Memorandum of understanding between the Care Quality Commission and the Local Government and Social Care Ombudsman.
Introduction
This Memorandum of Understanding (MoU) sets out the framework to support the working relationship between the Care Quality Commission (CQC) and Local Government and Social Care Ombudsman (LGSCO), in order to safeguard the wellbeing of the public receiving health and social care in England.
The working relationship between CQC and LGSCO is part of the maintenance of a regulatory system for health and adult social care in England that promotes people’s safety and high-quality care.
CQC is the independent regulator of health and social care in England. LGSCO is the social care ombudsman for England. The responsibilities and functions of CQC and LGSCO are set out in Annex 1. Both organisations share a concern for the quality and safety of health and care services and recognise that the development of models of health and care service delivery requires closer cooperation between the two organisations.
This MoU does not override the statutory responsibilities and functions of CQC and LGSCO and is not enforceable in law. However, CQC and LGSCO are committed to working in ways that are consistent with the principles of this MoU.
Principles of co-operation
This MoU is a statement of principle, which supports our focus on promoting patient and public safety and wellbeing. More detailed operational protocols and guidance can be developed as required.
CQC and LGSCO intend that their working relationship be characterised by the following principles:
- a. The need for each organisation to make independent decisions that promote people’s safety and high-quality health and social care.
- b. Promoting equality and human rights and reducing health inequalities are considered throughout our work.
- c. Respect for each organisation’s independent status and statutory responsibilities.
- d. The need to maintain public and professional confidence in the two organisations and the regulatory process.
- e. Openness and transparency between the two organisations as to when co-operation is, and is not, considered necessary and/or appropriate.
- f. The need to use resources effectively and efficiently.
- g. Addressing overlaps and gaps in the regulatory framework and working together to understand and align our data collection.
- h. The need to share information to assist with effective regulation and complaint handling which promotes safety and high-quality adult social care services and remedies injustice.
- i. The need to inform each other as soon as reasonably practicable of any matters that may require action or a response from the other.
Areas of co-operation
The working relationship between CQC and LGSCO involves co-operation in the following areas:
- a. Information sharing – there is a separate information sharing agreement that sets outs how the Ombudsman and CQC share information with each other through planned activity and when there is a need to respond to emerging, urgent concerns. We will continue to explore how best to improve and share useful information on a regular basis to ensure both organisations can carry out their roles effectively.
- b. Exploring ways to develop more effective and efficient working relationships to remedy injustice and promote quality and safety within their respective remits.
- c. Keeping each other fully informed about developments in their services, approach and methodologies. The practical arrangements are set out in the information sharing agreement.
- d. Giving each other adequate warning of, and sufficient information about, any planned announcements to the public that the other may need to know of, including sharing drafts of their proposals and publications as early as possible where there is a direct impact for both.
- e. Tackling inequalities and protecting and promoting people’s rights on known, or emerging, risks where there is joint strategic interest (for communities, people using services and the workforce).
- f. Holding strategic meetings at least annually to focus on:
- a. Organisational relationship
- b. High level policy strategy
- c. High risk casework
- d. The regulatory and quality landscape in health and social care
- g. Meeting quarterly to:
- i. Oversee the operational relationship between the Ombudsman and CQC including this MOU and the Information Sharing Agreement.
- ii. Oversee the strategic relationship between the Ombudsman and CQC.
- iii. Initiate joint project working.
- iv. Share corporate information between both organisations, including matters such as:
- Identifying high risk social care bodies
- Horizon scanning key issues and organisations;
- Developing the regulatory landscape and quality framework;
- The reorganisation and change of roles within the sector and the implications for regulatory activity, quality and complaints management;
- Engaging with other regulators including Healthwatch England and Local Healthwatch.
- v. Discuss cases concerning individual complaints about a registered body practitioner which is also subject to regulatory activity monitoring by CQC.
- vi. Discuss cases concerning individual complaints about a Local Authority with Adult Social Care responsibilities, which are also subject to regulatory activity by CQC.
