This CQC guidance covers administrative and notification obligations for all registered service providers and managers under the Care Quality Commission (Registration) Regulations 2009 (SI 2009/3112). Providers must maintain and update a statement of purpose, ensure financial viability, notify CQC of management absences and organisational changes, report deaths and incidents (including those involving patients detained under the Mental Health Act 1983), disclose fee terms to service users, and comply with specific requirements for termination of pregnancy services. These are cross-cutting registration and compliance obligations that apply to any CQC-registered provider of regulated activities, not specific to any single level of care.
View official source[Regulations for service providers and managers]
Regulations for service providers and managers
Introduction
Health and Social Care Act 2008 (Regulated Activities) Regulations
Care Quality Commission (Registration) Regulations
Regulation 12: Statement of purpose
Regulation 13: Financial position
Regulation 14: Notice of absence
Regulation 15: Notice of changes
Regulation 16: Notification of death of service user
Regulation 17: Notification of death or unauthorised absence of a service user who is detained or liable to be detained under the Mental Health Act 1983
Regulation 18: Notification of other incidents
Regulation 19: Fees
Regulation 20: Requirements relating to termination of pregnancies
Regulation 21: Death of a service provider
Regulation 22A: Form of notifications to the Commission
Related legislation
Related guidance
Glossary of terms used in the guidance for providers and managers
Service types
Regulation 12: Statement of purpose
Care Quality Commission (Registration) Regulations 2009: Regulation 12
The intention of this regulation is to make sure that providers have produced and sent to CQC a clear statement of all the information listed under
Schedule 3
.
Providers must notify CQC of any changes to their statement of purpose and ensure it is kept under review, and notify CQC when there are any changes to the information listed in Schedule 3.
CQC can prosecute for a breach of this regulation or a breach of part of the regulation. This means that CQC can move directly to prosecution without first serving a warning notice. Additionally, CQC may also take any other regulatory action. See the
offences section
for more detail.
CQC must refuse registration if providers cannot satisfy us that they can and will continue to comply with this regulation.
The regulation in full
12.—
The registered person must give the Commission a statement of purpose containing the information listed in Schedule 3.
The registered person must keep under review and, where appropriate, revise the statement of purpose.
The registered person must provide written details of any revision to the statement of purpose to the Commission within 28 days of any such revision.
Guidance
This sets out the guidance providers must have regard to against the relevant component of the regulation.
12
(1)
The registered person must give the Commission a statement of purpose containing the information listed in Schedule 3.
Guidance on 12(1)
Providers must submit their statement of purpose on first application for registration together with the registration application form.
12(3)
The registered person must provide written details of any revision to the statement of purpose to the Commission within 28 days of any such revision.
Guidance on 12(3)
If a provider changes their statement of purpose, it must tell CQC what these changes are within 28 days of making the changes.
If a provider is applying to vary a condition of its registration, it should send CQC a copy of its proposed statement of purpose with its application.
[Regulations for service providers and managers]
Regulations for service providers and managers
Introduction
Health and Social Care Act 2008 (Regulated Activities) Regulations
Care Quality Commission (Registration) Regulations
Regulation 12: Statement of purpose
Regulation 13: Financial position
Regulation 14: Notice of absence
Regulation 15: Notice of changes
Regulation 16: Notification of death of service user
Regulation 17: Notification of death or unauthorised absence of a service user who is detained or liable to be detained under the Mental Health Act 1983
Regulation 18: Notification of other incidents
Regulation 19: Fees
Regulation 20: Requirements relating to termination of pregnancies
Regulation 21: Death of a service provider
Regulation 22A: Form of notifications to the Commission
Related legislation
Related guidance
Glossary of terms used in the guidance for providers and managers
Service types
Regulation 13: Financial position
Care Quality Commission (Registration) Regulations 2009: Regulation 13
The intention of this regulation is to require providers to make sure they take all reasonable steps to meet the financial demands of providing safe and appropriate services.
To meet this regulation, providers must have the financial resources needed to provide and continue to provide the services as described in the statement of purpose to the required standards.
CQC cannot prosecute for a breach of this regulation or any of its parts but we can take regulatory action. See the
offences section
for more detail.
CQC must refuse registration if providers cannot satisfy us that they can and will continue to comply with this regulation.
