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Business plan 2021-24

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This business plan is a rolling 3-year plan for 2021-24, with a firm set of objectives for the first period to March 2022.

It details our main work between now and March to deliver our regulatory business while transforming as an organisation, in a way that supports delivery of the strategy outcomes.


Contents


Introduction

This business plan sets out the main work we will carry out between now and next March to deliver our regulatory business whilst transforming as an organisation, in a way that supports delivery of the outcomes of our strategy.

The strategy sets out a pathway over five years to deliver the outcomes – this plan shows the focus of the first year of this work.

At the heart of our work is our ambition to make a positive impact on the experiences of everyone who receives care, while regulating in a targeted way. Effective regulation to improve the quality of care depends on people’s feedback and experiences, so we will develop more ways to gather views from a wider range of people and communities, including those working in health and social care, and improve how this is recorded, analysed and used consistently. We will also make it easier for people, their families and advocates to give their feedback, and increase scrutiny of how providers encourage and enable people to feed back and how they act on this to improve their service.

Our business plan in 2020-21 underwent many changes as we responded to the pandemic, adapting our regulatory approach and supporting the health and social care sector in coping with the emergency. We updated our business plan priorities in year and extended the plan up to June 2021. This refreshed business plan supports our strategy published at the end of May. It continues our practice of having a rolling 3-year plan, with a firm set of objectives for the first year. These cover the period from July 2021 to March 2022, and they will be reviewed every six months

There are 12 outcomes that will be achieved through the delivery of our Strategy arranged across the 5 themes of People and communities; Smarter regulation; Safety through learning; Accelerating improvement; and with core ambitions of: Reducing inequalities and Health and social care systems. We have used these to shape this business plan, with the objectives within it aligned to those outcomes. Many of our objectives will deliver or enable several outcomes to be achieved.

Delivering our regulatory business

We will proactively manage and respond to risk – seeking out and addressing safety and quality problems. This includes developing how we can capture data, use it effectively and share it appropriately. We will respond to risk in ways that will keep people safe - responding to concerns, safeguarding and whistleblowing in an appropriate and timely way and using enforcement when we need to.

This will help deliver the strategy outcomes under Smarter regulation; Safety through learning; Accelerating improvement; and the core ambitions of: Reducing inequalities.

Transformation to deliver our strategy

Our transformation work has been designed to underpin delivery of our strategy. Our transformations rolling 3-year plan is set out at a high level in Annex A to this business plan. Under this we will transition from our current operating model to a system and person-based target operating model over the next 3 years.

In delivering the objectives for transformation we will be: Reviewing and adapting our regulatory approach and assessment framework to deliver our new strategy; reflecting changes to our operating model and responding to recent and upcoming legislative and policy reviews. We will be beginning development and detailed organisational design of our services. We will be delivering new services, processes, data and technology driven by the thinking from our regulatory framework and organisational design work.

This will help deliver the strategy outcomes under all 5 themes and core ambitions, but particularly Smarter regulation.

Managing our people and resources

This includes work under our People plan: to create an exceptional employee experience; an inclusive culture which attracts and nurtures talent; where our colleagues are healthy and committed to the organisation; and are able to thrive.

This will help deliver the strategy outcomes under all five themes and the core ambitions, but particularly Smarter regulation.


Our strategy outcomes

People and communities

  1. Our activity is driven by people's experiences of care
  2. We clearly define quality and safety in line with people’s changing needs and expectations. This definition is consistently used by people, and at all levels of the health and social care system
  3. Our ways of working meet people's needs because they are developed in partnership with them

Smarter regulation

  1. We are an effective, proportionate, targeted, and dynamic regulator
  2. We provide an up-to-date and accurate picture of quality
  3. It is easy for health and care services, the people who use them and stakeholders to exchange relevant information with us, and the information we provide is accessible, relevant, and useful

Safety through learning

  1. There is improvement in safety cultures across health and care services and local systems that benefit people because of our contribution
  2. People receive safer care when using and moving between health and social care services because of our contribution

Accelerating improvement

  1. We have accelerated improvements in the quality of care
  2. We have encouraged and enabled safe innovation that benefits people or results in more effective and efficient services

