Health and Social Care Bill

House of Commons

Session 2007 - 08
Internet Publications
Other Bills before Parliament

Health and Social Care Bill

Health and Social Care Bill
Part 1 — The Care Quality Commission
Chapter 6 — Miscellaneous and General
37

76
Code of practice on confidential personal information
(1)
The Commission must prepare and publish a code in respect of the practice it
proposes to follow in relation to confidential personal information.
(2)
The code must in particular make provision—
(a)
about the obtaining by the Commission of information which, once
5
obtained, will be confidential personal information, and
(b)
about the handling, use and disclosure by the Commission of
confidential personal information.
(3)
Before publishing the code, the Commission must consult—
(a)
the National Information Governance Board for Health and Social
10
Care, and
(b)
such other persons as it considers appropriate.
(4)
The Commission must keep the code under review and, if it considers it
appropriate, from time to time publish a revised code (and references in this
section to the code include any revised code).
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(5)
In this section “confidential personal information” means information which—
(a)
is obtained by the Commission on terms or in circumstances requiring
it to be held in confidence, and
(b)
relates to and identifies an individual.
(6)
For the purposes of subsection (5)(b), information obtained by the Commission
20
is to be treated as identifying an individual if the individual can be identified
from a combination of—
(a)
the information, and
(b)
other information obtained by the Commission.
Further provisions about functions of Commission
25
77
Publication of programme of reviews etc.
(1)
The Commission must from time to time, or at such times as the Secretary of
State may specify by order, prepare and publish a document setting out—
(a)
the special reviews and investigations that it proposes to conduct under
section 44,
30
(b)
the studies that it proposes to undertake under section 50, and
(c)
the reviews that it proposes to conduct under section 53.
(2)
Before preparing a document under subsection (1) the Commission must
consult—
(a)
the Secretary of State, and
35
(b)
any other person or body specified by an order made by the Secretary
of State,

and it must send each of those persons or bodies a copy of the document once
it is prepared.
(3)
The Commission may determine that any document or combination of
40
documents prepared for the purposes of any other enactment or enactments is
to be treated as a document prepared for the purposes of subsection (1) (so long
as the requirements of subsection (2) are complied with in relation to the
document or documents concerned).

Health and Social Care Bill
Part 1 — The Care Quality Commission
Chapter 6 — Miscellaneous and General
38

(4)
Nothing in a document published under subsection (1) is to be regarded—
(a)
as affecting any power of the Secretary of State to require a review or
investigation to be conducted or a study to be undertaken, or
(b)
as preventing the Commission from conducting an investigation under
section 44 where the Commission considers there to be a risk to the
5
health, safety or welfare of persons receiving health or social care.
78
Failure by the Commission in discharge of its functions
(1)
The Secretary of State may give a direction to the Commission if the Secretary
of State considers that the Commission—
(a)
is failing or has failed to discharge any of its functions, or
10
(b)
is failing or has failed properly to discharge any of its functions.
(2)
A direction under subsection (1) may direct the Commission to discharge such
of those functions, and in such manner and within such period or periods, as
may be specified in the direction.
(3)
If the Commission fails to comply with a direction under subsection (1), the
15
Secretary of State may—
(a)
discharge the functions to which the direction relates, or
(b)
make arrangements for any other person to discharge them on the
Secretary of State’s behalf.
79
Reports for each financial year etc.
20
(1)
As soon as possible after the end of each financial year, the Commission must
make a report on each of the following matters—
(a)
the way in which it has exercised its functions during the year,
(b)
the provision of NHS care during the year,
(c)
the provision of adult social services during the year, and
25
(d)
the carrying on of regulated activities during the year.
(2)
The Commission may comply with subsection (1) by preparing a single
document or separate documents on each of the matters mentioned there.
(3)
If the Secretary of State so directs, a report under subsection (1) must include
separate reports on such aspects of the matters mentioned in that subsection as
30
may be specified in the direction.
(4)
The Commission must—
(a)
lay before Parliament a copy of each report made under subsection (1),
and
(b)
send a copy of each such report to the Secretary of State.
35
(5)
The Commission must also provide the Secretary of State with such reports
and information relating to the exercise of its functions as the Secretary of State
may from time to time request.
(6)
Subsection (1)(a) does not apply to the Commission’s functions under the
Mental Health Act 1983 (c. 20).
40
(7)
In this section, “financial year” means—
(a)
the period beginning with the date on which the Commission is
established and ending with the next 31 March following that date, and

Health and Social Care Bill
Part 1 — The Care Quality Commission
Chapter 6 — Miscellaneous and General
39