The regulation in full
13.—
Subject to paragraph (2), the service provider must take all reasonable steps to carry on the regulated activity in such a manner as to ensure the financial viability of the carrying on of that activity for the purposes of—
achieving the aims and objectives set out in the statement of purpose; and
meeting the registration requirements prescribed pursuant to section 20 of the Act.
This regulation does not apply where the service provider is—
an English local authority; or
a health service body.
Guidance
This sets out the guidance providers must have regard to against the relevant component of the regulation.
13.
—(1)
Subject to paragraph (2), the service provider must take all reasonable steps to carry on the regulated activity in such a manner as to ensure the financial viability of the carrying on of that activity for the purposes of—
13(1)(a)
achieving the aims and objectives set out in the statement of purpose;
Guidance on 13(1)(a)
The provider must have the financial resources needed to provide and continue to provide the services as described in the statement of purpose to the required standards.
The provider must have insurance and suitable indemnity arrangements to cover potential liabilities arising from death, injury, or other causes, loss or damage to property, and other financial risks.
[Regulations for service providers and managers]
Regulations for service providers and managers
Introduction
Health and Social Care Act 2008 (Regulated Activities) Regulations
Care Quality Commission (Registration) Regulations
Regulation 12: Statement of purpose
Regulation 13: Financial position
Regulation 14: Notice of absence
Regulation 15: Notice of changes
Regulation 16: Notification of death of service user
Regulation 17: Notification of death or unauthorised absence of a service user who is detained or liable to be detained under the Mental Health Act 1983
Regulation 18: Notification of other incidents
Regulation 19: Fees
Regulation 20: Requirements relating to termination of pregnancies
Regulation 21: Death of a service provider
Regulation 22A: Form of notifications to the Commission
Related legislation
Related guidance
Glossary of terms used in the guidance for providers and managers
Service types
Regulation 14: Notice of absence
Care Quality Commission (Registration) Regulations 2009: Regulation 14
The intention of this regulation is that CQC can be assured that the service will continue to be properly managed if the person in charge of their service is absent.
To meet the requirements of this regulation, the provider must inform CQC about any planned or unplanned absences from the service that are for a continuous period of 28 days or more, how the service will be run while they are away and when they return from a significant absence.
Providers must use forms provided by CQC to make notifications under this regulation. Further information about how to make any required notification to CQC can be found
here
.
CQC can prosecute for a breach of this regulation or a breach of part of the regulation. This means that CQC can move directly to prosecution without first serving a warning notice. Additionally, CQC may also take any other regulatory action. See the
offences section
for more detail.
CQC must refuse registration if providers cannot satisfy us that they can and will continue to comply with this regulation.
The regulation in full
14.—
Subject to paragraphs (7) and (8), where—
the service provider, if the provider is the person in day to day charge of the carrying on of the regulated activity; or
the registered manager,
proposes to be absent from carrying on or managing the regulated activity for a continuous period of 28 days or more, the registered person must give notice in writing to the Commission of the proposed absence.
Except in the case of an emergency, the notice referred to in paragraph (1) must be given no later than 28 days before the proposed absence commences or within such shorter period as may be agreed with the Commission and must contain the following information in relation to the proposed absence—
its length or expected length;
the reason for it;
the arrangements which have been made for the management of the carrying on of the regulated activity during the period of absence;
the name, address and qualifications of the person who will be responsible for the management of the carrying on of the regulated activity during that absence;
in the case of the absence of the registered manager, the arrangements that have been, or are proposed to be, made for appointing another person to manage the carrying on of the regulated activity during that absence, including the proposed date by which the appointment is to be made.
Where the absence referred to in paragraph (1) arises as the result of an emergency, the registered person must give notice of the absence to the Commission within 5 working days of its occurrence specifying the matters set out in paragraph (2)(a) to (e).
Where—
the service provider, if the provider is the person in day to day charge of the carrying on of the regulated activity; or
the registered manager
has been absent for a continuous period of 28 days or more, and the Commission has not been given notice of the absence, the registered person shall forthwith give notice in writing to the Commission specifying the matters set out in paragraph (2)(a) to (e).
The registered person must notify the Commission of the return to duty of the service provider or (as the case may be) the registered manager not later than 7 working days after the date of that return.
