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 ...
An important objective of imposing a penalty is deterring similar conduct in future. The amount ofany penalty must be sufficient to ensure that it will act as an effective incentive to compliance,having regard to the seriousness of the breach. The factors Monitor will take into account,therefore, include amongst other relevant considerations:the seriousness of the breach;ensuring provider compliance;deterring similar breaches by other providers; andthe proportionality of a variable monetary penalty to the nature of the breach.The factors relevant to each of these considerations are described in section 3.3 above.As well as these matters, Monitor will consider any relevant aggravating and mitigating factors.Penalties are likely to be higher when we identify one or more aggravating factors. Aggravatingfactors could be, but are not limited to, where:Monitor has previously imposed a discretionary requirement on, or accepted anenforcement undertaking from, the relevant provider concerning similar or related matters;there is a positive intent to contravene, in that the provider must have been aware, orcould not reasonably have been unaware, that its conduct would lead to a breach; ora provider has not cooperated with Monitor’s investigation.Penalties are likely to be lower when we identify relevant mitigating factors. Mitigating factorscould be, but are not limited to, where:a provider takes timely and effective action to remedy the effects of a breach, includingaction to restore any actual or potential harm caused;a provider self-reports a breach; ora provider has cooperated fully with Monitor’s investigation and requirements.Page 23 of 50
3.5 Enforcement undertakingsA provider may offer an enforcement undertaking during the course of a formal investigation.Monitor may accept the undertaking if we have reasonable grounds to suspect that the provideris, or was, in breach of a licence condition, the requirement to hold a licence, or a requirement tosupply Monitor with information. An enforcement undertaking may include a commitment to takesteps to secure that the breach in question does not continue or recur. A provider may alsoundertake to restore the position to what it would have been had the breach in question notoccurred, or action (including the payment of a sum of money) to benefit any other licence holderor commissioner affected by the breach.The decision whether to accept an enforcement undertaking, rather than to continue aninvestigation and potentially impose discretionary requirements, is at Monitor’s discretion and willdepend on the circumstances. In considering an enforcement undertaking offered by a provider,Monitor intends to take into account the factors outlined in section 3.3 above.Agreed enforcement undertakings may be less burdensome on the provider than thediscretionary requirements which Monitor would otherwise have imposed. This is in recognition of:the cooperation demonstrated by that provider; andthe fact that Monitor is then able to devote resources to other matters on the basis thatMonitor can stop pursuing an investigation or parts of an investigation.We intend to maintain a register of enforcement undertakings. We are likely to require providersthat have given undertakings report on compliance. Any reporting commitments will be agreed aspart of the agreement of the enforcement undertaking as a whole.If the relevant provider complies with the enforcement undertaking, Monitor cannot take furtheraction in relation to the relevant breach or suspected breach. For example, having acceptedundertakings which are then complied with, Monitor cannot seek to impose additionaldiscretionary requirements or to revoke the provider’s licence in relation to the same breach.Failing, or partially failing, to comply with an enforcement undertaking accepted by Monitor mayresult in the imposition of a discretionary requirement.Page 24 of 50
- Page 54 and 55: Board of Directors Part 114 June 20
- Page 56 and 57: Board of Directors Part 114 June 20
- Page 58 and 59: Board of Directors Part 114 June 20
- Page 60 and 61: Board of Directors Part 114 June 20
- Page 62 and 63: Board of Directors Part 114 June 20
- Page 64 and 65: Board of Directors Part 114 June 20
- Page 66 and 67: Board of Directors Part 114 June 20
- Page 68 and 69: Board of Directors Part 114 June 20
- Page 70 and 71: Board of Directors Part 114 June 20
- Page 72 and 73: Board of Directors Part 114 June 20
- Page 74 and 75: Board of Directors Part 114 June 20
- Page 76 and 77: Board of Directors Part 114 June 20
- Page 78 and 79: Board of Directors Part 114 June 20
- Page 80 and 81: Board of Directors Part 114 June 20
- 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 100 and 101: SeriousnessMonitor will take into a
- Page 102 and 103: Deterring similar breaches by other
- 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
- Page 134 and 135: Board of Directors - Part I14 th Ju
- Page 136 and 137: Board of Directors - Part I14 th Ju
- Page 138 and 139: Board of Directors - Part I14 th Ju
- Page 140 and 141: Board of Directors - Part I14 th Ju
- Page 142 and 143: Board of Directors Part I14 th June
- Page 144 and 145: Board of Directors Part I14 th June
- Page 146 and 147: BOARD OF DIRECTORSMeeting Date and
- Page 148 and 149: Job DescriptionPOST TITLEREPORTS AN
- Page 150 and 151: MEDICAL LEADERSHIPAs Medical Direct
- Page 152 and 153: PERSON SPECIFICATIONQualifications:
An important objective of imposing a penalty is deterring similar conduct in future. The amount ofany penalty must be sufficient to ensure that it will act as an effective incentive to compliance,having regard to the seriousness of the breach. The factors Monitor will take into account,therefore, include amongst other relevant considerations:the seriousness of the breach;ensuring provider compliance;deterring similar breaches by other providers; andthe proportionality of a variable monetary penalty to the nature of the breach.The factors relevant to each of these considerations are described in section 3.3 above.As well as these matters, Monitor will consider any relevant aggravating and mitigating factors.Penalties are likely to be higher when we identify one or more aggravating factors. Aggravatingfactors could be, but are not limited to, where:Monitor has previously imposed a discretionary requirement on, or accepted anenforcement undertaking from, the relevant provider concerning similar or related matters;there is a positive intent to contravene, in that the provider must have been aware, orcould not reasonably have been unaware, that its conduct would lead to a breach; ora provider has not cooperated with Monitor’s investigation.Penalties are likely to be lower when we identify relevant mitigating factors. Mitigating factorscould be, but are not limited to, where:a provider takes timely and effective action to remedy the effects of a breach, includingaction to restore any actual or potential harm caused;a provider self-reports a breach; ora provider has cooperated fully with Monitor’s investigation and requirements.Page 23 of 50