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The Care Quality Commission (CQC) holds extensive criminal enforcement powers, enabling it to prosecute individuals and organizations or issue fixed penalty notices and simple cautions. These powers primarily apply to registered providers and certain individuals within those organizations, such as directors and managers.
Typically, the CQC initiates criminal proceedings only under specific circumstances:
- The breach is deemed serious.
- There are multiple or repeated violations.
- Sufficient evidence exists to support a realistic chance of conviction.
- Pursuing prosecution is considered to serve the public interest.
As of mid-2024, the CQC reported conducting 155 prosecutions since 2009, with 58 cases—over a third—occurring in the past three years alone. This data underscores the CQC’s increasingly proactive stance on addressing regulatory breaches, particularly against those operating without proper registration.
Prosecutions by the CQC have addressed various offenses, including:
- Conducting regulated activities without proper registration (Health and Social Care Act 2008, Section 10).
- Failing to provide safe care, resulting in avoidable harm or risk (Regulated Activities Regulations 2014, Regulations 12 & 22).
- Neglecting to protect individuals from abuse or improper treatment (Regulation 13).
- Failure to notify the CQC of specific incidents (Regulations 16 & 22).
- Failing to display CQC performance ratings (Regulation 20A).
- Refusing to provide information deemed necessary for CQC functions (Health and Social Care Act 2008, Section 64).
Of the 155 cases, only six resulted in pleas of “Not Guilty,” and just one of those was successful in avoiding conviction. The fines imposed have ranged widely—from £100 to over £2.5 million—depending on factors such as the severity of the offense, harm caused, and the financial circumstances of the offender. Early guilty pleas can often result in significant reductions to fines.
One notable case involved a care home fined £24,000 in May 2024 for failing to provide safe care, resulting in the death of a vulnerable resident. The provider also faced penalties for breaching the duty of candor, alongside additional legal costs and victim surcharges.
Another case that same month saw a director of a gynaecology service prosecuted for operating without CQC registration. This resulted in a suspended 16-week prison sentence, mandatory unpaid work, and financial penalties.
For individuals or organizations facing CQC prosecution, seeking prompt legal advice is essential. Engaging with the investigation early and responding strategically can help mitigate risks, potentially avoiding court proceedings altogether. Those prosecuted should ensure they are appropriately represented to safeguard their reputation and minimize penalties.
