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Locations without a registered manager - FAQs

  • Organisations we regulate

1. Which providers need a registered manager?

Regulation 5 of the Care Quality Commission (Registration) Regulations 2009 requires us to impose a registered manager (RM) condition on the registration of most providers. The exceptions are NHS providers, and individual providers who have been assessed as fit to carry on the regulated activity, and who intend to be in full time charge of the running of the service. In those cases, we have the discretion to impose a registered manager condition.

This means it is possible for any provider to have a registered manager condition, and if there is a condition on the registration certificate at either location or provider level there must be a registered manager.

If the provider believes that a registered manager condition has been incorrectly applied to their registration they must contact us at the earliest opportunity explaining why they believe this to be the case.

2. When would it be inappropriate to serve a Fixed Penalty Notice?

Any provider who has a registered manager attached to their registration is in breach of that condition if they don’t have a registered manager. This is an offence under s33 (b) HSCA, unless the provider has a 'reasonable excuse'.

Situations in which a provider might have a reasonable excuse, making it inappropriate to serve a fixed penalty notice (FPN) might be:

  • A new manager application has been received by us.
  • A cancellation / remove location application has been received.
  • A location is currently dormant (in accordance with our dormant services policy).
  • A location is currently subject to other enforcement action regarding a breach of manager condition or is subject to an enforced cancellation.

Please note, a DBS application does not constitute a CQC application.

3. What if a provider has a notice stating they no longer have a registered manager condition?

When the legislation requiring registration with us changed, a large number of providers were registered under the transitional regulations. At that time, if there was no registered manager in place at a particular location, a ‘time limited’ condition was applied. Subsequently we made a decision to remove these conditions. This did not mean that the provider was no longer required to have a registered manager. The requirement for a registered manager to be in place is clearly stated on providers’ registration certificates.

4. Can a provider appeal against the fixed penalty notice (FPN)?

No - there is no appeal against an FPN.

When we serve an FPN, it is an offer to the provider to discharge their liability for an offence by paying the fine. They do not have to accept that offer, and if they object they should simply refuse it.

Usually, because we are satisfied that an offence has been committed before we issue an FPN, the next step will be to prosecute. If the provider believes they have ‘reasonable excuse’ for not having a registered manager then they should inform us of that so we may consider whether it is appropriate to withdraw the FPN.

If a provider accepts the FPN, they have 28 days in which to pay the fine. If they do not do so, we must again decide whether to prosecute them.

If we decide to prosecute for this offence and the provider is found guilty of operating in breach of a condition of their registration they will face a fine not exceeding £50,000 (s33 HSCA).


Last updated:
12 September 2018