Summary
This article sets out the most common errors providers make during the enforcement process, from missing deadlines to failing to reflect on their service. It explains what to watch out for and how to avoid falling into the same traps.
When a regulator takes enforcement action, time is tight and emotions are high. In that environment, it’s easy to make mistakes — but the cost of getting things wrong can be serious.
Here are the most common pitfalls providers fall into when dealing with a Notice of Proposal or Notice of Decision, and how to avoid them.
1. Leaving It Too Late to Get Advice
One of the most common problems is providers waiting too long to get legal or consultancy input.
You only get 28 days to respond to a Notice of Proposal. That time disappears quickly — especially if you’re trying to gather evidence, prepare documents, or manage the day-to-day pressures of running a service.
Early advice can make a huge difference to the strength of your response.
2. Submitting Weak or Rushed Representations
Many providers try to draft their own representations. Sometimes that works — but often, it doesn’t go far enough.
The regulator is looking for structured, evidence-based responses that directly address the concerns raised. A general statement saying, “we’re working on it” won’t do.
You need to:
- Explain what happened
- Show what’s been/being done to fix it
- Provide documents that back it up
3. Not Reflecting on the Real Issues
Some providers go on the defensive when they receive a notice. That’s natural — but it can lead to missed opportunities.
Taking time to reflect honestly on your service is critical. Enforcement is often a signal that something really does need to change.
As Lucy Bowker puts it: “It’s about taking real stock of your company and where things have gone wrong. Taking responsibility and putting things right.”
Whenever the regulator has raised a concern that is not a correct reflection of the facts, this should be corrected and ideally be supported by robust evidence.
4. Ignoring Advice
This is one of the harder issues to talk about, but it matters. Providers sometimes receive good advice — from lawyers, consultants, or even staff — and don’t act on it.
Change is difficult, especially under pressure. But if a regulator sees that you’ve had support and still haven’t made progress, they’re less likely to hold back.
Listening — and acting — is just as important as getting advice in the first place.
5. Treating the Notice as the End of the Road
Some providers assume that once they’ve received a Notice of Decision, it’s over.
But there are still options. You can appeal. You can work towards reinspection. You can rebuild. The tribunal process takes time and you can use this time to make any necessary improvements to demonstrate compliance with the regulations. Remember, the tribunal looks at the case with a fresh pair of eyes and makes its final decision based on the position of the service at the time the decision is being made. Therefore, improvements will be considered.
The vast majority of cases we work on don’t make it to a final hearing as matters are resolved with the regulator before this stage. There is scope for negotiation and resolution along the way.
Even if you decide not to appeal, this isn’t necessarily the end of your organisation. But it is a moment to reflect, learn, and move forward with a clear plan.
Avoiding these common mistakes doesn’t guarantee success — but it gives you a much better chance of building a robust case, protecting your service, and coming out stronger.
About the Author
Associate
Tel: 01483 451 900
Email: Lucy@gordonsols.co.uk