Unit 502 – Governance and regulatory processes - Essay Prowess

Unit 502 – Governance and regulatory processes

Unit 502 – Governance and regulatory processes


Assessment Plan

Diploma TitleC & G Level 5 Diploma in Leadership and Management for Adult Care (3080)
Unit TitleUnit  502 – Governance and regulatory processes
Guided Learning Hours30
The plan is to complete unit 502 – Governance and regulatory processes by completing an assignment as set by City and Guilds. This unit is an assignment.  You have to look at the brief and then using a variety of different ways such as PowerPoints, documents, evidence folders or anything you feel is appropriate to create the information required.    You must go into depth and make sure that you cover all the points requested. You must check spellings and grammar as the end product must look professional, use company logos, it must be creative and engaging.    If in doubt speak to your assessor before starting this assignment.     The purpose of this unit is for learners to understand how adult care is regulated through governance and inspection processes. Learners will understand their role and responsibilities when managing a service that is regulated and how the process of inspection provides a focus for improvement in adult care.   Learners will understand how to involve others in driving forward strategies to ensure compliance with regulatory requirements and governance protocols. The learner will develop an understanding of the importance of Governance and regulatory processes in ensuring positive outcomes based procedures and practice.   As part of this unit learners will critically evaluate the governance mechanisms of their own organisation to be able to identify how these relate to the identity of the organisation. The learner will explore how internal governance and regulation of their own organisation is underpinned by legislation to support the wider regulatory requirements.   Learners should consider the following questions as a starting point to this unit:  What the terms “Governance and regulation” mean?  Do I understand why these are so important for my organisation and for all adult care?  What are the internal arrangements for governance within my organisation?  Do I know my role and responsibilities in the inspection process?   The assignment is made up of three tasks which are based on the following Learning Outcomes and you will need to demonstrate your understanding of the following topics:-   Learning outcome 1: Understand legislation and statutory requirements that underpin adult care provision   Topics 1.1 Legislation and statutory frameworks 1.2 Effects of legislation and policy on practice 1.3 Drawing attention to potential conflicts   Guidance for 1.1 Learners investigate the current UK legislation and statutory frameworks that apply to:  Social Care providers  NHS providers  Voluntary sector providers   These should include:  Health and Social Care Act Regulations  The Equality Act  The Care Act  CQC o Regulations o Fundamental standards o KLOE’s  Mental Capacity Act  Mental Health Act  Deprivation of Liberty Safeguards  The Safeguarding Vulnerable Groups Act  Health and Safety at Word Act 1974 and associated Regulations  Fit and proper person   Guidance for 1.2 Learners analyse the association between legislation and policy on person centred care and positive outcomes based procedures and practice. This should include effects on a range of policies relevant to own area of provision.   Guidance for 1.3 Learners evaluate the benefits of using local and/or national forums to draw attention to potential conflicts between statutory frameworks and values/principles for good practice.   Learning outcome 2: Understand internal governance arrangements within own organisation   Topics 2.1 Governance mechanisms 2.2 Personal accountability 2.3 Protocols, policies and procedures   Guidance for 2.1 Learners describe own organisations governance procedures and mechanisms. Learners will critically evaluate their own organisations governance mechanisms to be able to identify how these relate to the identity of the organisation. This will include:  Governance concepts  Governance processes  Roles and responsibilities within the governance process  Understanding of the governance process within the organisation   Guidance for 2.2 Learners evaluate their accountability and role within their organisations governance structure.   Guidance for 2.3 Learners critically review how their own organisations agreed ways of working, protocols, policies and procedures relate to governance and accountability and the link to quality of care provision. This will include feedback from those using services, those acting on their behalf and other stakeholders so that they can continually drive improvement.   Learning outcome 3: Understand systems and requirements for regulation of adult care services Topics 3.1 The inspection system in England 3.2 Services subject to registration and to inspection 3.3 Key areas of enquiry for inspection 3.4 Grading system and implications 3.5 Sources of information and support   Guidance for 3.1 Learners explain the key drivers and impact of legislation for the inspection system, including:  The Health and social Care Act  The Care Act  Recent local/national queries and findings from serious case review  Other appropriate topical reviews and reports   Guidance for  3.2 Learners identify services subject to registration and inspection, covering a range of provision for all adult services. To include service provision in:  Social care  Acute care   Guidance for 3.3 Learners identify the key areas for enquiry and how the evidence for these build towards ratings. To include:  Safe  Effective  Caring  Responsive  Well led   Guidance for 3.4 Learners describe and differentiate between the different grades available at inspection and evaluate the implications of each grade on a service.   