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

3 Imposing discretionary requirements and accepting enforcementundertakings3.1 IntroductionMonitor may impose discretionary requirements where we are satisfied that a provider is, or was,in breach of a licence condition, or the requirement to hold a licence, or a requirement to supplyMonitor with information. A provider subject to a formal investigation may offer Monitor anenforcement undertaking which Monitor may accept instead of investigating further and,potentially, imposing discretionary requirements. Monitor may also accept enforcementundertakings from, others in breach of a requirement to provide us with information.This chapter outlines:the nature of the discretionary requirements that Monitor may impose;the factors that Monitor may consider in determining what requirements are needed;issues relevant to each requirement and how they may be implemented, including thefactors that Monitor may take into account when setting a variable monetary penalty; andwhen Monitor may accept enforcement undertakings.3.2 Discretionary requirementsDiscretionary requirements are formally specified in the Act and may be a:Compliance requirement: A compliance requirement is an instruction from Monitor to theprovider to take specified steps within a set period to secure that the breach not continueor recur. The principal focus of a compliance requirement is to secure compliance;Restoration requirement: A restoration requirement obliges the provider to take suchsteps within such period as Monitor may specify to secure that the position is, so far aspossible, restored to what it would have been, absent the breach. Restorationrequirements may also be used to compensate any affected party, including health careservice users and other providers. Such a requirement could require, for example, that theprovider gives up any gains it has made from the breach and restores the position of thosewho have suffered harm as a result; andPage 17 of 50