 3 and 5 except—
(a) its functions under section 53 (information and advice),
(b) its functions under section 57 (reviews of data, studies and research), and
(c) its functions under regulations under section 59 (additional functions) to the extent that the regulations provide that they are not to be treated as regulatory functions for the purposes of this Part.
(3) In this section “English local authority” has the same meaning as in section 46A (see subsection (12) of that section).
61 Inspections carried out for registration purposes
(1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(2) Where an inspection is carried out under section 60 for the purposes of the Commission's functions under Chapter 2, the Commission must—
(a) prepare a report on the matters inspected, and
(b) without delay send a copy of the report to—
(i) the person who carries on the regulated activity in question, and
(ii) if a person is registered under that Chapter as a manager in respect of the activity, that person.
(3) The Commission must publish a report prepared under subsection (2).
(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(1) The power in subsection (2) is exercisable if the Commission considers it necessary or expedient for the purposes of any of its regulatory functions.
(2) A person authorised by the Commission may enter and inspect any premises which are, or which the person reasonably believes to be, regulated premises.
(3) Premises are “regulated premises” if they fall within one or more of the following descriptions—
(a) they are used for the carrying on of a regulated activity,
(b) they are owned or controlled by an English NHS body or English local authority, or
(c) they are used or proposed to be used for or in connection with—
(i) the provision of NHS care,
(ii) the exercise of any functions of an English NHS body, or
(iii) the provision of adult social services.
(4) If NHS care or an adult social service is provided to a person in premises used wholly or mainly as a private dwelling, the premises are not to be regarded as used for or in connection with the provision of that care or service.
(5) A person who proposes to exercise the power conferred by subsection (2) must if so required produce some duly authenticated document showing the person's authority to exercise the power.
(6) “Premises” includes a vehicle.
(1) This section applies where a person (“A”) is authorised by virtue of section 62 to enter and inspect premises.
(2) If A considers it necessary or expedient for relevant purposes, A may—
(a) make any examination into the state and management of the premises or the treatment of persons receiving care there,
(b) inspect and take copies of any documents or records,
(c) have access to, and check the operation of, any computer, and any associated apparatus or material, which is or has been in use in connection with any documents or records,
(d) inspect any other item,
(e) seize and remove from the premises any documents, records or other items,
(f) interview in private—
(i) any person who carries on or manages a regulated activity, or who manages the provision of NHS care or adult social services, at the premises,
(ii) any person working at the premises, and
(iii) any person receiving care at the premises who consents to be interviewed, and
(g) if the conditions in subsection (3) are met, examine in private any person receiving care at the premises.
(3) The conditions are—
(a) A is a registered medical practitioner or registered nurse,
(b) A has reason to believe that the person to be examined is not receiving proper care at the premises, and
(c) the person to be examined—
(i) is capable of giving consent to the examination and does so, or
(ii) is incapable of giving consent to the examination.
(4) The power under subsection (2)(b) includes power—
(a) to require any person holding or accountable for documents or records (whether or not kept at the premises) to produce them for inspection at the premises, and
(b) to require any records which are kept by means of a computer to be produced in a form in which they are legible and can be taken away.
(5) The power under subsection (2)(f)(i) to interview a person in private includes power, in the case of a body corporate, to interview in private—
(a) any director, manager, secretary or other similar officer of the body corporate, and
(b) where the body is an English NHS body or English local authority, any officer or member of the NHS body or local authority.
(6) A may—
(a) require any person to afford A such facilities and assistance with respect to matters within the person's control as are necessary to enable A to exercise powers under section 62 and this section, and
(b) take such measurements and photographs, and make such recordings, as A considers necessary to enable A to exercise those powers.
(7) A person who without reasonable excuse—
(a) obstructs the exercise of a power conferred by section 62 or this section, or
(b) fails to comply with a requirement imposed under this section,
is guilty of an offence and liable on summary conviction to a fine not exceeding level 4 on the standard scale.
(8) In this section—
(a) “relevant purposes” means the purposes of any of the Commission's regulatory functions,
(b) any reference to documents or records includes a reference to personal and medical records, and
(c) any reference to a person receiving care at premises includes a reference to a person who is accommodated there.
64 Power to require documents and information etc.
(1) The Commission may require any person mentioned in subsection (2) to provide it with any information, documents, records (including personal and medical records) or other items which the Commission considers it necessary or expedient to have for the purposes of any of its regulatory functions.
(2) The persons are—
(a) an English NHS body,
(b) a person providing health care commissioned by —
(i) NHS England,
(ii) an integrated care board, or
(iii) ...
(c) an English local authority,
(d) a person providing adult social services commissioned by an English local authority, ...
(e) a person who carries on or manages a regulated activity, ...