Guidance for 3.5 Learners critically evaluate sources of support and information available. These will include:  Local  Regional  National  Professional networks     Learning outcome 4: Understand roles and responsibilities in registered services   Topics 4.1 Roles and responsibilities of key people   Guidance for 4.1 Learners review and evaluate the different functions for the specified roles within their own organisation and the wider responsibilities of key people in the inspection of registered services With specific reference to governance learners will consider the roles and responsibilities of:  The registered manager  The nominated Individual (and who may be appointed to this role)  The ‘fit and proper person’  Inspectors  Auditors  Board members  Non-executive directors  Trustees of adult social care businesses and charities   Learning outcome 5: Understand inspection process Topics 5.1 Persons involved in inspection processes 5.2 How to prepare for an inspection 5.3 Inspection process and information required 5.4 Ways to address the outcome and impact of an inspection   Guidance for 5.1 Leaners identify the different people and organisations who need to be informed of any pending inspection and the importance of ensuring a culture of inspection readiness.   Guidance for 5.2 Learners review organisational readiness for an inspection using the five key questions:  Is the service SAFE?  Is the service EFFECTIVE?  Is the service CARING?  Is the service RESPONSIVE?  Is the service WELL–LED?   Guidance for 5.3 Learners explain how the regulators prepare for an inspection, the role of the inspection team and the sources of information used for inspection of adult care services, to include:  Local Information  Information collected before the inspection  Information from people who use services, their families and carers, staff and other professionals  The inspection  Reports which are quality assured graded and published   Guidance for 5.4 Learners explain the ways to address the outcome and impact of an inspection  Responding to areas of concern  Acknowledging areas of good practice  Developing an action plan  Follow up focused inspections     Learning outcome 6: Understand wider ranges of regulatory requirements that apply to services Topics 6.1 Regulation processes that apply to the service or aspects of it 6.2 Types of information required for regulation processes 6.3 Regulatory frameworks presenting conflicting requirements   Guidance for 6.1 Learners explain the range of different regulatory requirements applying to the service including current legislation:  Health and Safety  Employment Law  Equal opportunities  Any other appropriate to the setting   Guidance for 6.2 Learners review the different types of information that the organisation is required to keep to meet requirements and reflect on the quality of the information stored.   Guidance for 6.3 Learners analyse where conflicting requirements between regulatory requirements may occur. Leaners will need to include how to overcome these conflicts. Conflicts can include:  The potential for duplication of regulatory activities by local councils and national regulators  Lack of co-ordination of information by the regulator and local care commissioners  Health and safety responsibilities versus person centred planning  Safeguarding   To assist you as you prepare for and complete the assignment you may want to refer to the following suggested learning resources:-   Publications  Regulations for Service Providers and Managers CQC http://www.cqc.org.uk/content/regulations-service-providers-and-managers      Guidance for Providers on Meeting the Regulations, Care Quality Commission (February 2015), available on the CQC website    How CQC Regulates: Residential Adult Social Care Services — Provider Handbook (2015) Care Quality Commission, available on the CQC website    How CQC Regulates: Residential Adult Social Care Services —Appendices to the Provider Handbook(2015) Care Quality Commission, available on the CQC website    http://www.cqc.org.uk/content/regulation-17-good-governance#full-regulation      http://www.cqc.org.uk/content/five-key-questions-we-ask      ‘Care Act Fact Sheets’: Department of Health; March 2016    Skills for Care Government e-learning http://www.skillsforcare.org.uk/Leadership-management/Governance-for-adult-social-care/Governance-for-adult-social-care.aspx      https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/250078/bis-13-1245-focus-on-enforcement-review-of-adult-care-homes-sector.pdf      Francis Report (2013), (Report of The Mid Staffordshire NHS Foundation Trust Public Inquiry) Available on www.midstaffspublicinquiry.com      Deprivation of Liberty Safeguards: Age UK 2015 http://www.ageuk.org.uk/Documents/EN-GB/Factsheets/FS62_Deprivation_of_Liberty_Safeguards_fcs.pdf?dtrk=true      Mental Capacity Act Code of Practice HMG 2007    Health and Safety in Care Homes (Factsheet) HSE http://www.hse.gov.uk/pUbns/priced/hsg220.pdf      Health and Safety in Health and Social Care Services http://www.hse.gov.uk/healthservices/      Mental Capacity Act 2005 Code of Practice: https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/497253/Mental-capacity-act-code-of-practice.pdf      MCA Guide for people who work in health and social care: https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/348440/OPG603-Health-care-workers-MCA-decisions.pdf    Care Act Statutory Guidance 2016:  https://www.gov.uk/government/publications/care-act-statutory-guidance/care-and-support-statutory-guidance      Care Act Factsheets:  https://www.gov.uk/government/publications/care-act-2014-part-1-factsheets/care-act-factsheets#factsheet-6-reforming-how-people-pay-for-their-care-and-support     Websites  Legislation.Gov. Website for all statutes. http://www.legislation.gov.uk/  Direct Gov. Central website for national guidance and regulations. https://www.gov.uk/  Care Quality Commission. Information on Fundamental Standards, inspection requirements  https://www.cqc.org.uk/    Social Care Institute for Excellence www.scie.org.uk    Skills for Care www.skillsforcare.org.uk    Skills for care http://www.skillsforcare.org.uk/    Health and safety executive. www.hse.gov.uk     Journals and magazines  CMM Care Management Matters  Caring Times  Care Talk  Skills for Care, Care Magazine  Care Home Management  Expert care Manager Magazine  The British Journal of Healthcare management  Community Care  Caring UK   If you require any support or guidance please do not hesitate to contact me and I will go through the questions with you.    

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