A G E N D A 1. APOLOGIES FOR ABSENCE Ian Metcalfe 2 ...
A G E N D A 1. APOLOGIES FOR ABSENCE Ian Metcalfe 2 ... A G E N D A 1. APOLOGIES FOR ABSENCE Ian Metcalfe 2 ...
SeriousnessMonitor will take into account a range of relevant factors in assessing seriousness, including:the nature and the scale of the harm that a breach or potential breach has caused or iscapable of causing to health care service users. Monitor intends to assess:ooooowho has been or is likely to be affected;the extent to which any harm could be reversed or remedied;the number of health care service users affected, or potentially affected,whether directly or indirectly;the actual or potential impact on those health care users;the duration of any harmful effects of potential effects;whether the provider knew or should have known that its actions would risk noncompliance;and/orwhether the provider has committed a breach before.The more serious the breach, the more likely Monitor will be to impose discretionaryrequirements.Ensuring provider complianceMonitor will consider what action may be needed to ensure: that a breach not continue; and/orthat the provider end the breach and not repeat it. Monitor will also consider what forms ofintervention may be needed to deter similar breaches from recurring.In considering whether requirements are needed to ensure that a breach not continue, Monitorproposes to assess, amongst other relevant factors:whether the breach has been brought to an end;if the breach is continuing, what steps the provider has taken and/or proposes to takevoluntarily in order to bring the breach to an end;whether, if the provider has proposed voluntary steps, it would still be beneficial to ensurethat the breach does not continue by imposing requirements relating to those proposedsteps;whether there are other steps which Monitor considers should be taken in order to ensurethat the breach not continue; andPage 19 of 50
whether any third parties (e.g. other regulators or litigants) are taking relevant action inrelation to the same breach.If Monitor considers that discretionary requirements are needed to ensure a breach not continue,it is likely that Monitor will impose a compliance requirement.In considering whether requirements are needed to deter further breaches by the provider,Monitor proposes to assess, amongst other relevant factors:Whether the provider knew, or should have known, that its actions would risk noncompliance;this may include evidence that the breach was genuinely accidental and thatthe provider has already taken steps to avoid non-compliance;How much the provider has gained, or is expected to gain, from the breach - relevantbenefits may include financial and other benefits such as reputational benefits; Whether the provider has taken steps that suggest the breach in question will not recur -this could be, for example, by:oooonotifying the breach to Monitor as soon as it was identified;voluntarily taking effective steps to ensure that the breach is remedied and to limitthe risk of further breaches taking place in future;cooperating generally with Monitor’s enquiries and requirements; ortaking action to compensate those affected.Whether the breach could represent part of a pattern of non-compliance, emerging orotherwise, such that Monitor considers that imposing requirements is necessary toincentivise compliance in the future; andWhether any third parties (e.g. other regulators or litigants) are taking relevant action inrelation to the same breach.Monitor is likely to impose a discretionary requirement if we are satisfied that it is needed to deterfuture breaches. A compliance requirement is likely to be appropriate if there are practical stepswhich Monitor could require of the provider in order to ensure that the breach not recur. Thegreater the risk of future breach, the greater the likelihood that Monitor will impose a variablemonetary penalty (whether instead of or in addition to other discretionary requirements) in orderto deter a recurrence.Page 20 of 50
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- Page 82 and 83: EnforcementGuidance28 March 2013Mon
- Page 84 and 85: ForewordThe Health and Social Care
- Page 86 and 87: 1 IntroductionThe Health and Social
- Page 88 and 89: Table 1.1 Monitor’s enforcement p
- Page 90 and 91: Licence enforcementDiscretionary re
- Page 92 and 93: Competition lawMonitor has concurre
- Page 94 and 95: 2 PrioritisationThis chapter sets o
- Page 96 and 97: We also recognise that the actions
- Page 98 and 99: 3 Imposing discretionary requiremen
- Page 102 and 103: Deterring similar breaches by other
- Page 104 and 105: An important objective of imposing
- Page 106 and 107: 4 Enforcement - case procedures4.1
- Page 108 and 109: provide regular case updates to par
- Page 110 and 111: including in the application eviden
- Page 112 and 113: In certain circumstances, Monitor m
- Page 114 and 115: Non-compliance penaltiesUnder sched
- Page 116 and 117: Notice of Intent (section 90)Where
- Page 118 and 119: • any incidental or consequential
- Page 120 and 121: Monitor will have concurrent powers
- Page 122 and 123: the first two decision-making point
- Page 124 and 125: Non-compliance penaltiesA provider
- Page 126 and 127: AnnexMonitor’s powers of enforcem
- Page 128 and 129: a) has provided, or is providing, a
- Page 130 and 131: c) the matters likely to be taken i
- Page 132 and 133: Monitor, 4 Matthew Parker Street, L
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- Page 148 and 149: Job DescriptionPOST TITLEREPORTS AN
SeriousnessMonitor will take into account a range of relevant factors in assessing seriousness, including:the nature and the scale of the harm that a breach or potential breach has caused or iscapable of causing to health care service users. Monitor intends to assess:ooooowho has been or is likely to be affected;the extent to which any harm could be reversed or remedied;the number of health care service users affected, or potentially affected,whether directly or indirectly;the actual or potential impact on those health care users;the duration of any harmful effects of potential effects;whether the provider knew or should have known that its actions would risk noncompliance;and/orwhether the provider has committed a breach before.The more serious the breach, the more likely Monitor will be to impose discretionaryrequirements.Ensuring provider complianceMonitor will consider what action may be needed to ensure: that a breach not continue; and/orthat the provider end the breach and not repeat it. Monitor will also consider what forms ofintervention may be needed to deter similar breaches from recurring.In considering whether requirements are needed to ensure that a breach not continue, Monitorproposes to assess, amongst other relevant factors:whether the breach has been brought to an end;if the breach is continuing, what steps the provider has taken and/or proposes to takevoluntarily in order to bring the breach to an end;whether, if the provider has proposed voluntary steps, it would still be beneficial to ensurethat the breach does not continue by imposing requirements relating to those proposedsteps;whether there are other steps which Monitor considers should be taken in order to ensurethat the breach not continue; andPage 19 of 50
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