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CQC’s use of risk analysis: Intelligent Monitoring

CQC’s use of risk analysis: Intelligent Monitoring. Alex Baylis, Head of Acute Sector Policy Lisa Annaly, Head of Provider Analytics 17th EPSO conference, Porto, Portugal, 8 th May 2014. 1. Overview. An update on CQC’s purpose and strategic changes Overview of our new operational model

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CQC’s use of risk analysis: Intelligent Monitoring

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  1. CQC’s use of risk analysis: Intelligent Monitoring Alex Baylis, Head of Acute Sector Policy Lisa Annaly, Head of Provider Analytics 17th EPSO conference, Porto, Portugal, 8th May 2014 1

  2. Overview • An update on CQC’s purpose and strategic changes • Overview of our new operational model • Development of intelligent monitoring – progress and learning

  3. Our Purpose and Role Our purpose We make sure health and social care services provide people with safe, effective, compassionate, high-quality care and we encourage care services to improve Our role We monitor, inspect and regulate services to make sure they meet fundamental standards of quality and safety and we publish what we find, including performance ratings to help people choose care 3

  4. Strategy 2013-2016: key changes overall • FROM • Focus on Yes/No ‘compliance’ • A low and unclear bar • TO • Professional, intelligence-based judgements. • Ratings - Clear reports that talk about safety, effectiveness, caring, well-led and responsive care • 28 regulations, 16 outcomes • Five key questions. • On the side of people who use services. • Providers and commissioners clearly responsible for improvement. • CQC as part of the system with responsibility for improvement • Specialist with teams of experts. • Longer, thorough and people-focussed inspections. • Generalist inspectors • Corporate body and registered manager held to account for the quality of care • Individuals at Board level also held to account for the quality of care. 4

  5. CQC’s New Operating Model

  6. Framework for our use of information • Safety • Indicators we have prioritised for routine monitoring in Intelligent monitoring • Prompt actionwhich can include a request for further information or an inspection of a site • Caring • Tier 1 indicators • Qualitative intelligence • Effectiveness • Responsiveness • Well led • Wider set of indicators that are examined along with tier 1 to provide“key lines of enquiry”for inspection • Do not cause regulatory action if a single indicator or a combination of several indicators breach thresholds • Tier 2 indicators • Indicators that are available to the CQC about a provider across all 5 domains • “Horizon scanning” to identify future indicators • Devised/updated through engagement with Providers, Royal Colleges, Specialist Societies and academic institutions and international best practice • Tier 3 indicators • Indicators being developed that are not yet nationally comparable indicators in association with the professional bodies e.g., Royal Colleges

  7. Intelligent monitoring tool (tier 1) • Uses a prioritised set of indicators relating to the five questions to raise questions • Focuses on identifying risks, does not analyse the full distribution of performance • Uses nationally available quantitative and qualitative information sources • Overall weighted summary for each provider (‘banding’) to help prioritise inspection activity • Results of the analysis and banding available to the public • Plan to refresh data every quarter • Plan to roll out for all of the sectors that we regulate • 7

  8. Intelligent Monitoring: NHS Acute and specialist Trusts • 8

  9. Intelligent Monitoring: NHS Acute and Specialist Trusts • Progress: • Tested prototype – June 2013 • Version 1 published – October 2013 • Version 2 published – March 2014

  10. What we have learned so far? • Improved communications to providers • Extended time for trusts and inspectors to review their reports to two weeks • Early results but some agreement between priority banding and findings from inspection • But some clear ‘false positives’ identified • Application of the model to other sectors – in development leading up to October 2014 • Not proposing to create a ‘priority for inspection’ banding for those sectors where national information is lacking

  11. Thanks for listening Questions? 12

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