Objective six - Inspections are targeted and proportionate
Objective 6 is underpinned by 5 practices that encourage concordat signatories to develop approaches that account for the capacity and performance of individual organisations, by:
- developing risk-based approaches
- developing a range of approaches to conducting inspection, audit or review
- considering options for lessening the frequency or intensity of input according to past performance
Practice 6.1: Targeted to capacity and performance
In developing work programmes, inspecting bodies take into account the nature, size and performance of the body being inspected. If necessary, they vary their requirements.
Practice 6.2: Weighted to risk
Inspecting bodies develop an assurance framework that helps them to plan their activities according to the level of risk to the service and/or other risks. Methods are developed to define and grade risks. Consideration is given to reducing requirements in areas that carry lower risk to patients, carers, other service users or staff, or where recent inspections have reported favourably.
Practice 6.3: Earned autonomy
Options for “earned autonomy” are considered where the results of inspections justify these. They may include inspection “holidays”, regular intervals between inspections, less frequent or less intensive monitoring and greater freedoms. In reaching such decisions, the degree of risk is assessed and account is taken of the continuing need to identify and learn from best practice, to safeguard the public and to support effective thematic studies.
Practice 6.4: Range of mechanisms and levels of action
Inspecting bodies develop a range of activities and levels of action capable of responding to the differing requirements of a range of organisations. Inspectors use the minimum response that is necessary in the circumstances. On-site inspection is only one option; others include remote information analysis and self-assessment.
Practice 6.5: Assessing the impact of inspecting bodies’ policies
Inspecting bodies assess and, where appropriate, seek to anticipate the impact of their policies and/or new initiatives on those they inspect. Where relevant, significant changes would usually be subject to a Regulatory Impact Assessment.
