• With nearly two months to go, there have already been 15 successful prosecutions by CQC this year.
  • That is the highest number of convictions by CQC  in any calendar year.
  • Only five cases involved deaths. This suggests that CQC has lowered the threshold of harm in relation to prosecutions.
  • Safety remains the main theme of prosecutions, though CQC is now also regularly prosecuting for breach of the duty of candour.
  • The fines are highly variable. Whilst not strictly applicable to CQC cases, the Definitive Sentencing Guideline for Health and Safety Offences, Corporate Manslaughter and Food Safety and Hygiene Offences guides courts to determine fines according to
    • The turnover of the defendant; and
    • its culpability; and
    • harm (determined by multiplying the seriousness of the harm against the likelihood of harm).
  • In determining the culpability, sentencing courts will consider the extent to which standards were followed. Significant efforts to address risk is consistent with low culpability.  Failing to comply with standards, failing to make appropriate changes and allowing breaches to subsist over a long period are all consistent with high culpability.
  • To mitigate the risks of high fines, as well as incidents occurring in the first place, providers should accordingly be able to evidence a strong culture of compliance supported by effective systems, training and audits.
  • In addition to CQC prosecutions, one care provider was convicted of corporate manslaughter and sentenced to a fine of over £1million in relation to the death of a resident from scalding in a hot bath. There have also been prosecutions of individuals for ill-treatment and wilful neglect with both convictions and an acquittal.
Date Provider Facts Fine
8 January 2021 Five Star Homecare Leeds Ltd Unregistered domiciliary care agency. £1,500 fine, £10,380.91 costs.
2 February 2021 Freemantle Trust Failures in policies and procedures that enabled an untrained agency worker to carry out oral suctioning. £2,000 fine, £7,000 costs.
4 February 2021 St John’s Nursing Home Limited Resident death following fall from care home window with inadequate restrictor. £80,000 fine, £3,474 costs.
9 March 2021 Richmond Psychosocial Foundation International Change of care and support offered at service for people with eating disorders and mental health issues.  A resident took their life that CQC attributed to the changes. Provider: £40,000 fine, £2000 costs.

 

Manager: £3,000 fine, £10,000 costs.

23 April 2021

 

Oakdene Care Home Limited Fall from hoist leading to injuries.  Resident died in hospital a few days later.

 

£10,000 fine, £12,915.88 costs.
30 April 2021 Spire Healthcare Limited Failure to comply with duty of candour in relation to surgical procedures, leading to prolonged pain and requirement for remedial surgery. £5,000 fine, £14,984.36.
7 May 2021 Ideal Care Homes (Number One) Ltd Attack on a resident in a residential care home by another resident who had been physically aggressive frequently in the past. £140,000 fine, £14,361 costs.
18 June 2021 East Kent Hospitals University NHS Foundation Trust Failures in safe care during delivery of baby resulting in the baby’s death at 7 days. £733,000 fine.

£28,000 costs.

29 June 2021 Lanemile Limited Death caused by blocked catheter. £80,000 fine, £17,000 costs.
14 July 2021 Girl Friday Somerset Limited Unregistered domiciliary care agency. £5,000 fine, £11,141 costs.
16 July 2021 Kingfisher Domiciliary Home Care Limited Unregistered domiciliary care agency. £5,000 fine, £2,000 costs.
23 July 2021 Teignbridge House Care Home Limited Fall from window causing life-changing injuries. £21,000 fine, £12,491 costs.
2 September 2021 Pemberdeen Laser Cosmetic Surgery Clinic Limited Failing to display CQC rating. £500 fine, £4,520 costs.
17 September 2021 Unnamed. A resident was raped by another resident who had regularly displayed inappropriate verbal and physical sexualised behaviour. £363,000 fine, £12,441.28 costs.
1 October 2021 Lifeways Community Care Ltd A resident caused life-changing injuries to another resident after trapping him in a room.  Only agency staff were on duty who did not have access to the room codes to stop the attack. £460,000 fine, £35,000 costs.

 

Please contact Healthcare Counsel if you need  help with any CQC matters, or other regulatory issues:

Jonathan Landau, Barrister

5 Chancery Lane
London, WC2A 1LG
DX: 182

Telephone: 0207 406 7532

Mobile: 07980 897 429

Email: jlandau@healthcarecounsel.co.uk

 

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