ESR Supporting CQC Audits

Introduction

ESR is the recognised workforce solution for the NHS and holds records for circa 1.4 million staff. It is well placed to provide the necessary evidence to support NHS Organisations in meeting some of the regulatory requirements of quality and safety related to their workforce as required by the Care Quality Commission (CQC).

The CQC can use data within ESR as part of its intelligent monitoring of NHS organisations, which in turn can be used to inform its inspections.

ESR can provide NHS organisations with a plethora of workforce related data to provide evidence of compliance with some of the key requirements.

Regulation 5

Fit and proper persons: directors

“The intention of this regulation is to ensure that people who have director level responsibility for the quality and safety of care, and for meeting the fundamental standards are fit and proper to carry out this important role.”

Regulation 17

Good governance

“The intention of this regulation is to make sure that providers have systems and processes that ensure they are able to meet other requirements in this part of the Health and Social Care Act 2008 (Regulated activities) Regulations 2014 (Regulations 4 to 20A).”  

Regulation 18

Staffing

“The intention of this regulation is to make sure that providers deploy enough suitably qualified, competent and experienced staff to enable them to meet all other regulatory requirements described as part of the Health and Social Care Act 2008 (Regulated activities) Regulations 2014.” 

Regulation 19

Fit and proper persons employed

“The intention of this regulation is to make sure that providers only employ ‘fit and proper’ staff who are able to provide care and treatment appropriate to their role and to enable them to provide the regulated activity.”

Functionality

IAT

IAT

  • Transfers information about employees between NHS organisations including training and competencies and identifying any induction requirements pre hire.

Self Service

Self Service

  • Provides real time information such as absences, ensuring that there are enough staff to provide appropriate care for patients.
  • Performance Management Plans can be created in Self Service which include objectives and learning paths which can be monitored as part of the process.

Reporting

Reporting

  • A suite of standard Disco reports and ESR Business Intelligence Dashboards enable organisations to:

    • Establish that staff are qualified and competent to do their job.
    • Monitor and manage learning for all staff
    • Provide KPIs to assess skillsets and identify any learning or training gaps.

Professional Registration Interface

Professional Registration Interface

  • The interface with the GMC and NMC ensures that professional registration details are up to date daily and alerts organisations to any registration issues using a RAG status.
  • Position based requirements can be set to ensure that individuals have the relevant registration for their role.  

NHS Employment Checks

NHS Employment Checks

  • NHS Mandatory Employment Checks recorded and reported in ESR ensuring all the required checks are in place to protect patients.
  • ESR maintains the competencies, qualifications and experience of each staff member and manages their development reviews and training. Employee competencies are maintained within defined national and local frameworks

OLM

OLM

  • Enables comprehensive control over all the activities associated with the learning and development of NHS staff. 
  • ESR maintains the competencies, qualifications and experience of each staff member and manages their development reviews and training. Employee competencies are maintained within defined national and local frameworks

DBS Interface

DBS Interface

  • The link between the Disclosure and Barring Service (DBS) ensures that registered employees criminal and Barring information is monitored and new information alerts sent to Safeguarding Leads in the organisation, thus ensuring patient safety.

E-recruitment Interface

E-recruitment Interface

  • Full integration with third party e-recruitment systems to ensure employees are appointed in a timely manner and all key person data related to the prospective employee is shared. Getting the right people with the right skills into the right job to support effective patient care.

Establishment Control

Establishment Control

  • Can assist organisations in identifying key workforce metrics. Notional vacancies identified in ESR can be used to indicate the gap between full and actual staffing levels.  

Deanery Interface

Deanery Interface

  • Integrated with the Deanery Interface to facilitate the junior doctors in training rotation programmes ensuring that applicant records relating to junior doctors in training on regional rotation programmes are transferred in good time to employing NHS organisations.