The changing face of enforcement
The regulatory environment
Recent prosecutions have highlighted the significant legal risks faced by registered managers in care environments, with penalties reaching tens of thousands of pounds for those who fail to maintain adequate standards, in care management . Carl May-Smith, barrister at law firm Browne Jacobson, explains how this growing trend of personal accountability demands careful attention from professionals in the sector.
Registered managers in care environments face levels of legal scrutiny and personal liability that are arguably higher than most other regulated sectors.
While they have long faced the theoretical risk of prosecution for safety failings, especially in the event of a serious incident, there has been an evolution in accountability in recent years.
A regulatory shift in the enforcement of care standards has created a complex landscape that managers must carefully navigate to protect both their residents and their careers.
The changing face of enforcement
The regulatory environment has transformed dramatically since 2015, when the Care Quality Commission (CQC) expanded its enforcement role.
While traditional regulators like police, fire and local authorities typically target organisations and their directors, reserving prosecution of managers for cases of extreme recklessness or bad faith, the CQC has charted a different course. It increasingly holds individual managers accountable, even in cases where they’re not directly involved in incidents.
Recent cases highlight this trend’s serious implications. Two managers faced substantial penalties: a £10,000 fine for a Warwickshire care home manager and a £55,000 penalty for a Lancashire facility’s registered manager, both for failing to protect residents adequately. These cases demonstrate the CQC’s willingness to pursue individual prosecutions rather than targeting care organisations themselves.
Understanding personal accountability and protecting against liability
The scope of personal liability extends far beyond direct involvement in incidents. Managers can face unlimited fines for various offences, including safety regulation breaches and consent issues.
Unlike police investigations into wilful neglect or gross negligence manslaughter, which require proof of severe dereliction of duty, CQC prosecutions can stem from systemic failures or breakdowns in process adherence by staff.
While following organisational systems generally provides legal protection, managers must maintain active involvement in daily operations.
Success requires balancing multiple responsibilities – implementing leadership directives, monitoring staff compliance and maintaining clear communication channels throughout the organisation.
Documentation becomes crucial, with comprehensive audit trails serving as vital evidence of diligent management.
However, blind adherence to organisational policies isn’t enough. Managers must exercise independent judgement, challenging inappropriate policies and requesting additional resources when necessary.
Active management
Effective risk management in today’s regulatory environment requires a proactive approach.
Managers should maintain detailed records of all communications, especially regarding safety concerns and policy challenges.
Regular involvement in daily operations, combined with systematic documentation of decisions and actions, provides the best protection against potential liability.
The role demands more than just following procedures; it requires active engagement with both staff and leadership, ensuring that care standards remain high and risks are promptly addressed.
While the responsibilities may seem daunting, understanding these obligations and maintaining proper documentation can help managers navigate their duties successfully while protecting themselves from legal consequences. https://www.brownejacobson.com/