In this regulation "working day" means any day other than a Saturday, a Sunday, Christmas Day, Good Friday or a day which is a bank holiday in England and Wales within the meaning of the Banking and Financial Dealings Act 1971.
Subject to paragraph (8), this regulation does not apply where the service provider is a health service body.
Where the service provider is a health service body and is subject to a registered manager condition pursuant to regulation 5 or section 12(3) or (5) of the Act, this regulation shall have effect in relation any absence, proposed absence or return to duty of that registered manager.
[Regulations for service providers and managers]
Regulations for service providers and managers
Introduction
Health and Social Care Act 2008 (Regulated Activities) Regulations
Care Quality Commission (Registration) Regulations
Regulation 12: Statement of purpose
Regulation 13: Financial position
Regulation 14: Notice of absence
Regulation 15: Notice of changes
Regulation 16: Notification of death of service user
Regulation 17: Notification of death or unauthorised absence of a service user who is detained or liable to be detained under the Mental Health Act 1983
Regulation 18: Notification of other incidents
Regulation 19: Fees
Regulation 20: Requirements relating to termination of pregnancies
Regulation 21: Death of a service provider
Regulation 22A: Form of notifications to the Commission
Related legislation
Related guidance
Glossary of terms used in the guidance for providers and managers
Service types
Regulation 15: Notice of changes
Care Quality Commission (Registration) Regulations 2009: Regulation 15
The intention of this regulation is to ensure that CQC is notified of specific changes in the running of the service so that CQC can be assured that the provider has taken appropriate action.
The provider must inform CQC when:
The person who manages or carries on the service changes
There is a change to the registered details of the service and any individual, partnership or organisation who manage or carry it on
The registered person becomes financially insolvent
The service closes.
Providers must use forms provided by CQC to make notifications under this regulation. Further information about how to make any required notification to CQC can be found
here
.
CQC can prosecute for a breach of this regulation or a breach of part of the regulation. This means that CQC can move directly to prosecution without first serving a warning notice. Additionally, CQC may also take any other regulatory action. See the
offences section
for more detail.
CQC must refuse registration if providers cannot satisfy us that they can and will continue to comply with this regulation.
There is no further guidance for this regulation.
The regulation in full
15.—
Subject to paragraph (2), the registered person must give notice in writing to the Commission, as soon as it is reasonably practicable to do so, if any of the following events takes place or is proposed to take place—
a person other than the registered person carries on or manages the regulated activity;
a registered person ceases to carry on or manage the regulated activity;
the name of a registered person (where that person is an individual) changes;
where the service provider is a partnership, any change in the membership of the partnership;
where the service provider is a body other than a partnership—
a change in the name or address of the body,
a change of director, secretary or other similar officer of the body, or
a change of nominated individual;
where the service provider is—
an individual, the appointment of a trustee in bankruptcy in relation to that individual, or
a company or partnership, the appointment of a receiver, manager, liquidator or provisional liquidator in relation to that company or partnership.
Paragraph (1)(e)(ii) does not apply where the service provider is a health service body
In this regulation, "nominated individual" means the individual who is employed as a director, manager or secretary of the body and whose name has been notified to the Commission as being the person who is responsible for supervising the management of the carrying on of the regulated activity by that body.
[Regulations for service providers and managers]
Regulations for service providers and managers
Introduction
Health and Social Care Act 2008 (Regulated Activities) Regulations
Care Quality Commission (Registration) Regulations
Regulation 12: Statement of purpose
Regulation 13: Financial position
Regulation 14: Notice of absence
Regulation 15: Notice of changes
Regulation 16: Notification of death of service user
Regulation 17: Notification of death or unauthorised absence of a service user who is detained or liable to be detained under the Mental Health Act 1983
Regulation 18: Notification of other incidents
Regulation 19: Fees
Regulation 20: Requirements relating to termination of pregnancies
Regulation 21: Death of a service provider
Regulation 22A: Form of notifications to the Commission
Related legislation
Related guidance
Glossary of terms used in the guidance for providers and managers
Service types
Regulation 16: Notification of death of service user
Care Quality Commission (Registration) Regulations 2009: Regulation 16
The intention of this regulation is to ensure that CQC is notified of the deaths of people who use services so that where needed, CQC can take follow-up action.
