Using our system as part of your defence in a CQC investigation
Case Study: False claims by disgruntled staff
Date: August 2025
Account by: Practice Manager
Location: Manchester
The CQC Complaint
Several disgruntled ex-employees got together to file “whistleblowing” complaint against the practice. The allegations included equity of access; failings in admin and governance; insufficient staff; stress at work; bullying and harassment; freedom to speak up …… and the kitchen sink !
We had no idea what evidence had been submitted to support the complaint.
- We had four days to respond.
- Failure to provide assurance would trigger a same-day unannounced visit.
How We Prepared
- Preparation extended well beyond documents.
- Reception and Admin staff focused on patient communication protocols, clinicians reviewed compliance logs, and managers checked evidence folders and were ready with an action plan.
- Clear communication ensured that everyone understood their responsibilities if inspectors arrived without notice.
How We Responded
- We acknowledged shortcomings where appropriate and presented clear action plans to address any gaps.
- We countered inaccurate claims with a robust defence supported by actual evidence.
- We showed our best in class “inspection-ready” system, incorporating a full annual compliance plan, and pointed the CQC to our suppliers web site
The Outcome
The CQC accepted our defence and were assured that we had a robust Quality Management System in place.
The case was closed and all action suspended.
What Saved the Day
The ability to compile a convincing defence in a professional manner is critical. Having dealt with inspectors over many years, the first port of call was to connect with the inspector to establish a working relationship. Familiarity with all types of systems from Ardens to TeamNet, and from Practice Index, QCS and FPM, made evidence gathering that much easier.
For Governance side, just 3 months ago we purchased a Quality Standards System that is fast becoming a National Standard. We explained this system to the CQC, and they checked out our supplier site.
With virtually no preparation, we were able to assure the Inspector that: -
- We had an ISO 9001:2015 “inspection-ready anytime” system, incorporating a full annual compliance plan
- It was a recognised Governance system to demonstrate HSCA and CQC Guidance compliance
- We had an “Interview-ready” staff handbook, including Appraisals, personal development; competency and knowledge; critical policies
- The system created a culture of self-responsibility and engagement where staff monitored their own competency; trained each other; and organised their own workshops
Key Takeaways: When dealing with a potential investigation
- Demonstrate you are Well-Led and well managed; show that this was just an anomaly
- Demonstrate that you have a robust Governance System; show how you operate in practice
- Prepare your systems early; It's too late to start when they knock on the door
Product used:
Quality Standards Manual: A structured approach to being inspection-ready anytime
Staff Passports: A personal Staff Development handbook for every member of staff, containing Appraisals, CPD record; Best Practice Knowledge; Key Policies. Creates a culture of self-responsibility and teamwork.