Both organisations recognise that all processing of personal data (including the sharing of personal data) must be carried out in accordance with the General Data Protection Regulation, The Data Protection Act 2018, section 76 to 79 of the Health and Social Care Act 2008, The Human Rights Act 1998, and all relevant legislation relating to these matters and respective Codes of Practice, frameworks or other policies relating to confidential personal information and information issues. Both organisations agree that the sharing of personal data will be considered on a case-by-case basis and carried out in a manner consistent with the Data Sharing Code of Practice published by the Information Commissioner’s Office.
Both organisations recognise their responsibilities under the Freedom of Information Act 2000. Where either organisation receives a request under the Act for information received from the other, both organisations agree to take reasonable steps to consult on the proposed disclosure and the application of exemptions but recognise that the responsibility for disclosure lies with the organisation that received the request.
Resolution of disagreement
Where there is disagreement between CQC and LGSCO, this should be resolved in the first instance at working level. If this is not possible, it may be referred through those responsible for the management of this MoU, up to and including the Chief Executive of CQC and the Ombudsman, who will then be jointly responsible for ensuring a mutually satisfactory resolution.
Duration and review
This MoU commences on the date of the signatures below. It is not time-limited and will continue to have effect unless the principles described above need to be altered and/or cease to be relevant.
This MoU will be reviewed every two to three years but may be reviewed at any time at the request of either party. Any alterations to the MoU will require both parties to agree.
Both organisations have identified a person responsible for the management of this MoU and these ‘Relationship Leads’ will liaise as required to ensure:
- a. This MoU is kept up to date.
- b. They identify any emerging issues in the working relationship between the organisations.
- c. They resolve any questions that arise regarding the interpretation of this MoU.
Signatures
Kate Terroni
Interim Chief Executive
Care Quality Commission
Date: 8 July 2024
Amerdeep Somal
Ombudsman
Local Government & Social Care Ombudsman
Date: 10 July 2024
Annex 1: Responsibilities and functions of CQC and Local Government and Social Care Ombudsman
The Care Quality Commission
The Care Quality Commission (CQC) is the independent regulator of health and adult social care in England. Its purpose is to make sure health and care services provide people with safe, effective, compassionate, high-quality care and to encourage them to improve.
CQC does this by registering, monitoring, inspecting and regulating hospitals, adult social care services, dental and general practices and other care services in England, to make sure they meet fundamental standards of quality and safety. We set out what good and outstanding care looks like and we make sure services meet these standards which care must never fall below.
CQC aims to tackle inequalities and protect and promote people’s rights to make sure everyone has good quality care, and equal access, experience and outcomes. This is in line with our strategy, our core purpose and legal responsibilities, including the Equality Act (2010) Public Sector Equality Duty, and the Human Rights Act (1998).
Since April 2023, CQC has a responsibility to give a meaningful and independent assessment of care in a local area. This includes assessment of Local Authorities’ performance against their duties under Part 1 of the Care Act 2014. The Health and Care Act 2022 also gives CQC responsibilities to assess whether integrated care systems are meeting the needs of their local populations.
CQC reports publicly on what it finds locally, including performance ratings for care providers, to help people choose care and encourage providers to improve. It also reports annually to Parliament on the overall state of health and adult social care in England.
Local Government and Social Care Ombudsman
The role of the Local Government and Social Care Ombudsman (LGSCO) is set out in the Local Government Act 1974.
LGSCO investigates individual complaints about councils and all adult social care providers, including privately funded adult social care services. LGSCO is free, independent and impartial and ensures that organisations put things right if they have gone wrong.
By sharing the learning from our investigations the LGSCO helps service providers to improve their services for everyone. This is done in many ways including publishing our decisions and complaints data, issuing thematic reports and guidance documents, engaging with public policy debates and providing training on complaint handling.
Annex 2: Contact details for all parties
Care Quality Commission
Citygate
Gallowgate
Newcastle upon Tyne
NE1 4PA
Tel: 03000 616161
Local Government and Social Care Ombudsman
PO Box 4771
Coventry
CV4 0EH
Tel: 0300 061 0614
Named contacts between CQC and the Ombudsman are not included in the online version of this document.