Core ambitions: Reducing inequalities and Health and social care systems

  1. We have contributed to an improvement in people receiving joined-up care
  2. We have influenced others to reduce inequalities in people’s access, experiences and outcomes when using health and social care services

Objectives and measures

Delivering our regulatory business

1. Manage risk to people

This set of objectives directly contribute to these strategy outcomes
  • 1 - Our activity is driven by people's experiences of care
  • 2 - We clearly define quality and safety in line with people’s changing needs and expectations. This definition is consistently used by people, and at all levels of the health and social care system
  • 5 - We provide an up-to-date and accurate picture of quality
  • 6 - It is easy for services, stakeholders, and people to exchange relevant information with us, and the information we provide is accessible, relevant, and useful

Objective: Analyse data we capture and interpret it to identify risk

Measure:

  • Increase our regulatory contact with services through monitoring activity and inspections – Monitor the number of the services with regulatory activity in-month and the rolling position
  • Monitor the percentage of services providing appropriate care as assessed by ratings and compliance with regulations (linked to geographical population)
  • As we conduct inspections (including Quality Assurance) monitor the percentage whereby the rating does not match the predicted risk

Owner: Deputy Chief Inspectors

Objective: Ensure we offer a timely registration service which meets the needs of the public and providers

Measure:

  • Reduce by at least 15% the average number of days to complete simple; normal; and complex registrations - report the volume in month as well as annual improvement

Owner: Director of Registration Service and NCSC


2. Respond to risk in ways that will keep people safe

Strategy outcomes that this set of objectives directly contribute to
  • 8 - People receive safer care within and between health and social care services because of our contribution
  • 9 - We have accelerated improvements in the quality of care
Strategy outcomes that these objectives help us to achieve
  • 4 - We are an effective, proportionate, targeted, and dynamic regulator

Objective: Respond to concerns, safeguarding and whistleblowing in an appropriate and timely way

Measure:

  • Through external engagement, increase volume of people giving us feedback on their care
  • Monitor percentage of information shared by people, including feedback on care, that has triggered regulatory activity and decisions
  • Monitor the percentage of services that say they are confident we use the experiences of people effectively in our regulatory activities, decisions, and judgements

Owner: Deputy Chief Inspectors

Objective: Use enforcement when we need to keep people safe and to hold those responsible to account

Measure:

Measure being determined. We will report on this in our board performance reports from September.

Owner: Deputy Chief Inspectors


3. Transform regulation of learning disability and autism

Strategy outcomes that this set of objectives directly contribute to
  • 1 - Our activity is driven by people's experiences of care
  • 7 - There is improvement in safety cultures across the health and care landscape for the benefit of people because of our contribution
  • 12 - We have influenced others to reduce inequalities in people’s access, experiences and outcomes when using health and social care services
Strategy outcomes that these objectives help us to achieve
  • 2 - We clearly define quality and safety in line with people’s changing needs and expectations. This definition is consistently used by people, and at all levels of the health and social care system
  • 4 - We are an effective, proportionate, targeted, and dynamic regulator
  • 11 - We have contributed to an improvement in people receiving joined-up care

Objective: Improve the way we: register; monitor; and inspect services; use the full scope of our regulatory powers; improve the way we can hear from people; and make sure that their experiences drive our action

Measure:

  • Monitor sectors and variance of services that provide care to people with a learning disability and autistic people
  • Monitor percentage of inspections to learning disabilities and autism services that have an out-of-hours inspection

Owner: Deputy Chief Inspector for people with a learning disability and autistic people