Notifications include those deaths that
occurred while services were being provided in the carrying on of a regulated activity or
have, or may have, resulted from the carrying on of a regulated activity.
Notifications about deaths must be sent to CQC without delay. All providers must send their notifications directly to CQC unless the provider is a health service body, local authority or provider of primary medical services and it has previously notified the NHS Commissioning Board Authority (now known as NHS England) of the death.
Providers must use forms provided by CQC to make notifications under this regulation. Further information about how to make any required notification to CQC can be found
here
.
CQC can prosecute for a breach of this regulation or a breach of part of the regulation. This means that CQC can move directly to prosecution without first serving a warning notice. Additionally, CQC may also take any other regulatory action. See the
offences section
for more detail.
CQC must refuse registration if providers cannot satisfy us that they can and will continue to comply with this regulation.
The regulation in full
16.—
Except where paragraph (2) applies, the registered person must notify the Commission without delay of the death of a service user—
whilst services were being provided in the carrying on of a regulated activity; or
which has, or may have, resulted from the carrying on of a regulated activity.
Subject to paragraph (4), where the service provider is a health service body, a local authority exercising public health functions (within the meaning of the
National Health Service Act 2006
) or a provider of primary medical services, the registered person must notify the Commission without delay of the death of a service user where the death—
either—
occurred whilst services were being provided in the carrying on of a regulated activity,
has, or may have, resulted from the provision of services by a health service body, or local authority exercising public health functions (within the meaning of the
National Health Service Act 2006
), in the course of carrying on a regulated activity, or
has, or may have, resulted from the provision of primary medical services in the course of carrying on a regulated activity and those services were provided within the period of two weeks prior to the death of the service user; and
cannot, in the reasonable opinion of the registered person, be attributed to the course which that service user's illness or medical condition would naturally have taken if that service user was receiving appropriate care and treatment.
Notification of the death of a service user must include a description of the circumstances of the death.
Paragraph (2) does not apply if, and to the extent that, the registered person has reported the death to the National Health Service Commissioning Board (now known as NHS England).
for the purposes of paragraph (4), where a person has reported a death to the NHS Commissioning Board Authority (now known as NHS England), established under Article 2 of the NHS Commissioning Board Authority (Establishment and Constitution) Order 2011, before the establishing of the National Health Service Commissioning Board ("the Board"), that report is to be treated as having been made to the board.
This regulation does not apply where regulation 17 applies.
In paragraph (2), "provider of primary medical services" means a person who provides primary medical services pursuant to one of the following sections of the National Health Service Act 2006(b) -
section 3A (Secretary of State's duty as to provision of certain services),
section 83(2)(b) (primary medical services),
section 84 (general medical services contracts),
section 92 (arrangements for the provision of primary medical services), and provision of primary medical services shall be construed accordingly
Guidance
This sets out the guidance providers must have regard to against the relevant component of the regulation.
16(5)
This regulation does not apply where regulation 17 applies.
Guidance on 16(5)
A notification is not required under this regulation where the notification relates to the death or unauthorised absence of a service user who is detained or liable to be detained under the Mental Health Act 1983.
[Regulations for service providers and managers]
Regulations for service providers and managers
Introduction
Health and Social Care Act 2008 (Regulated Activities) Regulations
Care Quality Commission (Registration) Regulations
Regulation 12: Statement of purpose
Regulation 13: Financial position
Regulation 14: Notice of absence
Regulation 15: Notice of changes
Regulation 16: Notification of death of service user
Regulation 17: Notification of death or unauthorised absence of a service user who is detained or liable to be detained under the Mental Health Act 1983
Regulation 18: Notification of other incidents
Regulation 19: Fees
Regulation 20: Requirements relating to termination of pregnancies
Regulation 21: Death of a service provider
Regulation 22A: Form of notifications to the Commission
Related legislation
Related guidance
Glossary of terms used in the guidance for providers and managers
Service types
Regulation 17: Notification of death or unauthorised absence of a service user who is detained or liable to be detained under the Mental Health Act 1983
Care Quality Commission (Registration) Regulations 2009: Regulation 17
The intention of this regulation is that CQC is notified of certain events in relation to patients detained under the Mental Health Act 1983, so that we can take follow-up action where needed.
