Alex Baylis Janet Ortega Care Quality Commission

1. The role of CQC and our work with Foundation Trusts Alex Baylis Janet Ortega Care Quality Commission FTGA Development Days – The Regulators – Workshop B

2. The Care Quality Commission 2 FTGA Development Days – The Regulators Monitor – Workshop B

3. There is a new system of regulating Health and Social Care All providers of health and adult social care are required to register with us to show they meet essential standards of quality and safety: NHS providers, adult social care services and independent healthcare all in 2010 Dental services and independent ambulance providers from 2011 Primary medical services including GP practices from 2012 3 FTGA Development Days – The Regulators Monitor – Workshop B

4. People can expect services to meet essential standards of quality, protect their safety and respect their dignity and rights. Independent healthcare A single system of registration Single system of registration Single set of standards Strengthened and extended enforcement powers Adult social care 1 Registration 2 NHS 3 FTGA Development Days – The Regulators Monitor – Workshop B

5. CQC’s guidance about compliance • The regulations mapped to six outcome headings: • Involvement and information • Personalised care, treatment and support • Safeguarding and safety • Suitability of staffing • Quality and management • Suitability of management Our focus: Plain English People focused Outcome based FTGA Development Days – The Regulators Monitor – Workshop B

6. Guidance about compliance FTGA Development Days – The Regulators Monitor – Workshop B

7. How we find out about how services are doing New information can come from a variety of sources: DRAFT People who use services, families and carers Providers Other regulatory bodies and Information Centre Staff and other professionals Other bodies eg. Ombudsman, commissioners CQC Assessors and Inspectors FTGA Development Days – The Regulators Monitor – Workshop B

8. Enforcement • When CQC makes a regulatory judgement we can take a number of different actions: • Maintain registration – no further action as compliant • Take Improvement Actions- if risk of becoming non-compliant • Take Compliance Actions – if non-compliant • Enforcement Actions – Civil or Criminal: • Civil Action • Statutory warning notice • Imposition or variation of conditions • Suspension of registration • Cancellation of registration • Criminal Action • Fines • Caution • Prosecution FTGA Development Days – The Regulators Monitor – Workshop B

9. We want Boards of Governors to Know who we are and what we do Help us develop how we regulate health and social care services Have contact with local Care Quality Commission staff to share information Know what we have done with any information you give us Work with us more closely as we monitor services 9 FTGA Development Days – The Regulators Monitor – Workshop B

10. Joining up CQC’s work with Monitor, FTGA and FT Network • CQC, Monitor, the FTGA and FT Network are meeting regularly to coordinate our work with Boards of Governors • We have worked together to develop proposals for how CQC involves Boards of Governors in our reviews of compliance – and how this fits with Monitor’s approach • A joint Monitor/ CQC letter is issued to newly appointed Boards of Governors explaining roles. We plan to issue a joint letter to all Boards of Governors about our respective roles later in the spring. • CQC wants to know what information and support governers need: we recently included questions in the Monitor Governors Survey. FTGA Development Days – The Regulators Monitor – Workshop B

11. Our proposals for how we work with Boards of Governors in future Step 1 Building an ongoing relationship between Boards of Governors and CQC Step 2 Working with Boards of Governors during a review of compliance Step 3 Taking action to improve care following a review of compliance FTGA Development Days – The Regulators Monitor – Workshop B

12. Step 1: Building an ongoing relationship with Boards of Governors • The local CQC compliance manager or lead inspector will make contact with the Board’s chair to introduce themselves • We can attend your Board of Governors meeting to explain the essential standards and our approach to monitoring services. We will tell the Board about how far the Trust complies with essential standards. • Your Board can share any information with us that you wish to about the quality and safety of the trust’s services – there is no onus on your Board to do this • We are interested in information that you gather as part of your duties – it may be positive or negative • CQC will have contact at least every six months with the Chair of the Board FTGA Development Days – The Regulators Monitor – Workshop B

13. How to share information with us 13 • Your Board can share information with us about the quality and safety of services at your trust or other local services at any time during the year – if it chooses to do so. • We are interested in information you gather as part of your duties as a Board, that relates to CQC’s essential standards. • If you prefer to produce some kind of annual or 6 monthly report for CQC, you can do this. • You can fill in a form and attach your reports through our website at www.cqc.org.uk/localvoices. 13 FTGA Development Days – The Regulators Monitor – Workshop B

14. What you can share with us 14 • Positive or negative feedback about service quality and safety – especially information from people who use services • Collective responses from the Board about services based on the evidence you have or the questions you have asked of your trust • Feedback from your members about local services and their care – this may include information about any local service provider, not just your Trust • We also hope you will raise any urgent concerns about quality and safety with us straight away if local solutions are not being found. 14 FTGA Development Days – The Regulators Monitor – Workshop B

15. Step 2: Working with Boards of Governors during a review of compliance • In preparing for a review of services at your trust, we will look at any information your Board has already shared with us • We will encourage the nominated trust officer to inform your Board when a review is taking place • The CQC compliance manager/inspector will decide whether to seek your Board’s views during a review. This will depend on the focus of the review. • We will be particularly keen to seek the views of the Board when: • the review looks at standards related to trust governance • we lack views of people who use services FTGA Development Days – The Regulators Monitor – Workshop B

16. Step 2: Working with Boards of Governors during a review of compliance • We will always seek the views of the public and people using services if we carry out an Inspection. • If we wish to seek your Board’s views, we will approach the chair and the lead governor to convene a meeting of a group of governors during a review • We will ensure your Board receives the final report of the review FTGA Development Days – The Regulators Monitor – Workshop B

17. Step 3: Taking action to improve care following a review • We will inform your Chair if CQC takes actions to: • Ask your Trust to demonstrate improvements in services • require compliance with the standards • Carry out enforcement • We would encourage your Board to request this information from the Chair/lead governor and to take the opportunity to contribute to the Trust’s action plan for CQC. • Your Board can discuss further issues arising from our reviews of the trust’s services through the ongoing contact between your Board and the CQC compliance manager or inspector FTGA Development Days – The Regulators Monitor – Workshop B

18. Information Boards of Governors could request from their Trust • A summary of CQC’s profile of your trust • The ‘provider compliance assessment’ –where your trust keeps relevant evidence that CQC may need during a review of compliance • Updates on any CQC reviews starting or in progress • The draft report of any CQC review • The trust’s action plan in response to a CQC review where we have requested action to improve services or comply with the essential standards • Details of any enforcement action that CQC has taken FTGA Development Days – The Regulators Monitor – Workshop B

19. More information Go to our website at www.cqc.org.uk Send information to us about what people think about local services to www.cqc.org.uk/localvoices Sign up for our newsletter at www.cqc.org.uk Talk to your local CQC compliance manager/inspector Ring or send enquiries to our National Contact Centre at 03000 616161 or enquiries@cqc.org.uk For copies of our reports, you can go to www.cqc.org.uk/publications To get involved in our work nationally, contact involvement.EDHR@cqc.org.uk (this is the contact email for the involvement team and the equalities and human rights team) 19 FTGA Development Days – The Regulators Monitor – Workshop B

20. Over to you …. How would you like to work with CQC? How would your Board feed into CQC’s reviews of compliance? What information do you need? 20 FTGA Development Days – The Regulators Monitor – Workshop B