4. Deliver our independent voice and key publications

Strategy outcomes that this set of objectives directly contribute to
  • 2 - We clearly define quality and safety in line with people’s changing needs and expectations. This definition is consistently used by people, and at all levels of the health and social care system
  • 6 - It is easy for services, stakeholders, and people to exchange relevant information with us, and the information we provide is accessible, relevant, and useful
  • 7 - There is improvement in safety cultures across the health and care landscape for the benefit of people because of our contribution
  • 8 - People receive safer care within and between health and social care services because of our contribution
  • 9 - We have accelerated improvements in the quality of care
  • 10 - We have encouraged and enabled safe innovation that benefits people, or results in more effective and efficient services
  • 11 - We have contributed to an improvement in people receiving joined-up care
  • 12 - We have influenced others to reduce inequalities in people’s access, experiences and outcomes when using health and social care services
Strategy outcomes that these objectives help us to achieve
  • 1 - Our activity is driven by people's experiences of care
  • 5 - We provide an up-to-date and accurate picture of quality

Objective: Deliver independent voice products, sharing knowledge and learning across the sector to drive improvement in the quality of care.

Maintain up-to-date information about our understanding of quality in services we regulate.

Measure:

  • Monitor the number of people who access our major reports and publications through our website: by unique page views for each product in the three months following publication
  • Monitor the percentage of services that say our independent voice products have supported them to make changes to improve quality of care
  • Monitor the average age of our assessment outputs on our website (locations with either a published data review or inspection report)

Owner: Deputy Chief Inspectors


Transformation to deliver our Strategy

5. Define and develop our Regulatory Framework

Strategy outcomes that this set of objectives directly contribute to
  • 2 - We clearly define quality and safety in line with people’s changing needs and expectations. This definition is consistently used by people, and at all levels of the health and social care system
  • 4 - We are an effective, proportionate, targeted, and dynamic regulator
  • 5 - We provide an up-to-date and accurate picture of quality
  • 7 - There is improvement in safety cultures across the health and care landscape for the benefit of people because of our contribution
  • 9 - We have accelerated improvements in the quality of care
  • 11 - We have contributed to an improvement in people receiving joined-up care
Strategy outcomes that these objectives help us to achieve
  • 1 - Our activity is driven by people's experiences of care
  • 3 - Our ways of working meet peoples’ needs because they are developed in partnership with them
  • 6 - It is easy for services, stakeholders, and people to exchange relevant information with us, and the information we provide is accessible, relevant, and useful
  • 8 - People receive safer care within and between health and social care services because of our contribution
  • 10 - We have encouraged and enabled safe innovation that benefits people, or results in more effective and efficient services
  • 12 - We have influenced others to reduce inequalities in people’s access, experiences and outcomes when using health and social care services

Objective: We will define an end-to-end regulatory approach and assessment framework to deliver our strategy, reflect changes to our operating model and respond to legislative and policy reviews

Measure:

  • Develop how we monitor risk through the development of our first end-to-end regulatory model release - July 2021
  • Test the first iteration of our Regulatory Model (focused on provider level assessment) with delivery management colleagues, internal and external stakeholders by October 2021*
  • Draft the methodologies and framework for Local Authority assurance and integrated care system level work by January 2022*
  • Complete our discovery work around safety and improvement to outline how we will achieve the intentions set out in our Strategy - March 2022

*These dates subject to validation in August 2021 as part of in-depth planning.

Owner: Chief Inspector Adult Social Care


6. Undertake Organisation Design & Development

Strategy outcomes that this set of objectives directly contribute to
  • 1 - Our activity is driven by people's experiences of care
  • 2 - We clearly define quality and safety in line with people’s changing needs and expectations. This definition is consistently used by people, and at all levels of the health and social care system
  • 4 - We are an effective, proportionate, targeted, and dynamic regulator
  • 7 - There is improvement in safety cultures across the health and care landscape for the benefit of people because of our contribution
  • 8 - People receive safer care within and between health and social care services because of our contribution
  • 9 - We have accelerated improvements in the quality of care
  • 10 - We have encouraged and enabled safe innovation that benefits people, or results in more effective and efficient services
  • 11 - We have contributed to an improvement in people receiving joined-up care
Strategy outcomes that these objectives help us to achieve
  • 3 - Our ways of working meet peoples’ needs because they are developed in partnership with them
  • 6 - It is easy for services, stakeholders, and people to exchange relevant information with us, and the information we provide is accessible, relevant, and useful

Objective: We will define structures, ways of working, capabilities, roles & responsibilities for our new operating model and enabling services (including Finance, and HR)