(b)
each successive period of 12 months ending with 31 March.
80
Reports and information
(1)
Subsections (2) and (3) apply to a report published by the Commission under
any provision of this Part or of the Mental Health Act 1983 (c. 20).
(2)
The Commission must make copies of the report available for inspection at its
5
offices by any person at any reasonable time.
(3)
Any person who requests a copy of the report is entitled to have one on
payment of such reasonable fee (if any) as the Commission considers
appropriate.
(4)
The Commission may charge a person such reasonable fee as it considers
10
appropriate where it provides the person, on request, with any other
information relevant to the exercise of the Commission’s functions under this
Part.
Fees
81
Fees
15
(1)
The Commission may with the consent of the Secretary of State from time to
time make and publish provision—
(a)
requiring a fee to be paid in respect of—
(i)
an application for registration as a service provider or manager
under Chapter 2,
20
(ii)
the grant or subsistence of any such registration, or
(iii)
an application under section 15(1);
(b)
requiring English NHS bodies, English local authorities, persons
registered under Chapter 2 and such other persons as may be
prescribed to pay a fee in respect of the exercise by the Commission of
25
such of its other functions under this Part as may be prescribed.
(2)
The amount of a fee payable under provision under subsection (1) is to be such
as may be specified in, or calculated or determined under, the provision.
(3)
Provision under subsection (1) may include provision—
(a)
for different fees to be paid in different cases,
30
(b)
for different fees to be paid by persons of different descriptions,
(c)
for the amount of a fee to be determined by the Commission in
accordance with specified factors, and
(d)
for determining the time by which a fee is to be payable.
(4)
Before making provision under subsection (1) the Commission must consult
35
such persons as it thinks appropriate.
(5)
The Secretary of State may by regulations make provision as to—
(a)
the manner in which provision under subsection (1) is to be made and
published;
(b)
the matters to be taken into account by the Commission before making
40
provision under that subsection.

Health and Social Care Bill
Part 1 — The Care Quality Commission
Chapter 6 — Miscellaneous and General
40

(6)
If the Secretary of State considers it necessary or desirable to do so, the
Secretary of State may by regulations make provision determining the amount
of a fee payable to the Commission by virtue of this section, and the time at
which it is payable, instead of those matters being determined in accordance
with provision made under subsection (1).
5
(7)
Before making any regulations under this section, the Secretary of State must
consult the Commission and such other persons as the Secretary of State thinks
appropriate.
(8)
For the purpose of determining the fee payable by a person by virtue of this
section, the person must provide the Commission with such information, in
10
such form, as the Commission may require.
(9)
A fee payable by virtue of this section may, without prejudice to any other
method of recovery, be recovered summarily as a civil debt.
Enforcement
82
Penalty notices
15
(1)
Where the Commission is satisfied that a person has committed a fixed penalty
offence, the Commission may give the person a penalty notice in respect of the
offence.
(2)
A fixed penalty offence is any Part 1 offence that is prescribed for the purposes
of this section.
20
(3)
A penalty notice is a notice offering the person the opportunity of discharging
any liability to conviction for the offence to which the notice relates by payment
of a penalty in accordance with the notice.
(4)
Where a person is given a penalty notice, proceedings for the offence to which
the notice relates may not be instituted before the end of such period as may be
25
prescribed.
(5)
Where a person is given a penalty notice, the person cannot be convicted of the
offence to which the notice relates if the person pays a penalty in accordance
with the notice.
(6)
Penalties under this section are payable to the Commission.
30
(7)
Penalties received by the Commission under this section must be paid to the
Secretary of State.
83
Penalty notices: supplementary provision
(1)
Regulations may make—
(a)
provision as to the form and content of penalty notices,
35
(b)
provision as to the monetary amount of the penalty and the time by
which it is to be paid,
(c)
provision determining the methods by which penalties may be paid,
(d)
provision as to the records to be kept in relation to penalty notices,
(e)
provision for or in connection with the withdrawal, in prescribed
40
circumstances, of a penalty notice, including—

Health and Social Care Bill
Part 1 — The Care Quality Commission
Chapter 6 — Miscellaneous and General
41

(i)
repayment of any amount paid by way of penalty under a
penalty notice which is withdrawn, and
(ii)
prohibition of the institution or continuation of proceedings for
the offence to which the withdrawn notice relates,
(f)
provision for a certificate—
5
(i)
purporting to be signed by or on behalf of a prescribed person,
and
(ii)
stating that payment of any amount paid by way of penalty was
or, as the case may be, was not received on or before a date
specified in the certificate,
10

to be received in evidence of the matters so stated,
(g)
provision as to the action to be taken if a penalty is not paid in
accordance with a penalty notice, and
(h)
such other provision in relation to penalties or penalty notices as the
Secretary of State thinks necessary or expedient.
15
(2)
Regulations under subsection (1)(b)—
(a)
may make provision for penalties of different amounts to be payable in
different cases, including provision for the penalty payable under a
penalty notice to differ according to the time by which it is paid, but
(b)
must secure that the amount of any penalty payable in respect of any
20
offence does not exceed one half of the maximum amount of the fine to
which a person committing the offence would be liable on summary
conviction.
(3)
In this section—
“penalty” means a penalty under a penalty notice;
25
“penalty notice” has the meaning given by section 82(3).
84
Guidance by the Commission in relation to enforcement action
(1)
The Commission must issue guidance about how it will exercise its functions
under any of the following provisions of this Part—
(a)
section 8(5), so far as relating to the variation of a condition or the
30
imposition of additional conditions,
(b)
section 11(5), so far as relating to the variation of a condition or the
imposition of additional conditions,
(c)
sections 13 and 14 (cancellation or suspension of registration),
(d)
section 25 (warning notice),
35
(e)
section 82 (penalty notices), and
(f)
section 85 (publication of information).
(2)
The guidance may also include guidance, in relation to any Part 1 offence, as to
the circumstances in which the Commission is likely to take criminal
proceedings for the offence.
40
(3)
The Commission may from time to time revise guidance published by it under
this section and issue the revised guidance.
(4)
Before issuing any guidance or revised guidance under this section, the
Commission must consult—
(a)
such persons as may be prescribed, and
45
(b)
such other persons as the Commission considers appropriate.