Wales

Under the 1974 Act employers are required to ensure the health, safety and welfare of employees in the workplace ‘so far as is reasonably practicable’. Specifically mentioned are the use, handling and storage of articles and materials, safely maintaining the workplace and systems of work, and the adequate provision of facilities.

Breach of this provision is an offence.

The 1974 Act also places general requirements on employees to take reasonable care for the health and safety of her- or himself in the workplace and to take this level of care to others who may be affected by their acts (or omissions) at work. Employees are also required to cooperate with employers to meet the employer’s health and safety duties.

Breach of this provision is an offence.

In Wales, the general objectives of the regulation of social care providers and the workforce are to ‘protect, promote and maintain the safety and wellbeing of people who use regulated services’ and to ‘promote and maintain high standards in the provision of regulated services’.  The safety and wellbeing of supported individuals is therefore the primary focus of Regulations that pertain specifically to the regulation of care and support settings.  However, these Regulations also have important implications for the health and safety of care workers.

Regulation 14 is about the ‘suitability’ of services – that is, ensuring that a provider does not provide a service which is not suitable for an individual in receipt of that service. The provider must take into account any potential risks to the wellbeing of the individual or other service users. Risks to the wellbeing of staff are not mentioned, but the Regulatory Guidance issued by the Welsh Government expects a service provider to consider – among other things – ‘any risks to the individual or to others using the service and staff’(emphasis added).

Breach of this Regulation is not an offence, but the CIW can take [enforcement action].

Welsh Government, ‘Statutory Guidance (April 2019).

Regulation 44 relates to premises (where these are provided as part of care and support, such as in a residential home). Among other things, premises are required to be adequately lit, heated and ventilated, secure from unauthorised access, kept in good repair, clean, properly maintained, and ‘free from hazards to the health and safety of individuals and any other persons who may be at risk’ (so far as is reasonably practicable). These aspects are primarily intended for the wellbeing of individuals using the service, but also have implications for the wellbeing of staff. This Regulation also explicitly requires premises to have ‘suitable facilities for staff’ including storage facilities and, where appropriate ‘suitable sleeping accommodation and changing facilities’.

Breach of this regulation is not an offence, but the CIW can take [enforcement action].

Regulation 48 requires service providers to ensure that facilities and equipment ‘used for the provision of a service’ are suitable and safe for the purpose for which they are used, safely used, properly maintained, stored appropriately and kept clean to an ‘appropriate’ standard. The Guidance expects that facilities for the storage of equipment ‘do not present a risk to individuals using or working at the service’ and that staff and others operating the equipment are properly trained. The Guidance also refers to equipment being serviced, maintained, renewed and replaced ‘where appropriate’, stored in line with manufacturer instructions and ‘used for its intended purpose’. While this Regulation exists essentially to protect service users, there are clear health and safety implications for employees and other staff. The Guidance does not clarify whether this Regulation extends to items not providedby the service provider but used by staff in their work (such as a cooker or kettle in a person’s own home).

Breach of this Regulation is not an offence, but the CIW can take [enforcement action].

Welsh Government, ‘Statutory Guidance (April 2019).

Regulation 56 is about hygiene and infection control. It requires service providers to ensure satisfactory standards of hygiene and the appropriate disposal of general and clinical waste, and to have policies and procedures in place ‘for the control of infection and to minimise the spread of infection’. Guidance expects providers of accommodation-based services to have cleaning programmes in place and to provide the equipment necessary to maintain ‘high standards of hygiene’ such as handwashing facilities. All providers are expected to provide access to protective clothing. Staff are also expected to have training on hygiene and on reducing and preventing the spread of infection. Again, these provisions have implications for the health and safety of staff as well as those using services. Risks to staff include biohazard and exposure to chemicals in cleaning products.

Breach of Regulation 56 is not an offence, but the CIW can take [enforcement action].

Welsh Government, ‘Statutory Guidance (April 2019).

Regulation 57 (health and safety) requires service providers to ‘ensure that any risks to the health and safety of individuals are identified and reduced so far as reasonably practicable’. ‘Individuals’ refers to those using care and support. The Guidance refers providers to ‘current legislation and national guidance in relation to health and safety, fire safety’ and other matters. Examples of relevant matters include safe water temperatures, safe disposal of clinical waste and regular health and safety risk assessments of premises and equipment. Providers are expected to ‘act on the views’ of external agencies that provide best practice guidance.

Breach of this Regulation is not an offence, but the CIW can take [enforcement action]. However, an action or omission that breaches this Regulation, may also breach provisions under the Health and Safety Act 1974 or attendant Regulations.

Welsh Government, ‘Statutory Guidance (April 2019).

Providers are required to gathering the views of staff about service provision. Under Regulation 73, there must be a meeting with staff at each service, including domiciliary services, at least every three months. There must also be ‘suitable arrangements in place for obtaining the views’ of various groups, including staff, on ‘the quality of care and support provided and how this can be improved’. These views must be reported back to the service provider so that they can be taken into account in ‘plans for improvement of the quality of care and support provided by the service’. These views must also be considered in mandatory six-monthly reviews of the quality of care and support provided by the service. While these requirements are not specifically linked to the health and safety of careworkers, the requirement to consult staff creates expectations and places an emphasis on staff wellbeing.

Breach of Regulation 73 (the requirement on a responsible individual to meet with staff and other groups at each service at least every three months) is an offence. Breach of the remainder of these requirements is sanctioned through [regulatory action].

Welsh Government, ‘Statutory Guidance (April 2019).

