HEALTH & SAFETY


likely to consider this a failure of governance, which may lead to enforcement action.


DOCUMENT GOOD SAFETY PRACTICES


In addition to service user-specific risk assessments, it is also a legal requirement that providers (as employers) undertake a suitable and sufficient workplace risk assessment. Furthermore, if an organisation employs more than five people it is an offence not to document the findings of that assessment.


Risk assessments should be living documents and to be effective they must be updated and reviewed to ensure their continued relevance. Factors which may render a previous assessment outdated may include changes in workplace procedure, emergence of new risk factors, a change in the law or a change in personnel.


RESPOND TO NEAR MISSES AND LEARN


FROM THEM Mistakes happen. It is important to learn from them and take steps to prevent a recurrence. If there is evidence that a provider has failed to learn from previous similar occurrences, this will aggravate both the type of enforcement action taken and any penalty imposed.


BUILD RAPPORT WITH YOUR INSPECTOR


The CQC has the power to initiate prosecutions and although the CQC’s legal department must approve these, the opinion and attitude of the individual inspector will be influential in the enforcement decision-making process.


Providers can therefore only benefit from positive and healthy relationships with their inspector, and ensuring that there


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remain clear channels of communication when adverse events do occur.


DO NOT BE AFRAID TO CONSULT WITH OUTSIDE AGENCIES/ COMMUNICATE WITH


FAMILIES The views of a service user’s family can also be influential in enforcement decision-making. Steps should therefore be taken, as a matter of courtesy if nothing else, to engage at all stages with a service user’s family, to include them in decisions over the care given and to keep them updated of changes in condition or changed care needs.


From experience, it is those cases where a service user’s family is not kept informed, or where the full extent of an individual’s care requirements is not communicated, that oſten result in the more draconian forms of enforcement action taken by the CQC.


CONCLUSION


It is crucial that providers ensure they are compliant across all aspects of their business and seek early assistance following crisis events.


As the saying goes, “failing to prepare is preparing to fail,” and all businesses must be prepared to respond should a crisis event occur. Not only does advance preparation help manage the ongoing relationship with the regulator and others who may be affected, such as employees, but it also assists in securing and preserving evidence, enabling a clear strategy to be determined, to the benefit of the provider.


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