How existing registered managers become registered under the HSCA

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					A new system of registration

How existing registered managers
become registered under the
Health and Social Care Act 2008
Guidance for providers and registered managers




July 2010




PoC2A 100776 6.00 How existing registered managers become registered under the
Health and Social Care Act 2008: Guidance for providers                          1
Update note
We have updated this guidance document from version 5 to version 6. The changes relate to
managers in a job share position and are in the answer to question 4. They tell you what to do
depending on whether or not your provider has included your details on its ‘webform’ (ie via the
internet) application for registration.




PoC2A 100776 6.00 How existing registered managers become registered under the
Health and Social Care Act 2008: Guidance for providers                                       2
Introduction
This guidance is for existing providers of adult social care and independent healthcare and
existing registered managers who are required to register under the Health and Social Care Act
2008. It applies to providers who are currently registered under the Care Standards Act 2000.

The guidance gives an overview of:
•   What existing registered managers who are currently registered under the Care Standards
    Act 2000 must do to become registered under the Health and Social Care Act 2008.
•   What registered managers who are not currently registered under the Care Standards Act
    2000 must do to become registered under the Health and Social Care Act 2008.


Background
The regulation of health and adult social care is changing. The Health and Social Care Act 2008
introduced a new, single registration system that applies to both health and adult social care
services.

All health and adult social care providers who provide regulated activities will be required to be
registered with us. To do so, providers must show that they are meeting new essential standards
of quality and safety.

A regulated activity is the health or social care that is being provided. The list of regulated
activities that we will register is set out in the Health and Social Care Act 2008 (Regulated
Activities) 2010 Regulations.

Providers of independent healthcare or adult social care have previously been registered under
the Care Standards Act 2000. But differences between the new and the current registration
system mean that, where existing providers carry out regulated activities under the new system,
they will need to apply to us to register their services. They cannot simply transfer from the
current system to the new one.

We have published guidance about the Government’s new regulations and what providers
should do to comply with them, called Guidance about compliance: Essential standards of
quality and safety.

The essential standards of quality and safety are focused on outcomes − the experience people
have as a result of the care they receive − rather than on systems and processes. The provider is
responsible for the quality of the services that they provide and must demonstrate to us that
they meet the essential standards.

Our Essential standards of quality and safety publication makes clear the outcomes we expect
people to experience if a provider is compliant with the regulations. This will also give you
further information about the regulations that affect registered managers.

Principles of the system
All adult social care and independent healthcare providers will be subject to a registered
manager condition where:
•   The provider is an organisation (which includes a limited liability partnership) OR



PoC2A 100776 6.00 How existing registered managers become registered under the
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•     The provider is an individual where the individual will not be in full-time day-to-day charge
      of carrying on the regulated activity, or is not fit to manage the carrying on of the activity.

There are arrangements for those registered managers who are currently registered under the
Care Standards Act 2000, to make a ‘transitional application’ to be registered under the Health
and Social Care Act 2008.

The following flowchart outlines the process:

      Are you a
      Registered                                                     You will need to complete and return
                                                                     You will need to complete and return a
       Manager          yes                                           a
                                                                    Registered Manager declaration form
       currently                                                                      form
                                                                    (part of provider transitional application)
      registered
      under CSA
        2000?

             no

         Are you
         Are you
      submitting be
     applying to an                                                  You will need to complete and return
    application to be
      a Registered      yes                                             a new Registered Manager
       a Registered                                                   application under the Health and
                                                                      application under the Health and
      Manager after
       1 August                                                            Social Care Act 2008
    1 August 2010?
          2010?


             no
                                                                       Following acceptance of application
                                                                       Following acceptance of application
                                                                      You will need to complete and return
                                                                      You will need to complete and return
                        You will need to complete and return
                                                                                           Registered
                                                                           a Transitional Registered
                           a new Registered Manager
                                                                           Manager declaration form
                           application under the Care
                          application under the Care
                                                                         (to migrate to regulation under
                                Standards Act 2000
                                                                                  HSCA 2008)




If you are an existing registered manager who is currently registered under the Care Standards
Act 2000, please refer to section 1.

