Decoding the role of the di
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Decoding the role of the DI. 21 October 2009 Kate Rolfvondenbaumen. Aims and outcomes. to help you understand the roles of the: Licence Holder (LH) Person(s) Designated Designated Individual (DI) provide you with information about the inspection process

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Decoding the role of the di

Decoding the role of the DI

21 October 2009

Kate Rolfvondenbaumen


Aims and outcomes

Aims and outcomes

  • to help you understand the roles of the:

    • Licence Holder (LH)

    • Person(s) Designated

    • Designated Individual (DI)

  • provide you with information about the inspection process

  • help you and your staff be better prepared for a site-visit inspection


The role of the lh

The role of the LH


Role of lh

Role of LH

  • term not defined in the Act; but the HTA must be satisfied that the applicant is suitable

    • HTA has a preference for the LH to be a corporate body, with a named contact

    • Ideally someone in a managerial capacity in the establishment

  • the LH has the right to vary a licence

    • can submit application to vary licence by changing the DI


The role of the lh in practice

The role of the LH in practice

  • In practical terms, the DI is typically the key person, with a two-way flow of communication occurring between the DI and the corporate body


Decoding the role of the di

The role of the PD


Role of the pd

Role of the PD

  • no legal duty

  • ability to “direct” others in relation to the Act

    -assist DI with development and implementation procedures

    -work at a satellite offering advice and guidance

    -oversee licensable activities on behalf of the DI


The role of the di

The role of the DI


Statutory duty of the di

Statutory duty of the DI

It is the duty of the DI (paragraph 18) to secure that:

  • other persons who work under the licence are suitable to participate in the licensable activities

  • suitable practices are used in undertaking those activities

  • conditions of the licence are complied with


Decoding the role of the di

Statutory duty of the DI cont.

The DI is the lynchpin of regulatory compliance under a licence

How does the HTA help you?

  • advice and guidance: website, codes of practice, email and telephone

  • face-to-face training and e-learning

  • conferences

  • e-newsletter


Decoding the role of the di

DIs and

HTA Inspections


Hta responsibility

HTA responsibility

Legal obligation to satisfy ourselves that:

  • both the DI and the LH are suitable

  • the establishment has appropriate premises, facilities and equipment

  • all procedures are carried out to required standards

  • governance and quality systems are in place


Hta inspections

HTA inspections

  • desk-based (all establishments)

  • site-visit (based on risk)

  • routine, non-routine and unannounced


Risk based approach

Risk-based approach

  • use a risk matrix to inform scheduling of site- visit inspections

  • also consider DI response time, DI training and whistleblowers


Consent

Consent

  • review the consent process

  • looking into the communication flow between you and the coroner


Governance and quality systems

Governance and quality systems

  • SOPS and RAs for licensable activities

  • records to demonstrate traceability

  • examples of forms used

  • training records

  • internal audits

  • document control

  • meetings


Premises facilities and equipment

Premises, facilities and equipment

  • Range of licensed premises – ensure that:

    • premises and facilities are fit for purpose

    • SOPs are in place for the management of equipment and materials

    • risk assessments have been undertaken

    • maintenance and cleaning records exist


Disposal

Disposal

  • policy in line with HTA codes of practice

  • records of disposal in place


Personnel

Personnel

  • DI must ensure that:

    • personnel are suitably qualified

    • there are sufficient staffing levels

    • staff receive training and CPD

    • appropriate staff facilities are in place, including protective clothing and equipment


Summary

Summary

DIs have a statutory role to fulfil

The DI has a critical role in inspections:

  • Before: providing needed information

  • During: ensuring staff are present

    ensuring all documentation is present

  • After: reviewing the report

    communicating the information in the report

    ensuring compliance with additional conditions


Decoding the role of the di

Fact or fiction


Number 1

Number 1

The DI must be a doctor

Fact: The HT Act does not stipulate any specific academic qualifications for the DI


Number 2

Number 2

All establishments must have at least one, but no more than three, PDs on a licence

Fact: The HTA is not prescriptive about the number of Persons Designate on a licence.


Number 3

Number 3

Not all changes to a licence need to be reported to the HTA

Fact: The DI has a responsibility to ensure that HTA is kept informed of all changes to a licence in a timely manner


Any questions

Any questions?


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