These events are:
(a) the death of any person liable to be detained under the Mental Health Act 1983, wherever that death takes place;
(b) the unauthorised absence of any person liable to be detained under the Mental Health Act 1983 from an inpatient psychiatric unit classed as low, medium or high security, when that absence occurs past midnight on any given day; and
(c) The return from unauthorised leave of any person reported under (b) above.
CQC can prosecute for a breach of this regulation or a breach of part of the regulation. This means that CQC can move directly to prosecution without first serving a warning notice. Additionally, CQC may also take any other
regulatory action
. See the
offences section
for more detail.
CQC must refuse registration if providers cannot satisfy us that they can and will continue to comply with this regulation.
The regulation in full
17.—
The registered person must notify the Commission without delay of the death in any location or unauthorised absence from a relevant location of a service user who is liable to be detained by the registered person—
under the Mental Health Act 1983 ("the 1983 Act"); or
pursuant to an order or direction made under another enactment (which applies in relation to England), where that detention takes effect as if the order or direction were made pursuant to the provisions of the 1983 Act.
Notification of the death of a service user must include a description of the circumstances of the death.
2a. The registered person must notify the Commission without delay of the return to a relevant location after a period of unauthorised absence of a service user whose absence is required to be notified under paragraph (1).
In this regulation—
references to persons "liable to be detained" include a community patient who has been recalled to hospital in accordance with section 17E of the 1983 Act, but do not include a patient who has been conditionally discharged and not recalled to hospital in accordance with section 42, 73 or 74 of the 1983 Act;
"community patient" has the same meaning as in section 17A of the 1983 Act;
"hospital" means a hospital within the meaning of Part 2 of that Act; and
ca. "relevant location" means a location used to provide secure psychiatric services under a contract with an English NHS body(1) or the Secretary of State.
Guidance
This sets out the guidance providers must have regard to against the relevant component of the regulation.
Guidance on 17
Unauthorised absences of a person liable to be detained under the Mental Health Act 1983 (also known as absence without leave or AWOL) are notifiable ONLY when:
(a) the absence is from an inpatient unit designed as low, medium or high security (Reg 17(3)(ca)); AND
(b) the person is still absent after midnight on the day their absence began.
Services should remember to report the return to hospital of a patient previously reported as on unauthorised absence (Reg 17(2a)).
The death of any patient liable to be detained must be notified to CQC under this regulation. This is not dependent on the security level of the inpatient unit which was the detaining authority for the patient, nor where nor how that death occurred.
Regulations require notifications to be made ‘without delay’. Services may note that CQC operates office hours in respect of such notifications.
[Regulations for service providers and managers]
Regulations for service providers and managers
Introduction
Health and Social Care Act 2008 (Regulated Activities) Regulations
Care Quality Commission (Registration) Regulations
Regulation 12: Statement of purpose
Regulation 13: Financial position
Regulation 14: Notice of absence
Regulation 15: Notice of changes
Regulation 16: Notification of death of service user
Regulation 17: Notification of death or unauthorised absence of a service user who is detained or liable to be detained under the Mental Health Act 1983
Regulation 18: Notification of other incidents
Regulation 19: Fees
Regulation 20: Requirements relating to termination of pregnancies
Regulation 21: Death of a service provider
Regulation 22A: Form of notifications to the Commission
Related legislation
Related guidance
Glossary of terms used in the guidance for providers and managers
Service types
Regulation 19: Fees
Care Quality Commission (Registration) Regulations 2009: Regulation 19
The intention of this regulation is to make sure that providers give timely and accurate information about the cost of their care and treatment to people who use services.
To meet this regulation, providers must make written information available about any fees, contracts and terms and conditions, where people are paying either in full or in part for the cost of their care, treatment and support.
CQC can prosecute for a breach of this regulation or a breach of part of the regulation. This means that CQC can move directly to prosecution without first serving a warning notice. Additionally, CQC may also take other regulatory action. See the
offences section
for more detail.
CQC must refuse registration if providers cannot satisfy us that they can and will continue to comply with this regulation.
The regulation in full
19.—
Where a service user will be responsible for paying the costs of their care or treatment (either in full or partially), the registered person must provide a statement to the service user, or to a person acting on the service user's behalf—
specifying the terms and conditions in respect of the services to be provided to the service user, including as to the amount and method of payment of fees; and
including, where applicable, the form of contract for the provision of services by the service provider.
