Case Study: The far-reaching impact of regulatory proceedings 

Head of Olliers’ regulatory department, Gareth Martin, was recently instructed by the owner of a private health and wellbeing clinic following an inspection by the Care Quality Commission (“CQC”) which resulted in an urgent suspension of their registration for regulated activities including surgical procedures and the treatment of disease, disorder or injury. This was a devastating blow to the business and the owner on a personal level.

CQC suspension of registration

The concerns raised by the CQC inspectors were serious and extensive, covering fire safety, good governance, use of CCTV and procedures around medicines, all of which inspectors felt exposed service users to an un-necessary risk of harm and therefore justified the urgent suspension for a period of at least six months.

NMC Interim Orders hearing

To complicate matters further, the owner of the business is registered with the Nursing and Midwifery Council (“NMC”) and the CQC made a quite proper referral which led to the NMC listing a Interim Orders hearing in which they indicated their intention to seek an interim suspension of our client’s registration for 18 months.

Our client was understandably extremely anxious and feared for the future of her business, her own career but also those employed at the practice and the many service users who returned time and again over the years. To their credit, our client was pro-active and engaging from the outset. Working closely with Gareth and an external consultant, they took the concerns on board and immediately set about addressing the same.

Despite the admirable efforts of our client, the fact was that the concerns were so serious that a suspension of her NMC registration was a very real possibility.

Gareth instructed Lee Hughes of Lincoln House Chambers for the Interim Orders hearing and together with the client ensured that a comprehensive action plan and supporting evidence (running to over 300 pages) was available for the panel to consider.

To complicate matters, on the morning of the NMC hearing, we were informed that one of the registrant panel members was a senior employee with the CQC. The indication was that the panel did not consider this a major issue and wanted to proceed. Gareth and Lee immediately raised concerns given the potential for unconscious bias and more importantly the potential public perception for such bias if the panel member were to hear this matter. Lee presented an articulate and compelling recusal application which after some deliberation the panel accepted, and the hearing was adjourned.

Immediately after the adjourned hearing, Gareth made written submissions to the NMC asking them to reconsider their position in respect of the need for an interim order. Gareth highlighted the significant efforts of the registrant to address the concerns and suggested that there was absolutely no justification for immediate action by the regulator.

No NMC Interim Order made

Having reviewed the submissions and supporting evidence, the NMC decided not to pursue an interim order which was a huge relief to our client. Following this success, we moved to appeal the CQC decision to suspend the provider’s registration for six months. The appeal was listed for a hearing but Gareth again made written representations urging the CQC and their lawyers to conduct a review of the case and not oppose the appeal. After some deliberation, the CQC decided not to oppose the appeal and deal with it by way of a consent order. This was again a huge relief for our client.

Impact of regulatory investigations

The circumstances of this particular case highlight once again the far-reaching consequences that any regulatory intervention and investigation can have for an individual, their business, their employees and their service users.

It is absolutely critical to seek advice and assistance in such circumstances because not everything may be as bleak or indeed as straightforward as it first seems. In this case, one can safely say that without representation, the registrant’s NMC case would have likely proceeded and they may have been suspended. As a consequence, the CQC would have been less likely not to oppose the appeal and so in a matter of days a successful business and its owner could have been ruined.

Specialist regulatory solicitors

The regulatory team at Olliers have extensive experience in professional discipline and associated regulatory matters. We offer pragmatic advice and very much believe in a holistic approach which helps our clients deal with the business, legal and personal issues such proceedings give rise to.