Duty of Candour Shaun Marten Inspector June 2015 1 CQC purpose - - PowerPoint PPT Presentation

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Fundamental Standards - Duty of Candour

Shaun Marten Inspector June 2015

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CQC 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

• f quality and safety and we publish what we

find, including performance ratings to help people choose care

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Regulation to inspire improvement

What we do:

Set clear expectations Monitor and inspect Publish and rate Celebrate success Tackle failure Signpost help Influence debate Work in partnership

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Previous Regulations

Care and welfare of service users Assessing and monitoring the quality

• f service provision

Safeguarding service users from abuse Cleanliness and infection control Management of medicines Meeting nutritional needs Safety and suitability of premises Safety and suitability of equipment Respecting and involving service users Consent to care and treatment Complaints Records Requirements relating to workers Staffing Supporting workers Cooperating with other providers

New Regulations

Person-centred care Dignity and respect Need for consent Safe care and treatment Safeguarding service users from abuse Meeting nutritional needs Cleanliness, safety and suitability

• f premises and equipment

Receiving and acting on complaints Good governance Staffing Fit and proper persons employed and Fit and proper persons requirement for directors Duty of candour

Fundamental standards

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New for April 2015

Fundamental standards

Fit and proper person requirement Duty of candour

Special measures Scores on the doors Market oversight

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Duty of candour Purpose

Promotes adoption of openness and transparency in services Supports development of safety culture

Actions for providers

Inform people when things go wrong Provide support, truthful information & apology

CQC

Registration Inspection – existing key lines of enquiry

What does the regulation say?

• Registered persons must act in an open and transparent way with

relevant persons

• As soon as reasonably practicable after becoming aware that a

notifiable safety incident has occurred a registered person must notify the relevant person that the incident has occurred in person

• Provide reasonable support to the relevant person in relation to

the incident

• Personal notification must be followed up by a written notification

given or sent to the relevant person

• The registered provider must securely keep a copy of all

correspondence with the relevant person, including instances where the relevant person could not be contacted, or declined to speak with the provider

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What is a notifiable safety incident?

• An unintended or unexpected incident occurring

during the provision of a regulated activity that could result in, or appears to have resulted in:

• Death, where it relates directly to the incident
• Severe harm (which means a permanent lessening of

bodily, sensory, motor, physiologic or intellectual functions)

• Moderate harm (which means harm that requires a

moderate increase in treatment or significant, but not permanent, harm)

• Prolonged psychological harm

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What must notifications contain?

• A truthful account of all the facts, as they are

known at the time

• Details what further enquiries into the incident

the provider believes are appropriate

• An apology

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Guidance for providers on meeting the regulations (March 2015)

• Providers should have policies and procedures in place to

support a culture of openness and transparency, and ensure that all staff follow them

• Providers should have a system in place to identify and deal with

possible breaches of the professional duty of candour by staff who are professionally registered

• Staff should receive appropriate training and support
• All staff have a responsibility to adhere to that organisation's

policies around duty of candour, regardless of seniority or permanency

• Information should only be disclosed to family members or carers

where the person using the service has given their consent (with exceptions)

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Guidance (Continued)

• The account of relevant facts should include as much or as little

information as the relevant person wants to hear, be jargon free and explain any complicated terms

• Consideration should be given to seniority, relationship to the

person using the service, and experience and expertise in the type of notifiable incident that has occurred when making a decision about the most appropriate person to provide the notification

• Providers must give the relevant person all reasonable support

necessary to help overcome the physical, psychological and emotional impact of the incident (examples given)

• The outcomes or results of any further enquiries and

investigations must also be provided in writing to the relevant person through further written notifications

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How will we enforce the regulation?

• Requirements

(formerly known as compliance actions)

• Warning notices
• S.28 warning notices

Protect people who use services by requiring improvement Civil enforcement powers

• Impose, vary or remove

conditions of registration

• Suspension of registration
• Cancellation of

registration

• Urgent procedures

Failing services

• Immediate action to

protect from harm

• Time-limited ‘final chance’
• Coordination with other
• versight bodies

Criminal powers

• Penalty notices
• Simple cautions
• Prosecutions

Holding individuals to account

• Fit and proper person

requirement

• Prosecution of

individuals Hold providers to account for failure Severity Protect people who use services by requiring improvement

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Questions?