Measure:

  • Completion of detailed design activity to define our new operations via Hub, Local Networks, Regulatory Leadership and Taskforce - November 2021
  • Commence discovery work to define our high-level future of our Enabling Services - March 2022

Owner: Chief Operating Officer


7. Deliver our new Regulatory Services

Strategy outcomes that this set of objectives directly contribute to
  • 1 - Our activity is driven by people's experiences of care
  • 4 - We are an effective, proportionate, targeted, and dynamic regulator
  • 5 - We provide an up-to-date and accurate picture of quality
  • 6 - It is easy for services, stakeholders, and people to exchange relevant information with us, and the information we provide is accessible, relevant, and useful
  • 11 - We have contributed to an improvement in people receiving joined-up care
Strategy outcomes that these objectives help us to achieve
  • 2 - We clearly define quality and safety in line with people’s changing needs and expectations. This definition is consistently used by people, and at all levels of the health and social care system
  • 7 - There is improvement in safety cultures across the health and care landscape for the benefit of people because of our contribution
  • 8 - People receive safer care within and between health and social care services because of our contribution
  • 9 - We have accelerated improvements in the quality of care
  • 10 - We have encouraged and enabled safe innovation that benefits people, or results in more effective and efficient services

Objective: We will deliver new holistic end-to-end services – including Data and Insight and Regulatory Platform through process design and technology/data enablement

Measure:

  • Completion of our fees calculator - October 2021
  • Have the foundations of being an insight led organisation through our Data & Insight service offer shaped and the new Data & Insight unit established - January 2022
  • First iteration of our regulatory services stood up within our regulatory platform to enable our new approach and testing of place-based working - March 2022

Owner: Chief Digital Officer


Managing our people and resources

8. Deliver our People plan

Strategy outcomes that these objectives help us to achieve
  • 4 - We are an effective, proportionate, targeted, and dynamic regulator
  • 7 - There is improvement in safety cultures across the health and care landscape for the benefit of people because of our contribution
  • 8 - People receive safer care within and between health and social care services because of our contribution
  • 9 - We have accelerated improvements in the quality of care
  • 10 - We have encouraged and enabled safe innovation that benefits people, or results in more effective and efficient services
  • 11 - We have contributed to an improvement in people receiving joined-up care
  • 12 - We have influenced others to reduce inequalities in people’s access, experiences and outcomes when using health and social care services

Objective: Through the actions in our people plan, create an exceptional employee experience; an inclusive culture which attracts and nurtures talent; where our colleagues are healthy and committed to the organisation; and are able to thrive

Measure:

  • Colleagues responding to our Pulse survey stating:
    I would recommend CQC as a good place to work – improve on baseline of 67%
    I work in an inclusive working environment, where individual differences are valued – improve on baseline of 77%

Owner: Director of People


9. Objective: Demonstrate a visible commitment to good mental health and equip managers to regularly engage, monitor and respond well

Strategy outcomes that this objective helps us to achieve
  • 4 - We are an effective, proportionate, targeted, and dynamic regulator
  • 12 - We have influenced others to reduce inequalities in people’s access, experiences and outcomes when using health and social care services

Measure:

  • CQC supports the wellbeing of colleagues – improve on baseline of 54%
  • Monitor percentage of sickness triggered by stress

Owner: Director of People


10. Objective: Develop a diverse CQC workforce with equal opportunities for everyone and a culture of inclusion

Strategy outcomes that this objective helps us to achieve
  • 4 - We are an effective, proportionate, targeted, and dynamic regulator

Measure:

  • Monitor workforce representation, including senior level review, compared to economically active population (ethnicity). Improve on baseline of 13%
  • Monitor workforce representation compared to economically active population (disability). Improve on baseline of 9%
  • Monitor percentage of recruitment panels with independent panel member (percentage at each grade and percentage of overall). Target 100% for Grade A and Executive recruitment.

