A guide to surviving your first CQC inspection

1. CQC:
First
Inspec/on:
A Survival Guide

2. “Raising
the
bar
on
regulatory
standards”
• Regulator under increasing pressure from cases of cruelty and neglect in adult
social care and scandals such as Mid Staffordshire NHS Foundation Trust
• High profile cases fuel public outrage at regulatory failure and increase the
political stakes
• The regulator has come under increasing pressure to improve its performance
including a tougher approach to inspections

3. How to pass your first
inspection and all the others
that come afterwards.
“Surviving
your
first
CQC
Inspec/on”
www.123rf.com/photo_7260616

4. Registra/ons
Versus
Inspec/on
• Registrations means you self-certify by making a declaration that
you are compliant
• Inspection means you have to stand up under scrutiny of the CQC
• Identify areas of non compliance using Provider Compliance
Assessment (PCA) Self Assessment Tool
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5. www.123rf.com/photo_14099047
The
Burden
of
Proof
• It is for a service provider to
demonstrate that it is in compliance
• CQC does not have to “prove”
compliance - practice may be complaint
but any absence of required
documentation is compliance failure
• It’s not quite “guilty until proven
innocent” but it is for service providers
to show that they are “innocent” of
compliance failure

6. Data
Triangula/on
• Inspection appears to be about demonstrating
compliance by providing an audit trail of the
documentation that is required by the CQC
• WRONG!! It is a false assumption to believe that
presenting a flawless set of records, reports and a
PCA, will ensure an inspection pass.
• The inspection process requires CQC inspectors and
assessors to cross-reference or “triangulate” the datewww.123rf.com/photo_12910146

7. www.123rf.com/photo_9594641
Methods for gathering information include:
Source
of
Triangulated
Informa/on
• Talking to people who use the service
• Surveys
• Making direct observations of care

8. The
QCS
Framework
for
Achieving
Compliance
• The QCS Compliance Management System
is a comprehensive library of compliance
policies and procedures
• System documentation enables all health
and social care providers to adhere to
processes that have compliance interwoven
• A “Compliance Blueprint” enabling every
activity to be managed so that service
providers achieve the required CQC
regulatory standard
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9. Blueprint
for
Compliance
• Emphasis on service users is
embedded throughout the entire
QCS policy set.
• Direct employees towards the
goal of achieving compliance
• The HR Policy set is consistent
with the care culture embedded
within the QCS care policy set

10. Leading
by
Example
• Care workers take their cue for interacting with
service users from the management culture
which is forested by this approach to HR
• When assessed and triangulated data methods a
consistent view of compliance is obtained
• This is also true in areas like maintenance,
catering and housekeeping policies

11. Providing
Proof
-­‐
Integrated
Records
and
Repor/ng
• QCS integrates the process of collecting all the
required information with a ‘pack approach’ which
provides templates to record data
• Enables all necessary recording, minimising the
risk of a critical process going undocumented
• Users are easily guided through such processes
as recruitment, care planning and employee
performance management

12. Providing
Proof
-­‐
Ac/on
Planning
• Action planning and management control enables
compliance shortfalls
• Action plan attached whenever a PDCA
• (Plan, Do, Check, Act) cycle approach is required
• The effective use of policies can be audited and
the QCS approach is further supported by the
Quality Assurance Policy www.123rf.com/photo_11066582

13. www.123rf.com/photo_19411833
Providing
Proof
-­‐
Management
Control
• The Management Meeting Policy promotes PDCA and embeds the process
of ensuring that Action Plans are monitored
• Recommends a weekly Management Meeting to review all Action Plans,
audits, complaints, external quality reports and statutory inspection reports
• A simple Management Meeting Policy template produces an integrated Action
Plan which drives the whole organisation along the PDCA pathway

14. www.123rf.com/photo_18919820
Summary
-­‐
Surviving
First
Inspec/on
• QCS compliance management enables
health and social care service providers
survive first and subsequent inspections
by providing:
• Policies and procedures to ensure
processes are compliant
• Recording and reporting systems to
document practice
• Consistency when scrutinised using
data triangulation methods

15. • QCS compliance management also provides
compelling benefits such as:
• Raising compliance standards and
improving care quality standards
• Confidence for care workers in critical areas
like infection control, care planning and
medication
• Structured approach reduces risks to
service users and service providers
Summary
-­‐
Driving
BeNer
Care

16. Find out more on our website
and register for a free trial at:
www.ukqcs.co.uk
T:
020
7138
3078
For
more
informa?on
download
our
free
white
paper:
hCp://www.ukqcs.co.uk/useful-­‐guides/cqc-­‐first-­‐inspec?on-­‐a-­‐survival-­‐guide/