Care Quality Commission (CQC) Investigations

An investigation into a health or social care service by the Care Quality Commission (CQC) can have significant professional consequences. If inspection reports reveal regulatory non-compliance, an investigation can result in enforcement action like fines, suspension, and, in serious circumstances, criminal prosecutions. For those in the health and social care sector, the CQC deciding to investigate or prosecute can represent the end of a career - even if they have done nothing wrong.

Individuals and organisations placed under investigation must take appropriate steps to defend themselves. The corporate and professional regulation team at JMW has significant expertise in supporting healthcare providers through CQC investigations. We can make sure that evidence is collected within the law, support you during interviews and advise you on building a suitable defence. 

To speak to a solicitor from our regulatory team, call us on 0345 872 6666 or complete our online enquiry form to request a call back at your convenience.

Why choose JMW?

The Business Crime and Regulatory team at JMW has a wealth of experience in representing health and social care providers during investigations. This includes monitoring to make sure all evidence is collected in accordance with the law and offering support during interviews. We can review key questions and prepare you to give evidence in compliance with your legal responsibilities. If you need to attend an inquest to give evidence, we can help you prepare and we can attend the inquest with you if required.

We will always endeavour to mount a strong defence for you and make sure that any enforcement action is fair and appropriate to the result of the investigation. If you are charged with a criminal offence, we can help you to build a legal defence. We can represent you at all stages of CQC investigations and prosecutions, from the initial inspections where evidence is gathered to any court proceedings or sentencing hearings. Where necessary, we will present mitigating circumstances to make sure sentencing is fair and not excessive.

Beyond this, JMW can make recommendations about regulatory compliance to help you meet all of your obligations. This includes complying with any conditions imposed by the CQC to help you avoid any further risk of prosecution.

What are the possible results of a CQC investigation?

The CQC can take several different enforcement actions if you are found to have breached its regulations. The regulator's approach will depend on the specifics of your case. No matter the nature of the investigation, JMW can assist you in mounting a legal defence and securing a fair outcome.

Among the most common actions taken by the CQC following investigations are:

• Warning notices: The CQC can issue warning notices to healthcare providers who are not complying with the required standards. These notices require providers to make specified improvements within a certain timeframe.
• Fines: The CQC can impose fines or fixed penalty notices on providers who have committed offences such as failing to register their service with the regulator as required by law.
• Suspension or cancellation of registration: A provider's registration may be cancelled or suspended, which effectively stops them from operating. This may occur if there is concern about a serious risk to service users or if the service fails to meet legal requirements.
• Restrictions on services: The CQC can impose conditions on a provider's registration and limit the services they can offer or how they are offered.
• Prosecution: In cases where providers fail to provide care and treatment in a safe way, resulting in harm or a significant risk of harm, the CQC can initiate criminal proceedings. This is typically reserved for the most severe breaches.
• Urgent action: If there is an immediate risk to health and safety, the CQC can take urgent action to restrict or stop a provider from operating. If the risk is deemed high enough, this can happen without following the usual processes.
• Special measures: Providers that are found to be providing significantly below-par services may be placed in special measures. This status means increased scrutiny and a set timeframe within which improvements must be made.

By speaking to the team at JMW at the outset of an investigation, health and social care providers can learn more about the outcomes they may be facing. This is also an opportunity to prepare for inspections or other evidence-gathering processes, and start to build a suitable defence.