(f) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(3) The power in subsection (1) to require the provision of information, documents or records includes, in relation to information, documents or records kept by means of a computer, power to require the provision of the information, documents or records in legible form.
(4) A person who without reasonable excuse fails to comply with a requirement imposed under this section is guilty of an offence and liable on summary conviction to a fine not exceeding level 4 on the standard scale.
(1) The Secretary of State may by regulations make provision requiring prescribed persons to provide an explanation of any relevant matter to the Commission, or to persons authorised by the Commission, in circumstances where the Commission considers the explanation necessary or expedient for the purposes of any of its regulatory functions.
(2) “Relevant matter” means—
(a) any documents, records or other items inspected, copied or provided under sections 62 to 64,
(b) any information provided under those sections,
(c) any documents, records, other items or information otherwise provided to the Commission by any person for the purposes of the Commission's regulatory functions, or
(d) any matters which are the subject of the exercise of any such functions.
(3) Regulations under subsection (1) may require explanations to be provided at such times and places as may be specified by the Commission.
(4) A person who without reasonable excuse fails to comply with a requirement imposed by virtue of this section is guilty of an offence and liable on summary conviction to a fine not exceeding level 4 on the standard scale.
The Commission must promote the effective co-ordination of reviews or assessments carried out by public bodies or other persons in relation to the carrying on of regulated activities.
68 Avoidance of unreasonable burdens in exercise of regulatory powers
(1) The Secretary of State may publish guidance about steps which regulatory authorities may take in exercising relevant powers with a view to avoiding the imposition of unreasonable burdens on those in respect of whom the powers are exercisable.
(2) “Regulatory authorities” means—
(a) the Commission, and
(b) such other bodies as may be prescribed.
(3) A body may not be prescribed under subsection (2)(b) unless it has functions relating to the provision of health or social care.
(4) “Relevant powers” means powers conferred by or under an enactment to—
(a) carry out inspections, or
(b) require the provision of information,
but, in relation to a body prescribed under subsection (2)(b), such powers are “relevant powers” only so far as they are exercisable in respect of a person in respect of whom the Commission has relevant powers.
(5) The steps mentioned in subsection (1) might include for example—
(a) co-operating with other regulatory authorities and co-ordinating the exercise of relevant powers,
(b) sharing information or the results of inspections, and
(c) seeking to obtain information from other sources before exercising a relevant power to require the provision of that information.
(6) In exercising relevant powers, regulatory authorities must have regard to any guidance published under subsection (1).
(7) Nothing in this section is intended to limit the scope of a relevant power or affect a person's obligation to comply with a requirement imposed in the exercise of such a power.
(8) In this section—
(a) “inspections” includes inspections of persons, premises or the carrying on of activities,
(b) a reference to a power to carry out inspections includes a reference to any power which is ancillary to that power (such as a power to enter premises or to require assistance), and
(c) a reference to a power to require the provision of information includes a reference to a power to require the production of documents, records or other items, a power to require the making of reports and a power to require explanations.
69 Co-operation between the Commission and Welsh Ministers
(1) The Commission and the Welsh Ministers must co-operate with each other for the efficient and effective discharge of their corresponding functions.
(2) Their corresponding functions are—
(a) the Commission's functions, and
(b) any functions of the Welsh Ministers exercisable in or in relation to Wales which correspond or are similar to any of the Commission's functions.
(3) The Commission and the Welsh Ministers may share information with each other for the purposes of subsection (1).
70 Co-operation between the Commission and NHS England
(1) The Commission must co-operate with NHS England in the exercise of their respective functions.
(2) In particular the Commission must—
(a) give NHS England any information the Commission has about the provision of health care which the Commission or NHS England considers would assist NHS England in the exercise of —
(i) its regulatory functions, within the meaning given by section 13SB(2) of the National Health Service Act 2006, or
(ii) its functions under section 27A of the National Health Service Act 2006 (NHS trusts: oversight and support)
(b) make arrangements with NHS England to ensure that—
(i) a person applying to be both registered under Chapter 2 and for a licence under the Health and Social Care Act 2012 may do so by way of a single application form, and
(ii) such a person is granted a registration under Chapter 2 and a licence under that Act by way of a single document, and
(c) seek to secure that the conditions on a registration under Chapter 2 in a case within paragraph (b) are consistent with the conditions included in the person's licence under that Act.
(3) Without prejudice to subsection (2)(a) the Commission must, on request, provide the NHS England with any material relevant to—
(a) a review under section 46 ...,
(b) a review or investigation under section 48, or
(c) a study promoted, or undertaken, by the Commission under section 54,
so far as the material relates to the provision of health care by a person who holds a licence under the Health and Social Care Act 2012
(4) In this section, a reference to a licence under the Health and Social Care Act 2012 is a reference to a licence under Chapter 3 of Part 3 of that Act.