P rovider Compliance Assessments Helen Pettengell Judi Burwood

Information analysis Information Capture Application made Application assessed Judgement made System entry Judgement published Ongoing monitoring compliance Judgement On risk Regulatory judgement Regulatory response

Happy Days Retirement Home, Nowhere in Hertfordshire AL1 1CR Summary of our latest checks on the standards you have the right to expect Standards of treating people with respect and involving them in their care Standards of providing care, treatment & support, which meets people’s needs Standards of caring for people safely and protecting them from harm Standards of staffing Standards of management Improvements required

What are you expected to comply with ? Two pieces of legislation. Health & Social Care Act 2008 (Regulated Activities) Regulations CQC (Registration) Regulations Regulations. Essential Standards translate the regulations into expected outcomes and are legally required.

A different Approach from CQC Compliance inspectors are now generic across ALL services. Focus on outcomes rather than inputs. All visits to a service includes observation. Policies & Procedures not examined as a matter of routine. A service should be compliant with the regulations at ALL times.

Monitoring Compliance Focus of compliance will be on the 16 essential standards. Level of compliance determines level of review and regulatory action within CQC. Planned reviews & responsive reviews. Review of compliance report. Provider compliance assessment.

Current Focus CQC are now currently ensuring ALL social care providers have a compliance visit. More likely to be focused Will not routinely request PCAs

Encouraging responsibility A service should be compliant with the regulations at ALL times. Provider is responsible for identifying & managing non compliance. Making improvements. Quality of the care provided.

Provider Compliance Assessment The PCAs relate to 16 out of 28 regulations that relate directly to the quality and safety of care. Providers must have evidence that they meet the outcomes.

Essential Outcome Areas Outcome 1 – Respecting & involving people who use services. Outcome 2 – Consent to care & treatment. Outcome 4 – Care & welfare of people who use services. Outcome 5 – Meeting nutritional needs. Outcome 6 – cooperating with other providers. Outcome 7 – safeguarding people who use services from abuse. Outcome 8 – Cleanliness & infection control. Outcome 9 – Management of medicines.

continued Outcome 10 – Safety & suitability of premises. Outcome 11 – Safety, availability & suitability of equipment. Outcome 12 – Requirements relating to workers. Outcome 13 – Staffing. Outcome 14 – Supporting workers. Outcome 16 – Assessing & monitoring the quality of service provision. Outcome 17 – Complaints. Outcome 21 – Records.

Essential Standards of Quality & Safety

The judgement Framework

The Purpose of the PCA Self Assessment tool Use it routinely or Ad Hoc Not mandatory Detail compliance/non compliance

Provider Compliance Assessments Will not routinely request prior to a review Can request some or part of a PCA Request should not exceed 5 PCAs Must submit within the specified timescale

Provider Compliance Assessment continued Do not have to use CQC tool Each PCA should ONE location only You do NOT need to complete a PCA for each regulated activity.

How to complete the PCA Focuses on outcomes. Peoples experiences & views. Involved & listen to.

What is outcome evidence? Evidence that centres on what it is like for the person receiving services The impact of policies, procedures & systems Evidence relating directly or indirectly from the people who use the services

Summary Download PCAs - do not need to use CQCs format Work on them in word Tell the truth Repetitive Keep them updated

Future Consultation Current consultation on the judgement & enforcement policy Simplifying the regulatory model More targeted - swift action if non compliant

Consultation continued: CQC will continue to make scheduled, responsive & themed inspections of services Unannounced & at least an annual inspection Targeted QRP Setting the Bar incorporated into judgement framework

Continued: Compliant or non compliant Focus on identifying areas of non compliance Where non compliance found judgement on impact on people will be made after Confidence in provider Escalating scale of enforcement Level of impact on people for each regulation deemed non compliant. Will publish a summary of warning notices

Other reviews of methodology The government was consulting on the scope of registration Proposal for new form of notice

Future themed inspections On top of the planned & responsive reviews: More inspections on dignity and nutrition in 2012 Themed inspection programme of home care services.

Outcome 1: Respecting and involving people who use services (Regulation 17).

Outcome 4: Care & welfare of people who use services (Regulation 9)

Outcome 6 Cooperating with other providers. People receive safe and coordinated care when they move between providers or receive care from more than one provider (Regulation 24).

Outcome 7: Safeguarding people who use services from abuse (Regulation 11).

Outcome 9: Management of Medicines (Regulation 13)

Outcome 16: Quality & Management Assessing & monitoring the quality of service (Regulation 10)

How to contact us – Helen Pettengell – Judi Burwood