Successfully challenging regulatory action proposed by the Care Quality Commission (CQC) after an unannounced inspection

Problem

• The Trust had experienced a breach of its internal controls; this had been identified by the Trust itself. Once the issue had been identified, the Trust swiftly implemented an action plan to address and learn from control weaknesses.  This was shared with the CQC when the Trust self-reported the issue.
• Shortly after reporting the issue, the Trust was subject to a targeted unannounced inspection by the CQC. This inspection resulted in the issuing of two Warning Notices.

Solution

• Analysed the findings of the CQC in relation to the evidence provided by the Trust, statutory and regulatory requirements.
• Engaged with the CQC to fully understand concerns and ensure appropriate understanding of the situation by both parties.
• Utilised understanding of regulatory frameworks and the application of these, to clearly identify those aspects of the CQC’s findings which were appropriate and those which were inaccurate and could be successful challenged.
• Drafted a clearly articulated response, with supporting information, which challenged inappropriate/inaccurate findings on the basis of evidence, statutory/regulatory interpretation and rational argument.

Outcomes and benefits

• Proposed regulatory action withdrawn and Trust’s “Good” CQC rating maintained.
• Trust’s good practice acknowledged.
• Good relations with CQC maintained.