A G E N D A 1. APOLOGIES FOR ABSENCE Ian Metcalfe 2 ...

4 Enforcement - case procedures4.1 IntroductionThis chapter outlines the general procedures that Monitor intends, in general, to follow whenconducting an investigation that may result in us taking formal enforcement action.This chapter focuses first on the procedures relevant to licence enforcement and to imposingdiscretionary requirements or accepting enforcement undertakings. Under schedule 11 of the Act,Monitor is bound to follow certain processes when taking such enforcement action.This chapter also outlines:the processes relevant to licence revocation;the processes Monitor intends to follow when using our additional powers where thegovernance of an NHS foundation trust is such that it is failing, or will fail, to comply withone or more of its licence conditions; andan introduction to the processes relevant to enforcement under competition law.As we explained earlier, we are following a similar approach to that set out in this guidance in‘translating’ breaches of NHS foundation trusts’ terms of Authorisation into appropriate regulatoryaction under the licence, to take effect as the licence comes into force. The processes we follow,however, are likely to be more bespoke than the case procedures set out in this section. Forexample, we do not intend to publish case initiations or consult on draft findings for this transitionactivity. We are currently working closely with the relevant foundation trusts.4.2 Enforcement procedures4.2.1 Case initiationWhen we become aware of a potential breach, we will consider how to proceed in accordancewith our prioritisation principles - see chapter 2. Where we decide to begin an investigation of apotential breach, we will notify the relevant party or parties and set out what Monitor isinvestigating, the key contacts at Monitor, and the expected timetable for the investigation.Information about the investigation will, where appropriate, be published on Monitor’s website.Monitor considers that publication of case details will generally be beneficial, as it will help tohighlight issues that are of concern to Monitor and deter inappropriate conduct, and help ensurethat all interested parties are aware of an issue and can provide relevant information.Page 25 of 50