The Responsible Individual is in effect responsible in law for ensuring the Childrens Home meets all its registration conditions, through achieving compliance with the relevant regulations. The Responsible Individual (RI) must demonstrate that they have an effective knowledge and understanding of the law, practice and safeguarding and apply business and management skills to oversee the smooth running of the home and be responsible for the supervision of the manager.
Ofsted Criteria
Ofsted have recently clarified in their guidance on responsible individuals. The republished Registration guide for children’s social care services now includes an expanded section on assessing the suitability of responsible individuals who are part of new registration applications.
In addition, the republished changes to children’s social care: guidance for registered providers has an expanded section for when the responsible individual of a registered provider changes.
In summary, the requirements to be a responsible individual are now more rigorous incorporating the need for:
- an interview
- relevant skills, qualifications, and experience
- greater scrutiny of each application
It should be noted that the RI is not responsible for the day-to-day management of the service.
What makes a good RI?
For those of you who are starting from the beginning as a new provider, DO NOT TRY TO FILL THE SHOES OF AN RI ROLE YOUSELF (unless you have been a children’s home manager for a number of years previously).
As explained above, the registration criteria are now much tougher and real knowledge and experience of running a home is required.
Gone are the days, when some experience or knowledge of the sector, qualified you to become a responsible individual. You will not get past the first hurdle, so think carefully before you embark on this journey.
A good responsible individual has:
- Experience and understanding of running a children’s home
- Knowledge of the law, regulations and standards and how to apply them
- Good understanding of safeguarding processes
- Good leadership and management skills including financial management
- A sound understanding of practice and working with young people
- A good understanding of the policies and procedures used in children’s home
And this is just the start of it.
Selecting the right Responsible Induvial:
You need to develop a Job description to begin with, which focuses on all the areas outlined in what makes a good Responsible Individual. For your first home, it is important to look at how much involvement you want them to have in the setup of the home and going forward their role in the oversight of the home.
During Setup – this will depend on your Registered Manager and their expectation in the setup of the home. If you are able to recruit a good Manager, there is no doubt that they will be able to setup the home and undertake to write all the paperwork including your SOP, Childrens guide, locality risk assessment and many of the policies and procedures. To this end, your responsible individual will only be involved in reviewing the documentation and undertaking one or two audits of the home; for example, ‘is the home fit for purpose’. As well making sure they submit their Ofsted application and are ready for an Ofsted interview.
During the running of the home – if it is a single home and you have an experienced manager, the RI tends to visit the home either once a week a fortnightly or once a month (manager supervision is undertaken during this time). You need also allocate additional hours, for oversight, advice and guidance to the manager. To be on the safe side we would recommend at least one day a week.
Points to consider:
- Make sure you go through a full safer recruitment process with the responsible individual regardless of what they say.
- DBS / all reference needs to be checked.
- Ask Ofsted if they have any objections or concerns around the individual being put forward.
- Undertake a formal interview – (we can assist you with this).
- Make sure the responsible individual has a formal contract in place.
- Check if the responsible individual has had an Ofsted interview for the role previously; if not, they need to make sure they are fully prepared for the interview.
- If the RI hold’s other RI positions with different organisations, check with Ofsted if they are happy for the RI to add your home to their list of registrations.
Although, the following is an example taken from Social Care Wales – the duties and their delegation are very much similar to the requirements in England.
Outline of Responsibilities of Service Providers, Responsible Individuals and Managers:
Developing and embedding a culture which reflects the principles of co-production, respects diversity, ensures the best possible outcomes are achieved for individuals and meets the requirements of Regulations. Promoting a culture of openness, honesty and candour at all levels and ensuring appropriate and effective responses to concerns and complaints. Promotes voice and control including providing information about, and supporting access to, advocacy services.
| Service Provider (SP) | Responsible Individual (RI) | Manager |
|---|---|---|
| Setting clear organisational intent and direction by outlining services provided and actions the provider will take to achieve this in the statement of purpose. | Overseeing management of the service and ensuring the service is safe, well run and complies with regulations. | Leading and managing a service which meets the needs of individuals, safeguards and promotes well-being and the development of people. |
| Designating an RI, ensuring they receive appropriate support and training. | Appointing a manager, ensuring they receive appropriate supervision, support and training. | Recruiting and appointing staff and ensuring they receive appropriate supervision, support and training. |
Ensuring all appointments comply with safe recruitment best practice. Addressing any issues in relation to unsatisfactory staff performance or misconduct and informing the appropriate regulatory body about any conduct by a registered professional that might call into question their registration.
| Service Provider (SP) | Responsible Individual (RI) | Manager |
|---|---|---|
| Putting in place underpinning policies and procedures to support managers and staff to achieve the service aims and the achievement of individuals’ personal outcomes. | Ensuring policies and procedures are up to date, consistent with statement of purpose and relevant legislation and national guidance. | Contributing to the development of policies and procedures. Ensuring practice is citizen-centred, individuals have a strong voice, are treated with dignity and respect, and that their rights are promoted. |
| Establishing sound management structures to oversee and monitor the service to ensure it operates safely and effectively for the individuals receiving care and support. | Ensuring clear lines of accountability, delegation and responsibility between the RI and the manager. Ensuring SP is informed about service quality, safety and effectiveness. | Leading and managing staff teams, promoting good conduct and best practice and a positive workplace culture. Leading and managing health, safety and security, including assessing, preventing and managing risk. |
Ensuring the service is responsive and proactive in identifying and mitigating risks, and supporting positive risk-taking and independence where it has been determined this is appropriate.
| Service Provider (SP) | Responsible Individual (RI) | Manager |
|---|---|---|
| Establishing ongoing quality assurance and review cycle to provide assurance that the service operates to legal requirements, its statement of purpose, and supports individuals to achieve their personal outcomes. Monitoring information is used for continued development and improvement. | Following SPs prescribed systems and processes to enable proper oversight of the management, quality, safety and effectiveness. Ensuing systems are in place to assess, monitor and improve the quality and safety of the service. | Implementing systems and processes to monitor and evaluate practice and ensuring the service complies with professional and regulatory requirements and supports individuals to achieve their personal well-being outcomes. |
| Maintaining financial oversight and investment to ensure sustainability so individuals are supported to achieve personal outcomes and protected from risk of unplanned change. | Reporting to the SP on the adequacy of the resources available to provide the service. | Helping to identify appropriate resources to deliver quality, safe and effective services. Ensuring they are used efficiently and effectively and highlighting any concerns about their adequacy. |
Source: Statutory Guidance for Service Providers and Responsible Individuals on Meeting Service Standard Regulations, and Practice Guidance for Social Care Managers Registered with Social Care Wales (2017).
RI’s responsibilities in relation to monitoring, reviewing and improving the quality of care and support?
The Responsible Individual should make sure that there are systems and processes in place to assess, monitor and improve the quality of service, include, but not limited to:
- the collation and analysis of feedback from all those involved in the care of the young perron
- issues and lessons learned in the analysis of complaints and safeguarding matters
- patterns and trends identified through the analysis of significant incidents
- the outcomes of any inspection reports from regulators
- the outcomes of the RI’s monitoring visits
- audit of young person and staff records.
High quality services need to continually evolve in response to changing circumstances and expectations and the demand for organisations to make the most effective use of available resources. It also requires creative thinking and a willingness to test new approaches and ways of working.