The role of Care Quality Commission in
monitoring and regulating safeguarding
standards
Jane Rumble Inspection Manager
CQC’s role as the regulator
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CQC checks whether or not care meets the
‘essential standards’ the government says
people should expect
Outcome-based evidence is used to make
judgements about whether care meets the
standards
Care can be ‘compliant’ or ‘non-compliant’
with the regulations set out in law
CQC can set actions where care fails to meet
standards
Providers are responsible for making sure the
care they deliver meets standards set in law
CQC is not responsible for improvements
How we gather evidence to monitor
compliance
Looking at outcomes, a person’s
experience of the care they receive
Involving people who use services in
our reviews of compliance
Using a wide range of sources of
evidence
Focusing on how care is delivered
Being targeted and responsive –
taking swift action to follow up
concerns
Tools of regulation
Listen and
involve
Analyse
Inspect
Whistleblowing
Themed reviews
Scheduled inspections
Safeguarding
Quality Risk Profiles
Responsive inspections
Website feedback
Other data sources
Themed inspections
Telephone or written
feedback
Third party feedback
Experts by Experience
Investigations
We listen to people who use
services
Experts by Experience
provide help on inspections
We publish what we find and take enforcement action where we have concerns
Our Approach to Safeguarding
Safeguarding adults and children is a key priority for CQC
Safeguarding reflects both our focus on human rights and the need
to protect and promote the rights of people who use health and
social care services
As the regulator of health and adult social care services, our
primary role is to make sure that providers have appropriate
systems in place to safeguard people who use the service
Safeguarding is the responsibility of whole communities and
depends on the everyday vigilance of everyone who plays a part in
the lives of children or adults in vulnerable situations
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The Safeguarding Process
We inform the service provider or manager of the issue unless they
are directly implicated
We ensure that immediate action is taken to protect the individual/s
from harm, if it is safe to do so
We ensure a timely safeguarding referral is made to Local Authority
and/or police within 24 hours of the incident
We make a direct referral to the local authority or police where:
We are the first recipient of the information
The provider or manager is implicated in the safeguarding
incident
The provider or manager has failed to make a referral
We have little confidence that the provider will respond to the
incident appropriately
the role of the CQC in
safeguarding
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The role of the CQC in safeguarding
• CQC’s function in response to safeguarding concerns is primarily, as
a regulator, to ensure that providers of care have adequate systems in
place to protect vulnerable people.
• Where a safeguarding alert suggests breaches of regulations or lack
of fitness of registered persons, we will consider what regulatory
action is needed by the commission and undertake that work.
• Monitoring the use of Depravation of Liberty Safeguards
The role of CQC in local safeguarding
procedures
CQC Safeguarding Protocol outlines our role in local safeguarding
procedures with regard to;
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Information sharing
Safeguarding strategy meetings
Local safeguarding boards
Serious case reviews
What CQC will do
• Share information in accordance with the protocol
• If CQC has undertaken an inspection in response to the safeguarding
concerns, this will be shared in the multi-agency forum and details of
enforcement action will be notified to the council as required in the
Health and Social Care Act 2008 and regulations.
• Maintain good relationships with partner agencies
• Provide relevant information for strategy meetings but not necessarily
attend
• CQC attends local safeguarding boards as a contributor to the
safeguarding partnership. We have no decision-making authority on
local safeguarding boards
What CQC do not do:
Investigate
Attend all strategy meetings in
person
Other regulations relevant to
safeguarding
Section
Outcome
Regulation*
Safeguarding
and safety
7
11
Safeguarding
and safety
9
13
Safeguarding
and safety
10
15
Safeguarding
and safety
11
16
Suitability of
staffing
12
21
Suitability of
staffing
13
22
Suitability of
staffing
14
23
Title
Safeguarding
people who use
services from
abuse
Management of
medicines
Safety and
suitability of
premises
Safety,
availability and
suitability of
equipment
Requirements
relating to
workers
Staffing
Supporting
workers
*Regulations of the health and Social Care Act 2008 (Regulated Activities) Regulations 2009.
Whistleblowing
Concerns raised directly with CQC if;
► not confident that the management of service will
deal with concern properly or
► concern is very serious or
► worried that management maybe involved or
associated with the issue of concern
Whistleblowing cont …
We will decide whether ;
► the concern is within the scope of legal duties
► we are the right organisation to investigate the concern
If we are we will;
► let the whistle-blower know what we are going to do
► raise it with the management of the service
► decide if we need to take any regulatory action
► Make a safeguarding alert to the local authority or police
if appropriate
► Notify other regulator/s if appropriate
Closing comments
The public puts its faith in those who run and
work in care services
There must be a culture that won’t tolerate poor
quality care, neglect or abuse – and
encourages people to report it
The regulator cannot be everywhere, so we
need to regulate with others
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QUESTIONS