Under the Equality Act 2010, workers are protected from direct and indirect discrimination, harassment and victimisation in their workplaces on the grounds of ‘protected characteristics’.  The characteristics including sex (gender), race, religion, disability, age and sexual orientation. ‘Harassment’ protection relates to behaviour that violates a person’s dignity, or creates a degrading, humiliating, hostile, intimidating or offensive environment on grounds of a protected characteristic and include harassment from employers or managers, fellow workers and individuals using services.

The [Code of Practice for Social Care Employers], published by Social Care Wales (‘the Employer Code’), places requirements on employers and care workers that relate to staff health, safety and wellbeing.  For example, employers are expected to:

·      Give workers clear information about their roles and responsibilities, relevant legislation and the policies and procedures they must follow in their work (1.4).

·       Give workers clear information about lines of management communication and support in the workplace. This includes information about support for the worker’s health, safety and well-being in the workplace (1.5).

·       Have policies and systems in place for workers to raise concerns about matters that may have a negative effect on the delivery of safe and dignified care and take action to respond to such concerns (2.7).

·       Respond appropriately to social service workers who need support because they do not feel able or well enough prepared to carry out their work (3.4).

·       Put in place policies and procedures that promote the health, well-being and equality of workers and respect diversity (4.1).

·       Put in place policies and procedures to ensure compliance with relevant health, safety and security requirements. This includes making sure workers are aware of these including mandatory requirements, any changes or updates, monitoring compliance and taking appropriate action where policies and procedures are not adhered to (4.2).

·       Support workers who experience trauma or violence in their work (4.7).

In relation to fitness to practise and worker wellbeing, the Employer Code expects employers to provide support to workers whose fitness to practise may be impaired and give clear guidance about any limits on their work while they are receiving support. While doing this, the priority for the service provider is the care and safety of individuals using services (4.8).

Regulation 37 requires service providers to follow the Employer Code. Breach of this Regulation or provisions in the Employer Code is not an offence, but CIW can take [enforcement action].

Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017 – Regulation 37.

The [Code of Practice for Social Care Employers] sets out expectations through which employers should take steps which protect staff from abusive or discriminatory behaviour by other staff, management and by service-users:

·       Make it clear to workers that bullying, harassment or any form of discrimination is not acceptable and take action to deal with such behaviour (4.4)

·       Have procedures for workers to report dangerous, discriminatory, or abusive behaviour and practice and deal promptly, effectively and openly with reports (4.5)

·       Make it clear to workers, individuals and carers that violence, threats or abuse are not acceptable. This includes having clear policies and procedures for reducing the risk of violence and managing violent incidents (4.6)

Regulation 37 requires service providers to follow the Employer Code. Breach of this Regulation or provisions in the Employer Code is not an offence, but CIW can take [enforcement action].

Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017 – Regulation 37.

[Careworkers in certain roles are now required to register with Social Care Wales]. Once registered, they are required to follow the Code of Professional Practice for Social Care. This Code requires registered careworkers to:

·       ensure that their actions promote equality, diversity and inclusion (1.5);

·       use relevant processes and procedures to challenge and report dangerous, abusive, discriminatory or exploitative behaviour and practice (3.7);

·       raise concerns with their employer or an appropriate authority if the practice of colleagues or other professionals may be unsafe or adversely affecting standards of social care and support (3.8);

·       bring resource or operational difficulties that might get in the way of the delivery of safe social care and support to the attention of their employer or an appropriate authority (3.9);

·       follow risk assessment policies and procedures to assess whether the behaviour of individuals presents a risk of harm to themselves or other people (4.2) and ensure that relevant colleagues and agencies are informed about the outcomes and implications of risk assessments (4.4);

·       take necessary steps to minimise the risks of individuals’ behaviour causing actual or potential harm to themselves or other people (4.3);

·       work in a lawful, safe and effective way (6.1);

·       inform their employer or the appropriate authority about any personal difficulties that might affect their ability to work competently and safely (6.4);

·       seek assistance from their employer or the appropriate authority if they do not feel able or adequately prepared to carry out any aspect of their work or are not sure about how to proceed in a work matter (6.5);

·       work openly and co-operatively with colleagues and treat them with respect (6.6);

·       undertake relevant learning and development to maintain and improve knowledge and skills to ensure they are fit to practise(6.9);

·       co-operate with investigations by employers, Social Care Wales, or other appropriate bodies (6.10).

In addition, social care workers must not:

·       directly or indirectly abuse, neglect or harm individuals, carers or colleagues (5.1);

·       exploit individuals, carers or colleagues in any way (5.2);

·       discriminate unlawfully or unjustifiably against individuals, carers, colleagues or other people (5.5);

·       condone any unlawful or unjustifiable discrimination by individuals, carers, colleagues or other people (5.6);

·       put themselves or other people at unnecessary risk (5.7).

While many of these requirements are designed primarily to ensure the health, safety and wellbeing of those using services, others place explicit requirements on registered care workers that relate to colleagues, and still more carry implicit implications for worker wellbeing.

Breach of the Code by a registered care worker may call their [fitness to practise] into question. If so, they may be investigated and sanctioned by [Social Care Wales] under its [fitness to practise proceedings].

The Welsh Government has also published practice guidance for domiciliary care workers, which contains a section on ‘health and safety’. The guidance expects workers to keep to their employer’s policies and procedures on infection control, cleaning and waste management, and moving and handling, undertake mandatory health and safety training and keep to health and safety measures in individual care plans. It contains a number of statements that highlight risks relating to the provision of care in service users’ own homes, referring to emotional demands and stress, lone working, and ‘managing behaviour and violence’ against staff.

This practice guidance is stated to ‘build on the Code of Professional Practice for Social Care’. There is no specific sanction on an individual for breach, but it is stated that CIW ‘may take [the] guidance into account in their work’.

Practice guidance for domiciliary care workers registered with Social Care Wales’ (April 2018).