The statement referred to in paragraph (1) must be—
in writing; and
as far as reasonably practicable, provided prior to the commencement of the services to which the statement relates.
Guidance
This sets out the guidance providers must have regard to against the relevant component of the regulation.
19(1)
Where a service user will be responsible for paying the costs of their care or treatment (either in full or partially), the registered person must provide a statement to the service user, or to a person acting on the service user's behalf—
19(1)(a)
specifying the terms and conditions in respect of the services to be provided to the service user, including as to the amount and method of payment of fees; and
Guidance on 19(1)(a)
Providers must give people information about the terms and conditions of their care, treatment or support, including the expected costs and the requirement to pay for their care, treatment and support. This applies to people who pay the provider in full or partially.
Providers must notify people of any changes to their terms and conditions, including increases in fees and give them sufficient time to consider whether they wish to continue with the service.
People must be told how they can make payments.
People should be given reasonable notice of when payments are due so they have the opportunity to arrange payment without incurring penalties or late payment fees.
19(1)(b)
including, where applicable, the form of contract for the provision of services by the service provider.
Guidance on 19(1)(b)
Providers must make sure that they give a copy of any contract detailing the service to be provided to the person using the service and/or the person lawfully acting on their behalf.
19(2)
The statement referred to in paragraph (1) must be—
19(2)(a)
in writing; and
19(2)(b)
as far as reasonably practicable, provided prior to the commencement of the services to which the
statement relates.
Guidance on 19(2)(a) and 19(2)(b)
People must be given a written copy of the terms and conditions that they must agree to before their care, treatment or support begins.
Providers must give people using the service information about the costs, terms, and conditions of the service, so that they can make decisions about their care, treatment or support.
Providers must give people a written estimate of the costs of the care, treatment or support if a fixed price cannot be given. This should include details of any likely additional costs.
[Regulations for service providers and managers]
Regulations for service providers and managers
Introduction
Health and Social Care Act 2008 (Regulated Activities) Regulations
Care Quality Commission (Registration) Regulations
Regulation 12: Statement of purpose
Regulation 13: Financial position
Regulation 14: Notice of absence
Regulation 15: Notice of changes
Regulation 16: Notification of death of service user
Regulation 17: Notification of death or unauthorised absence of a service user who is detained or liable to be detained under the Mental Health Act 1983
Regulation 18: Notification of other incidents
Regulation 19: Fees
Regulation 20: Requirements relating to termination of pregnancies
Regulation 21: Death of a service provider
Regulation 22A: Form of notifications to the Commission
Related legislation
Related guidance
Glossary of terms used in the guidance for providers and managers
Service types
Regulation 20: Requirements relating to termination of pregnancies
Care Quality Commission (Registration) Regulations 2009: Regulation 20
This regulation applies only to registered persons who carry on or manage the regulated activity of termination of pregnancies and are not an English NHS body. To meet this regulation the provider must follow the requirements of the regulation and the procedures and guidance issued by the Department of Health in May 2014, which are:
Procedures for the Approval of Independent Sector Places for the Termination of Pregnancy (Abortion).
Guidance in Relation to Requirements of the Abortion Act 1967
The Department of Health's guidance takes account of legal requirements and best practice in relation to termination of pregnancy. We have not provided further guidance in this document as it is either self-explanatory in the regulation or is addressed in the Department of Health's guidance. See the
offences section
for more detail about regulatory action CQC can take.
CQC must refuse registration if providers cannot satisfy us that they can and will continue to comply with this regulation.
Note:
Termination of pregnancy deaths are notified under this regulation rather than under Regulation 16.
The regulation in full
This regulation applies to a registered person who—
carries on or manages the regulated activity consisting of the termination of pregnancies; and
is not an English NHS body.
The registered person must ensure that, unless two certificates of opinion have been received in respect of the service user—
no termination of pregnancy is carried out; and
no fee is demanded or accepted from a service user.
The registered person must ensure that a certificate of opinion in respect of a service user undergoing termination of a pregnancy is completed and included with the service user's medical record.