If you are a registered manager who is not currently registered under the Care Standards Act
2000, please refer to section 2.




PoC2A 100776 6.00 How existing registered managers become registered under the
Health and Social Care Act 2008: Guidance for providers                                                           4
Section 1: Registered managers currently registered under the Care
Standards Act 2000



    1                         Why do I have to become registered under the Health
                              and Social Care Act 2008?

                              The Health and Social Care Act 2008 introduces a new, single registration
                              system for both health care and adult social care services and will replace
                              the Care Standards Act 2000. Providers of activities that must be registered
                              under the new system will need to apply to register their services. There is
                              no automatic transfer from the current system to the new one.
                              To be registered, all adult social care and independent health care
                              providers will be subject to a registered manager condition where:
                              •   The provider is an organisation (which includes a limited liability
                                  partnership) OR
                              •   The provider is an individual where the individual will not be in full-
                                  time day-to-day charge of carrying on the regulated activity, or is
                                  not fit to manage the carrying on of the activity.
                              Having been assessed as fit to be a registered manager under the Care
                              Standards Act does not mean that you are ‘automatically’ allowed to be
                              a registered manager under the new Act. As the regulations have
                              changed, you must now be assessed as fit to be a registered manager
                              for the new regulated activities.
                              However, under transitional arrangements, we are following a modified
                              procedure towards assessing the fitness of existing registered managers
                              already registered under the Care Standards Act to allow you to be
                              registered under the Health and Social Care Act.
                              Registered managers are allowed to be registered for more than one
                              regulated activity.


                              What criteria must I meet to use the transitional process
    2                         to become a registered manager under the Health and
                              Social Care Act 2008?

                              You are only eligible to become a registered manager under the Health
                              and Social Care Act 2008 using transitional arrangements if:
                              •   You are a registered manager on our register as at the date the
                                  transitional application is sent to the Commission; and
                              •   The establishment you are working for is also currently registered
                                  under the Care Standards Act as at the date the transitional
                                  application is sent to the Commission.
                              If you do not meet these criteria, you are unable to follow this process.


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                              If I am a registered manager and meet these criteria,
    3                         what do I do to become a registered manager under the
                              Health and Social Care Act 2008?

                              Your service will be completing a transitional application to become
                              registered as a provider under the Health and Social Care Act 2008.
                              (Please note that if you work for an organisation that has several
                              locations, these will all be included in a single application by the
                              organisation as a single provider.)
                              As part of the provider’s transitional application, there is also the
                              opportunity to apply for one or more person(s) to be registered as a
                              manager, where each of those persons (i.e. the registered managers)
                              has given their written consent to that application being made on their
                              behalf. This is known as the ‘Registered Manager declaration’.
                              (You may or may not be involved in completing this application. You
                              should talk to your organisation for further information on how it is
                              going to complete and submit the application.)



    4                         What does the registered managers declaration form say?


                              By signing the declaration form, you are confirming that:
                              •   The information contained within the application is accurate and
                                  correct (completed by the provider) for the location for which you
                                  are the registered manager. You may be registered for more than
                                  one location. Please ensure this is on your declaration form.
                              •   The information in the application is true and accurate.
                              •   You understand that to knowingly make a false declaration could
                                  lead to refusal of the application.
                              •   You agree to comply with the Health and Social Care Act 2008 and
                                  associated regulations.
                              •   You understand that non-compliance with the relevant legislation
                                  could lead to compliance conditions being applied to your
                                  registration or the refusal of the application.

                              If your service has used our ‘webform’ (on the internet) to complete
                              their transitional application, but you are in a job share position, only
                              one registered manager can be detailed on the webform per location.
                              You should contact your provider to understand if your details have
                              been included on the webform.



