Scotland

Service providers must ensure that they [do not employ careworkers unless they are suitable for the role]. People are deemed to be unsuitable if they do not have the necessary qualifications, skills and experience, and are not of ‘integrity and good character’. They are required to be registered with a professional body and must not have certain criminal convictions.

Breach of Regulation 9(1) (the requirement to employ fit persons) is a criminal offence.

Regulation 13(2) stipulates that a person must not provide, manage or be employed in a care service for adults if they are listed in the adults’ list of the Protection of Vulnerable Groups (Scotland) Act 2007. Under this Act, it is an offence for an individual to undertake work from which they are barred, or for an organisation to offer such work to a barred individual.

Service providers must ensure that individuals using the service are not subject to restraint unless it is ‘the only practicable means of securing the welfare and safety of that or any other service user and there are exceptional circumstances’.  ‘Exceptional circumstances’ are not defined, and there is no specific requirement as to who may use restraint, or for the training of careworkers in restraint methods.

Breach of this regulation is not an offence, and is therefore enforced through the inspection regime.

[Guidance issued by the Scottish Government] contains a number of Standards that service providers are expected to meet. The primary purpose of these is to ensure the wellbeing of individuals using the service, and a number have particular implications for safeguarding. The Standards expect, for example, that individuals using services ‘experience people speaking and listening to me in a way that is courteous and respectful’ (3.1), that there are agreed clear expectations between individuals, careworkers and others about how they behave towards each other, which are respected (3.3); that individuals using services are protected from harm, neglect, abuse, bullying and exploitation by people who have a clear understanding of their responsibilities (3.20); that careworkers and others respond to signs of significant deterioration in the individuals’ health and wellbeing, including those that suggest the person may be at risk of harm (3.21), that individuals are listened to and taken seriously if they have concerns about the protection and safety of themselves or others, with appropriate assessments and referrals made (3.22) and that if they go missing, people take urgent action.

These Standards are taken into account by the Care Inspectorate when undertaking inspections and registration.

The safety and well-being of individuals is also protected in Scotland by [the requirement on careworkers to register with the Scottish Social Services Council] (SSSC). In Scotland, careworkers may only work in a care service once they are registered. Registration is being phased in for different roles, but workers coming into new roles must register within six months of their employment starting. Once compulsory registration is in place, service providers may not employ non-registered workers.

Breach of Regulation 3(2) is an offence.

Requirements for care workers to register with the SSSC places a significant focus on the ‘protection’ of individuals using social care services through ‘setting standards for [careworker] practice, conduct, training and education and by supporting their professional development’. Once registered, care workers must [follow the SSSC Code of Practice for Social Service Workers] (‘the Code’)]. The Code creates a number of overall requirements on care workers, including requirements to:

·      protect and promote the rights and interests of people who use services and carers (section 1);

·      promote the independence of people who use services while protecting them, as far as possible, from danger and harm (section 3);

·      respect the rights of people who use services, while striving to make sure that their behaviour does not harm themselves or other people (section 4).

The Code contains requirements about safeguarding and whistleblowing. These include statements that registered careworkers must not:

·      Abuse, neglect or harm people who use services or carers (5.1);

·      Exploit people who use services or carers (5.2);

·      Abuse the trust or personal information of people who use services or carers (5.3);

·      Form inappropriate relationships with people who use services or carers (5.4);

·      Discriminate against people who use services or carers or condone discrimination by people who use services, carers or colleagues (5.5 and 5.6);

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

Positive actions about safeguarding that are required of registered care workers include that they:

·      Use established processes and procedures to report allegations of harm and challenge and report exploitation and any dangerous, abusive or discriminatory behaviour or practice (3.2);

·      Follow practices and procedures designed to keep themselves and others safe from violent and abusive behaviour at work (3.3);

·      Tell their employer, or another appropriate authority, about any resourcing or operational difficulties that might get in the way of providing care or when a colleague’s fitness to practise may be impaired (3.4 and 3.5);

·      Be open and honest with their employer, people who use services and carers when care has or may have caused physical, emotional, financial or material harm or loss (3.6);

·      Enable people who use services and carers to make complaints, take complaints seriously and respond to them or pass them to the appropriate person; and take appropriate action when there is an allegation of harm (3.9);

·      Recognise the power and authority they have when working with people who use services and carers and use this responsibly (3.10);

·      Recognise that people who use services have the right to take risks and support them to ‘work positively with potential and actual risks to themselves or others’ (4.1);

·      Follow risk assessment policies and procedures to assess whether the behaviour of people who use services presents a risk of harm to themselves or others (4.2);

·      Take necessary steps to reduce the risks of people who use services harming themselves or other people (4.3);

·      Make sure that relevant colleagues and agencies are informed about the outcomes and implications of risk assessments (4.4);

·       Meet relevant standards of practice and 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 do their job competently and safely, and tell the SSSC about anything that might affect their fitness to practise (6.3);

·      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 (6.4).

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 [the Scottish Social Services Council] under its [fitness to practise proceedings].

Scottish Social Services Council, ‘Code of Practice for Social Service Workers’ (2016).

The SSSC has also produced a Code of Practice for Employers of Social Service Workers (‘the Employer Code’), which complements and is published together with the Code of Practice for Social Service Workers. The Employer Code states that ‘all employers … must make a commitment to work in line with the Codes of Practice’.

The Employer Code includes an overall requirement on employers to ‘[h]ave written policies and procedures in place to protect people who use services and carers, and to support social service workers’ (section 4). This contains specific requirements on social care providers to:

·       Make it clear to social service workers that bullying, harassment or any form of discrimination is not acceptable and take action to deal with such behaviour (4.1)

·       Have procedures in place for social service workers to report when a colleague’s fitness to practise may be impaired, exploitation or any dangerous, discriminatory or abusive behaviour or practice, or when care has caused, or may have caused, physical, emotional, financial or material harm or loss (4.2);

·       Deal with reports and allegations from social service workers promptly, effectively and openly (4.3);

·       Make it clear to social service workers, people who use services and carers that violence, threats or abuse are not acceptable; and to have clear policies and procedures for reducing the risk of violence and managing violent incidents (4.4);

·       Provide appropriate support to social service workers whose fitness to practise may be impaired and give clear guidance about any limits on their work while they are receiving support or treatment – while making sure that the care and safety of people who use services is prioritised (4.7);

·      Make sure that where care has or may have caused physical, emotional, financial or material harm or loss, it is reported to the appropriate authorities (4.8).

The Employer Code is taken into account by the Care Inspectorate in the regulation and inspection of services.

Other requirements in the Employer Code with particular relevance to safeguarding and whistleblowing are to:

·      Put into action and monitor written policies and procedures, particularly about reporting allegations of harm or abuse to the relevant authority (2.1);

·      Have systems in place for social service workers to report inadequate resources or difficulties which might have a negative effect on the delivery of care; and to work with social service workers and relevant authorities to tackle such problems (2.4);

·      Have systems in place to support workers to whistleblow when they feel that working practices are inappropriate or unsafe for any reason (2.5);

·       Report workers whose fitness to practise may be impaired to the relevant authority (2.8);

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

·      Make people who use services and carers aware of the Codes of Practice for Social Service Workers and Employers and inform them how to raise issues relating to the Codes, including how to contact with the SSSC; and cooperate with any proceedings resulting from this (5.3).

There are also various requirements relating to the recruitment of social care workers to ensure that ‘people are suitable to be social service workers and that they understand their roles and responsibilities’ (section 1).

The Employer Code is taken into account by the Care Inspectorate in the regulation and inspection of services.