CQC Prosecutions and Offences: Which Regulations Can CQC Prosecute?

CQC Prosecutions and Offences: Which Regulations Can CQC Prosecute?

Not every breach is an offence. Here is the list: what CQC can prosecute without a warning notice, what needs harm, and what leads to other regulatory action.

CQC can prosecute some breaches directly, without first serving a warning notice, including Regulation 11 (consent), 16(3), 17(3), 20 (duty of candour), 20A (displaying ratings) and several notification regulations. For Regulations 12, 13 and 14, it can prosecute only if the breach results in avoidable harm, significant risk of harm, or (for Regulation 13) loss of money or property through theft or misappropriation. For other regulations, CQC takes other regulatory action.

CQC’s offences page (CQC: offences) is short but important. It explains which regulations carry criminal offences and what extra conditions apply. It is the key to understanding how serious a breach is.

This guide organises it for registered managers and nominated individuals. It is general information, not legal advice, and prosecution decisions follow CQC’s enforcement policy. See CQC enforcement action explained.

Offences CQC Can Prosecute Directly

Under the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, CQC may prosecute these without first issuing a warning notice:

A defence is available to all of these where the registered persons took all reasonable steps and acted with all due diligence (Regulation 22(4)). See Regulation 11, duty of candour, Regulation 20A and Regulation 17.

Offences That Need Harm or Risk of Harm

For these, prosecution needs a further qualification: the breach results in people using services being exposed to avoidable harm or significant risk of such harm, or suffering loss of money or property through theft, misuse or misappropriation.

• Regulation 12: safe care and treatment. See Regulation 12 explained.
• Regulation 13: safeguarding from abuse and improper treatment (13(1) to 13(4)).
• Regulation 14: nutritional and hydration needs. See Regulation 14 explained.

Registration Regulations: Notifications and More

Under the Care Quality Commission (Registration) Regulations 2009, these can be prosecuted directly, with no requirement for anyone to have been harmed:

• Regulation 12: statement of purpose
• Regulation 14: notice of absence
• Regulation 15: notice of changes
• Regulation 16: notification of death of a person using the service
• Regulation 17: death or unauthorised absence of a detained person
• Regulation 18: notification of other incidents
• Regulation 19: fees
• Regulation 20: termination of pregnancies

This is why notifications matter. See notifiable events, registered manager absence, CQC annual fees and statement of purpose.

Regulations Where CQC Takes Other Action

For the remaining regulations, CQC says it can take other regulatory action as set out in its enforcement policy. These include Regulations 9, 10, 13(5) to 13(7), 15, 16(1) and (2), 17(1) and (2), 18, 19, 20(1), 20(2)(b) and 20(4) to (7), plus Registration Regulations 13 and 22A. Examples: Regulation 15 (premises and equipment) and Regulation 18 (staffing).

Important: if the evidence about one of these regulations also demonstrates a breach of a prosecutable regulation, CQC may decide to prosecute for that other offence. A staffing failure that results in avoidable harm, for example, can become a Regulation 12 case.

What Prosecutions Look Like in Practice

CQC’s learning resources describe real prosecutions for failing to provide safe care and treatment: a care home provider prosecuted over choking risk where SALT advice was not acted on and records were not updated; a provider and registered manager fined after a fatal fall from an unrestricted window; and a provider convicted after a resident’s serious leg injuries in a communal wheelchair with known risks that were not assessed. Fines and conditions follow, and the same services often face enforcement and rating action too. See learning from safety incidents.

How to Protect Yourself

• Meet deadlines for CQC requests (28 days for Regulation 16(3) and 17(3) information).
• Notify promptly and keep records of what you sent and when.
• Display ratings within 21 days of publication.
• Assess, mitigate and record risks, and act on incidents quickly.
• Document due diligence: audits, minutes, decisions and evidence that you took all reasonable steps.

CQCLogic’s notification tracker, audit schedule, incident log and task tracking help you show those steps. It records and reminds; legal decisions need legal advice.