1. 14 June 2011 Michael Wright Clinical Governance Team, Department of Health The Responsible Officer: Moving Forward

2. Responsible Officer Regulations Overview  Management of doctors  Linking doctors and responsible officers  Functions of responsible officers  Conflicts of interest  Changes to the NHS Architecture

3. Responsible Officer Regulations 3 Management of doctors Revalidation National Local Recommendation Standards Erasure or other sanctions Concerns and adverse incidents Rehabilitation, remediation and reskilling Management processes Fitness to practise processes Assessment Supporting Information Multi Source Feedback Annual appraisal PDP Improving practice

4. Responsible Officer Regulations What is the difference? The Responsible Officer Regulations:  Specific link  Statutory responsibility  Statutory functions  Formalises the role  Resource the role  Enable conflicts of interest to be identified and managed

5. Responsible Officer Regulations Linking Ros and doctors - An example Trainees NHS GPs Employees Practising privileges Part time 2 sessions 4 sessions for another Full time Part time >5 sessions Private GP Consultant Employed by NHS Locums X XX XX Consultant Not employed Works mainly here

6. Responsible Officer Regulations 6 Who am I the responsible officer for? Am I on a Performers List? My employer PCT, Local Health Board (Wales) or Health Board (Scotland) of my Performers List Do I have practising privileges with an independent hospital? Healthcare provider I have practising privileges with Am I a member of ? Independent Doctors Federation Faculty of Pharmaceutical Medicine Faculty of Occupational Medicine Faculty of Public Health My Faculty or Society Am I employed by a designated body? The arrangements for revalidating the minority of doctors falling outside this framework are subject to further discussion and consideration and will be set out in due course The locum Agency No Am I a postgraduate trainee? My deanery Do I work as a locum? BUT The majority of my work is in the forces The armed force I work for Otherwise I locum in Scotland? My agency is part of the PASA Framework agreement Otherwise The Health Board The PCT/LHB No

7. Responsible Officer Regulations What does this mean for responsible officers? Identify doctors that you employ or contract with Ask them where they work Identify doctors that have a connection with you Maintain records

8. Responsible Officer Regulations Roles of responsible officers Setting up local systems of clinical governance, in particular those relating to –medical revalidation  doctors appraised  cohort of trained appraisers –information –concerns over the performance and conduct of doctors –liaison with the GMC Personal involvement in individual cases –serious concerns over the performance, conduct and health of individual doctors –recommendations to GMC on revalidation

9. Responsible Officer Regulations The statutory functions  evaluation of fitness to practise  monitoring of conduct and performance

10. Responsible Officer Regulations Evaluating fitness to practise Responsibilities relating to the evaluation of fitness to practise  to ensure that the designated body carries out regular appraisals;  to establish and implement procedures to investigate concerns about a medical practitioner’s fitness to practise;  where appropriate, to refer concerns about the medical practitioner to the General Council;  to monitor compliance with GMC conditions or undertakings;  to make recommendations to the General Council about medical practitioners’ fitness to practise;  to maintain records of practitioners’ fitness to practise evaluations, including appraisals and any other investigations or assessments. The Medical Profession (Responsible Officer) Regulations 2010

11. Responsible Officer Regulations Whole practice appraisal  GMC “If you work across different roles and specialties you will still ideally, where possible, have one appraisal, which covers all your roles as a doctor. This is known as a 'whole practice appraisal'.”  Responsible Officers  ensure that the designated body carries out regular appraisals; and  The RO must ensure that appraisals carried out … involve obtaining and taking account of all available information relating to the medical practitioner’s fitness to practice in the work carried out for the designated body, and for any other body, during the appraisal period.

12. Responsible Officer Regulations What does this mean for the RO?  Identify other places each doctor works  Who knows  Timing  Establish systems to gather information  Multi source feedback  Contact other organisations  Portability of information  Establish systems to provide information  Locums  Other doctors  Role of the RO networks

13. Responsible Officer Regulations Monitoring conduct and performance - 1  review regularly the general performance information held by the designated body, including clinical indicators relating to patient outcomes;  identify any issues arising from this information relating to medical practitioners, such as variations in individual performance; and  ensure that the designated body takes steps to address any such issues.  where appropriate take any steps necessary to protect patients;  recommend to the medical practitioner’s employer that the practitioner should be suspended or have conditions or restrictions placed on their practice; and  identify concerns and ensure that appropriate measures are taken to address these, including but not limited to—  requiring the medical practitioner to undergo training or retraining;  offering rehabilitation services;  providing opportunities to increase the medical practitioner’s work experience;  addressing any systemic issues within the designated body which may have contributed to the concerns identified;  maintain accurate records of all steps taken in accordance with this paragraph. The Medical Profession (Responsible Officer) Regulations 2010

14. Responsible Officer Regulations Monitoring conduct and performance - 2  initiate investigations with appropriately qualified investigators;  ensure that procedures are in place to address concerns raised by patients or staff of the designated body or arising from any other source;  ensure that any investigation into the conduct or performance of a medical practitioner takes into account any other relevant matters within the designated body, for example wider concerns about operational or systems issues;  consider the need for further monitoring of the practitioner’s conduct and performance and ensure that this takes place where appropriate;  ensure that a medical practitioner who is subject to procedures under this paragraph is kept informed about the progress of the investigation;  ensure that procedures under this paragraph include provision for the medical practitioner’s comments to be sought and taken into account where appropriate. The Medical Profession (Responsible Officer) Regulations 2010

15. Responsible Officer Regulations What does this mean for the RO?  Improve clinical governance information systems  Identify doctor specific information  Provide to the doctor?  Consider further information  Establish systems to improve quality of care  Identify issues  Verify improvement opportunities  Implement  ORSA action plan  RO Networks  GMC ELAs

16. Responsible Officer Regulations Conflicts of interest  Duty to nominate or appoint additional responsible officers in cases of  conflict of interest; or  appearance of bias.  The body must ensure no further conflict or bias  Second RO becomes the RO for the doctor

17. Responsible Officer Regulations RO roles in changing NHS architecture PCTs –Performers List –agency locums (Non framework, secondary care) SHAs –Responsible officer’s responsible officer; –Trainees.

18. Responsible Officer Regulations The future NHS architecture PCTs and SHAs abolished Instead –NHS Commissioning Board; –Commissioning Consortia; –Employer Skills Networks.