PoC2A 100776 6.00 How existing registered managers become registered under the
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                              If your details have been included on the webform, please complete the
                              declaration as detailed above

                              If your details have NOT been included on the webform, please contact
                              us, via our National Contact Centre, for a ‘Transition Registered
                              Manager Declaration’ form. You should complete this and send it back
                              to us. This form contains sections for us to identify you and the service
                              you work for, and the declaration is exactly the same as that contained
                              in the webform.




    5                         What do I do with the registered managers declaration
                              form?


                              Once you have signed the declaration form, you should send it to our
                              National Processing Centre at:
                                   CQC HSCA Signatures
                                   Citygate
                                   Gallowgate
                                   Newcastle upon Tyne
                                   NE1 4PA
                              If you work for an organisation that will have more than one registered
                              manager, we would prefer you to submit all declaration forms together.
                              This will be processed and assessed by us. It may be either granted (and
                              conditions may be applied) or refused. A Notice of Decision will then be
                              issued (or a Notice of Proposal in the case of a refusal).




    6                         What do I do if my personal details change after I have
                              received my notice of decision?


                              Up to 30 September 2010: You are required to submit a ‘notification of
                              change’ under the Care Standards Act 2000. We will use this
                              information to update your registration record.
                              From 1 October 2010: You are required to submit a ‘notification of
                              change’ under the Health and social Care Act 2008.




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    7                         What do I do if I cease employment as a registered
                              manager after I have submitted my application?

                              Up to 30 September 2010: An application to cancel the manager
                              registration must be made under the Care Standards Act 2000. We will
                              use this information to update your registration record.
                              From 1 October 2010: An application to cancel the manager registration
                              must be made under the Health and Social Care Act 2008.



    8                         Can I apply if I am currently suspended by my employer?



                              Yes. We will not seek to pre-empt your employer’s decision on whatever
                              matter is under investigation.



    9                         What happens if I am on long-term sick leave or
                              maternity leave?

                              Transition arrangements only allow for the ‘permanent’ registered
                              manager to apply to be registered manager under the Health and Social
                              Care Act 2008 in this way.
                              You have 28 days to submit the registered manager declaration after
                              the application window for the provider has closed.
                              It is up to the provider (your employer) to decide whether to contact
                              you while you are on long-term sick leave to ask you to complete the
                              registered manager declaration. If they do contact you, it is also up to
                              you whether you choose to return it or not.
                              However, if the registered manager declaration is not completed then
                              you will not be able to follow the same process on your return to work.
                              You will no longer be a transitional applicant and you will have to make
                              a full new application under the Health and Social Care Act 2008 to be a
                              registered manager and meet all the requirements that the application
                              specifies.




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Health and Social Care Act 2008: Guidance for providers                                             8
Section 2: Registered managers currently not registered under the Care
Standards Act 2000


    10                        Why do I have to become registered under the Health
                              and Social Care Act 2008?

                              The Health and Social Care Act 2008 introduces a new, single
                              registration system for both health care and adult social care services
                              and will replace the Care Standards Act 2000. Providers of activities
                              which must be registered under the new system will need to apply to
                              register their services. There is no automatic transfer from the current
                              system to the new one.
                              To be registered all adult social care and independent health care
                              providers will be subject to a registered manager condition where:
                              •   The provider is an organisation (which includes a limited liability
                                  partnership) OR
                              •   The provider is an individual where the individual will not be in full-
                                  time day to day charge of carrying on the regulated activity or is not
                                  fit to manage the carrying on of the activity.



                              If I am applying to be a registered manager after
    11                        1 August 2010, what must I do?


                              If you are applying to be a registered manager after 1 August 2010, you
                              must apply under the Health and Social Care Act 2008 as a ‘new
                              registered manager’.
                              You will not be able to apply under the Care Standards Act 2000 after 1
                              August 2010.