The registered person must ensure that no termination of pregnancy is undertaken after the 20th week of gestation, unless—
the service user is treated by persons who are suitably qualified, skilled and experienced in the late termination of pregnancy; and
appropriate procedures are in place to deal with any medical emergency which occurs during or as a result of the termination.
The registered person must ensure that no termination of a pregnancy is undertaken after the 24th week of gestation.
The registered person must ensure that a register of service users undergoing a termination of pregnancy is maintained, which is—
completed in respect of each service user at the time the termination is undertaken; and
retained for a period of not less than 3 years beginning on the date of the last entry.
The registered person must ensure that a record is maintained of the total numbers of terminations of pregnancies undertaken.
The registered person must ensure that the record referred to in paragraph (7) (which may be in paper or electronic form) is—
accurate;
kept securely and can be located promptly when required;
retained for an appropriate period of time; and
securely destroyed when it is appropriate to do so.
The registered person must ensure that notice in writing is sent to the Chief Medical Officer of the Department of Health of each termination of pregnancy.
If the registered person—
receives information concerning the death of a service user who has undergone termination of a pregnancy during the period of 12 months ending on the date on which the information is received; and
has reason to believe that the service user's death may be associated with the termination, the registered person must give notice in writing to the Commission of that information, within the period of 14 days beginning on the day on which the information is received.
The registered person must prepare and implement appropriate procedures to ensure that foetal tissue is treated with respect.
In this regulation, "certificate of opinion" means a certificate required by regulations made under section 2(1) of the Abortion Act 1967.
[Regulations for service providers and managers]
Regulations for service providers and managers
Introduction
Health and Social Care Act 2008 (Regulated Activities) Regulations
Care Quality Commission (Registration) Regulations
Regulation 12: Statement of purpose
Regulation 13: Financial position
Regulation 14: Notice of absence
Regulation 15: Notice of changes
Regulation 16: Notification of death of service user
Regulation 17: Notification of death or unauthorised absence of a service user who is detained or liable to be detained under the Mental Health Act 1983
Regulation 18: Notification of other incidents
Regulation 19: Fees
Regulation 20: Requirements relating to termination of pregnancies
Regulation 21: Death of a service provider
Regulation 22A: Form of notifications to the Commission
Related legislation
Related guidance
Glossary of terms used in the guidance for providers and managers
Service types
Regulation 21: Death of a service provider
Also see our guidance on
how to notify us about the death of a registered provider
.
Care Quality Commission (Registration) Regulations 2009: Regulation 21
The intention of this regulation is to ensure that CQC is notified in writing and without delay of the death of a service provider who is either:
an individual
a partner in a partnership that has only one surviving partner.
If an individual provider dies, the legal entity that registered with CQC no longer exists. This means that no provider is registered to carry on the regulated activity.
The personal representative of an individual provider must notify CQC of their intentions for the future of the service within 28 days of the date of death. They can take responsibility for the regulated activity themselves for up to 28 days without having to register, and CQC can agree to extend this. However, they must appoint someone to take full-time day-to-day charge of the regulated activity over this period.
If the death of a partner leaves a partnership with only one surviving partner, depending on the partnership arrangements, the legal entity may no longer exist. This may mean that no provider is registered to carry on the regulated activity.
Although a failure to inform CQC under this regulation is not an offence, it is an offence to continue to operate as an unregistered provider. This may result in prosecution.
There is no further guidance for this regulation.
The regulation in full
21 –
Where the service provider is a partnership and a partner dies, the surviving partner shall without delay notify the Commission of the death in writing.
Where the service provider is an individual and that individual dies, that individual’s personal representative must notify the Commission in writing—
without delay of the death; and
within 28 days of the date of death of their intentions regarding the future carrying on of the regulated activity.
The personal representative of the deceased service provider may carry on the regulated activity without being registered in respect of it—
for a period not exceeding 28 days; and
for any future period as may be determined in accordance with paragraph (4).
The Commission may extend the period specified in paragraph (3)(a) by such further period, not exceeding one year, as the Commission shall determine, and shall notify any such determination to the personal representative in writing.
The personal representative of the deceased service provider shall appoint a person to take full-time day to day charge of the carrying on of the regulated activity during any period in which, in accordance with paragraph (3), they carry on the regulated activity without being registered in respect of it.