Owner: Director of People


11. Manage our finances and resources effectively

Strategy outcomes that these objectives help us to achieve
  • 4 - We are an effective, proportionate, targeted, and dynamic regulator

Objective: We manage within our budget envelope for capital and revenue

We become a more sustainable organisation through delivery of our 'green plan'

Measure:

  • Monitor that we are on budget or variance of <1%
  • Monitor that we are reducing spend on travel against 2019/20 levels and establish a new baseline

Owner: Director of Finance Commercial Workplace and Performance


12. Objective: Deliver day-to-day digital services well, ensuring appropriate resilience and continuity

Strategy outcomes that this objective helps us to achieve
  • 4 - We are an effective, proportionate, targeted, and dynamic regulator

Measure:

  • Monitor our Internal Customer Satisfaction with digital services – target 90%

Owner: Chief Digital Officer


Risks

Deliver our regulatory business

R1 Effective regulator

If we are not an effective, proportionate, targeted and dynamic regulator, then we will fail to maintain the trust and confidence of the public, stakeholders and providers of services, and as a result we will be unable to ensure the quality of care for people using services and deliver our strategic outcomes.

R2 Adapting to pace of change

If we fail to adapt to the changing external environment that we operate in, then we will be unable to ensure the quality of care for people who use services.

R6 Working with partner organisations

If we are not aligned or working effectively with our partner Health and Social Care organisations, then this will compromise our ability to successfully regulate.

R3 Financial pressures in adult social care

If financial pressures cause a deterioration in quality of adult social care services and over time more people experience poor quality and or unsafe care, then this will make it more difficult for us to deliver our purpose to ensure the quality of care.

R4 Access to the right data, at the right time, of the right quality

If we do not have access to: the right data; at the right time; of the right quality; and if we do not make it accessible to others to enable them to act; then there is a risk we will not be able to provide an up-to-date and accurate picture of quality - which identifies poor care and good practice that can support improvement - and enables us to ensure the quality of care for people using services.

R5 Systems that support access, use and sharing of data

If we do not develop the right systems to enable us to collect, interpret and share data that is relevant and useful then there is a risk we will not be able to provide an up-to-date and accurate picture of quality - which identifies poor care - and enables us to ensure the quality of care for people using services.

Transformation to deliver our strategy

R7 Change delivery and funding

If the change programme – strategic and tactical - is not fully funded and effectively implemented to deliver anticipated benefits and outcomes, then we will not be able to achieve the outcomes set out in our new Strategy now and in the future.

R8 Change culture and capacity

If the organisation does not have the capacity to engage with and absorb the transition between our current model of regulation and the future set out in our new Strategy, then we will be unable to maintain the confidence of our staff and stakeholders.

Manage our people and resources

R10 People engagement and well-being

If our people’s engagement or well-being does not improve or further deteriorates, then we will lose their trust and therefore willingness to move the organisation forward in line with purpose, new Strategy and strategic outcomes and be an effective, proportionate, targeted, and dynamic regulator.

R11 Capacity and capability – BAU

If we fail to prioritise our work and how we use our resources; and do not have the right number of people in the organisation with the right skills to deliver now and in the future, we will not deliver our purpose and strategic outcomes.

R12 Funding - BAU

If we do not have a robust funding strategy for provider fees and grant in aid, we risk not being able to cover our operating costs.

R14 Business continuity, IT/information and health and safety

If, due to Cyber security attacks, we are unable to deliver our IT technologies and systems, then critical work will not be delivered or data security breached.

If we are not protecting or securely managing our information, then loss of personal/ confidential data will cause harm/distress to individuals; and people will be unwilling to share information with us.

If we fail to plan to prevent or mitigate a major health and safety incident involving our staff then they will be at risk of severe harm or worse.


Budget 2021-22

  Budget
2021/22
£m
Budget
2020/21
£m
Budget
2019/20
£m
Pay 185 176 176
Non-pay 45 54 50
Expenditure 229 230 226
Depreciation 9 8 10
Total net expenditure 238 238 236
Fee income -205 -206 -208
Funded Activity -2 -2 -2
Grant in Aid -25 -24 -25
Non-cash -1 -1 -1
Reserves -5 -5 0
Total funding -238 -238 -236
Last updated:
03 August 2021