A working arrangements protocol between the Health and Safety Executive, local authorities coordinators of regulatory services (on behalf of Local Authorities) and the Commission for Social Care Inspection

SIM 07/2009/09

OG Status:

Fully open

Review date

20.05.2011

Author Section:

Public Services Sector (Health and Social Care Services Unit)

Target Audience

HSE inspectors, HSAOs, other visiting staff and Local Authority inspectors in England and Wales

Summary

This SIM introduces ‘A working arrangements protocol' between the Health and Safety Executive, Local Authorities Coordinators of Regulatory Services (on behalf of Local Authorities in England) and the Commission for Social Care Inspection to facilitate effective working relationships in areas of mutual interest within England.

Purpose

To inform HSE Inspectors, other visiting staff and LA Inspectors that the Working arrangement protocol between the Health and Safety Executive (HSE), Local Authorities Coordinators of Regulatory Services (LACORS) (on behalf of Local Authorities in England) and the Commission for Social Care (CSCI) has been published and is available on their respective web sites.

Background

1. The protocol outlines areas of interaction between HSE, LAs and CSCI, clarifies respective roles and responsibilities and puts in place mechanisms to promote effective working relationships at a local and national level. Guidance on safeguarding adult’s procedures are also included because they are relevant to the operation of the protocol.

2. The protocol is the culmination of working collaboratively with CSCI and LACORS since June 2007.  At that time HSE, LACORS and CSCI established the Risk and Safety in Social Care Project Board (RSSCPB)  “to promote sensible risk management in the social care sector which strikes the right balance between enabling adults and children who use care services to lead independent and dignified lives and the need to avoid and prevent unnecessary harm to them and their carers.”   The RSSCPB recognised from the outset the importance of ensuring that all three organisations would be equipped to follow the principles laid down in a future protocol and as a consequence the early stages of work concentrated on issues such as communication, liaison and training.

Information sharing

3. The protocol (Paragraphs 65 to 76) sets out the principles for the exchange of information in relation to security, data protection and confidentiality.  In addition to this advice staff should note that CSCI is not a prescribed body for disclosure under section 28 HSWA, the section 28(3) HSWA exemption to disclosure of relevant information (as defined in section 28(1)(a) HSWA)  does not apply. 

4. However, HSE/LAs may disclose relevant information (as defined in section 28(1)(a) HSWA) and or information obtained as a result of the exercise of any powers conferred by section 14(4)(a) or 20 HSWA (certain powers of entry and inspection) to CSCI where it is necessary for the purposes of any legal proceedings, or any investigation or inquiry held by virtue of section 14(1) or (2A) HSWA, or with the consent of the duty holder or person(s) who provided the information, or in respect of information obtained as a result of the exercise of any powers conferred by section 14(4)(a) or 20 HSWA, where HSE /LAs are satisfied that such disclosure serves a positive health and safety purpose; and provided that such disclosure complies with the law including the Data Protection Act 1998, the Human Rights Act 1998 and the common law duty of confidentiality and the relevant information security provisions of the Protocol.

5. The law relating to data sharing is complex.  If you are unsure of whether disclosure will comply with the law, please contact the FOI Unit in Redgrave Court (VPN 523 5774) or, if they cannot resolve the query, the HSE legal advisers. Local authorities should contact their own FOI representatives for advice.

Future developments

6. The Care Quality Commission (CQC) was established by the Health and Social Care Act 2008 to regulate the quality of health and social care provision in England and look after the interests of people detained under the Mental Health Act.  It brings together the work of CSCI, the Healthcare Commission, and the Mental Health Act Commission.  CQC became a legal entity in October 2008, takes up its responsibilities for the quality of health and social care in April 2009 but will not become fully operational in its role to assess health and social care provision against revised provider registration requirements until April 2010 . 

The protocol has been passed to CQC who have agreed to follow the arrangements described in the protocol pending a review by the new body. 

7. One of the protocol’s actions (see paragraph 79)  is for CSCI to organise an annual meeting of the Chairs of the County Groups on a regional basis as a means of discussing particular issues at a local level.  Due to CQC staff changes at an operational level there will inevitably be a delay in implementing this. CSCI have already written to their Business Relationship Managers and Regional Directors who will liaise with CQC to ensure this aspect of the protocol is taken forward by the new regional teams. 

8. The protocol will be reviewed once CQC becomes fully established in 2010 although it is anticipated that discussions about our arrangements for working together will be ongoing.

Activities required

9. Inspectors and other visiting staff should be familiar with the content of the protocol before visiting a care service that is registered with CSCI (or CQC from 1 April 2009).  Details of those services can be found in Annex A of the protocol.

10. Complaints officers should familiarise themselves with paragraphs 63 and 64 as these deal with complaints.  Officers will need to be aware of the arrangements as they may receive complaints from members of the public who may not be aware of CSCI’s (CQC from 1 April 2009) remit.  The protocol is mentioned in the revised Open Government complaints procedure.

Diversity

11. HSAOs and inspectors should be aware of the diversity needs of the target group. They should give consideration to, and factor in issues such as literacy, English as a second language and disability (e.g. access needs).

12. The Diversity pages give more information on these areas.

Feedback

13. The sector would welcome feedback from operational colleagues on the implementation of the protocol via publicservicessector@hse.gsi.gov.uk.