                              Where can I find more information about applying to be
    12                        a registered manager under the Health and Social Care
                              Act?

                              You should read our guidance for new providers, which provides outline
                              information on applying to be a new registered manager. This will be
                              available on our website.
                              You should complete our new manager application form.



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                              You should refer to our Guidance about compliance: Essential standards
                              of quality and safety to understand the requirements for a registered
                              manager as stated in the regulations.
                              After you submit your new manager application form (which includes
                              submission of other key documents, such as an enhanced CRB
                              disclosure), you will be assessed in an interview.




    13                        If I am applying to be a registered manager before
                              1 August 2010, what must I do?


                              If you are applying to be a registered manager before 1 August 2010,
                              you must apply under the Care Standards Act 2000 as a ‘new registered
                              manager’.
                              You may not apply under the Health and Social Act 2008 before
                              1 August 2010.
                              You will be assessed under the regulations contained within the Care
                              Standards Act. Following a successful assessment, you will need to be
                              migrated to be registered under the Health and Social Act. To do this,
                              you will need to sign and return a Transitional Registered Manager
                              form.



    14                        What does the registered manager declaration
                              form say?


                              By signing the declaration form, you are confirming that:
                              •   The information contained within the application is accurate and
                                  correct (completed by the provider) for the location for which you
                                  are registered manager.
                              •   The information in the application is true and accurate.
                              •   You understand that to knowingly make a false declaration could
                                  lead to refusal of the application.
                              •   You agree to comply with the Health and Social Care Act 2008 and
                                  associated regulations.
                              •   You understand that non-compliance with the relevant legislation
                                  could lead to compliance conditions being applied to your
                                  registration or the refusal of the application.




PoC2A 100776 6.00 How existing registered managers become registered under the
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    15                        What do I do with the registered managers declaration
                              form?


                              Once you have signed the declaration form, you should send it to our
                              National Processing Centre at:
                                   CQC HSCA Signatures
                                   Citygate
                                   Gallowgate
                                   Newcastle upon Tyne
                                   NE1 4PA
                              If you work for an organisation that will have more than one registered
                              manager, we would prefer you to submit all declaration forms together.
                              This will be processed and assessed by us. It may be either granted (and
                              conditions may be applied) or refused. A Notice of Decision will then be
                              issued (or a Notice of Proposal in the case of a refusal).



    16                        What do I have to do if my personal details change after
                              I have received my notice of decision?


                              From 1 October 2010: You are required to submit a ‘notification of
                              change’ under the Health and social Care Act 2008. We will use this
                              information to update your registration record.



                              What do I have to do if I cease employment as a
    17                        registered manager after I have submitted my
                              application?

                              From 1 October 2010: An application to cancel the manager registration
                              must be made under the Health and Social Care Act 2008.



    18                        Can I apply if I am currently suspended by my employer?



                              Yes. We will not seek to pre-empt your employer’s decision on whatever
                              matter is under investigation.


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    19                        How will you apply manager conditions?



                              Where there is a manager we will:
                              • Apply a restrictive condition at the provider level:
                                 The Registered Provider must ensure that the regulated activity
                                 <regulated activity> is managed by an individual who is registered as
                                 a manager in respect of the activity, as carried on at or from the
                                 location/s <locations>.

                              Where there is no manager we will:
                              • Apply a restrictive condition at the provider level (as above)
                              AND
                              • Apply a compliance condition with a time limit at the location level:
                                 The Registered Provider must ensure that the regulated activity
                                 <regulated activity> is managed by an individual who is registered as
                                 a manager in respect of the activity, as carried on at or from the
                                 location <location> by 1 April 2011.

                              Please note:
                              Where we use the restrictive manager condition only, this is an agreed
                              condition.
                              Where we apply a compliance condition to ensure that a manager is in
                              place, this is not an agreed condition.




PoC2A 100776 6.00 How existing registered managers become registered under the
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