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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Policy on Adherence to the Health and Social Care Standards and Care at Home Regulatory Requirements

1. Purpose

The purpose of this policy is to ensure that {{org_field_name}} delivers care at home services in accordance with the Health and Social Care Standards: My Support, My Life, the Social Care and Social Work Improvement Scotland (Requirements for Care Services) Regulations 2011, the Public Services Reform (Scotland) Act 2010, the Regulation of Care (Scotland) Act 2001, the SSSC Codes of Practice for Social Service Workers and Employers 2024, and the current Care Inspectorate Quality Framework for Support Services (Care at Home, including Supported Living Models of Support).

This policy also takes account of the older National Care Standards for Care at Home as sector-specific guidance where still relevant, but the Health and Social Care Standards are the primary current standards used to describe what people should experience when receiving health, social care or social work services in Scotland.

This policy ensures that:

• People receiving support experience care that is rights-based, person-led, compassionate, safe, effective and outcome-focused.
• Care and support are planned and delivered in a way that respects each person’s dignity, privacy, choices, human rights, equality, diversity and independence.
• Personal plans are developed, implemented, reviewed and evaluated in line with Scottish legal requirements and Care Inspectorate guidance.
• Staff understand and work in accordance with the Health and Social Care Standards, SSSC Codes of Practice, organisational policies and relevant legislation.
• The service maintains effective systems for quality assurance, self-evaluation, improvement, complaints, incident reporting, notification reporting and regulatory compliance.
• The service can demonstrate to the Care Inspectorate, people receiving support, families, carers and representatives how it meets legal, regulatory and best practice expectations.

2. Scope

This policy applies to:

• All employees of {{org_field_name}}, including care workers, senior care workers, supervisors, coordinators, managers and the registered manager.
• Agency workers, temporary workers, volunteers, students, contractors and any person acting on behalf of the service.
• People receiving care and support from {{org_field_name}}.
• Families, unpaid carers, independent advocates, attorneys, guardians, welfare proxies and representatives, where they are involved in the person’s care and support.
• External professionals, commissioners, health and social care partners, the Care Inspectorate, the SSSC and other relevant statutory or regulatory bodies.

All staff and others working on behalf of {{org_field_name}} must follow this policy and must work in a way that protects people’s rights, promotes positive outcomes and complies with current Scottish legislation, regulation, standards and guidance.

3. Legal and Regulatory Framework

This policy aligns with:

• Health and Social Care Standards: My Support, My Life – the primary standards describing what people should experience when using health, social care and social work services in Scotland. These standards are taken into account by scrutiny bodies, including the Care Inspectorate, in relation to registration and inspection.
• Public Services Reform (Scotland) Act 2010 – the legislation establishing Social Care and Social Work Improvement Scotland, known as the Care Inspectorate, and the framework for regulation and inspection of care services.
• Social Care and Social Work Improvement Scotland (Requirements for Care Services) Regulations 2011, SSI 2011/210 – including Regulation 5, which requires a written personal plan to be prepared for each person using the service.
• Regulation of Care (Scotland) Act 2001 – including provisions relating to the regulation of care services and the social service workforce.
• SSSC Codes of Practice for Social Service Workers and Employers 2024 – setting out the standards of practice and behaviour expected of social service workers and the responsibilities of employers in Scotland. The 2024 Codes apply from 1 May 2024 and replace the 2016 and 2003 versions.
• Care Inspectorate Quality Framework for Support Services (Care at Home, including Supported Living Models of Support) – the current framework used to support self-evaluation, scrutiny and improvement for care at home and supported living services.
• National Care Standards for Care at Home – used as historical and sector-specific guidance where relevant, particularly in relation to information before using the service, written agreements, personal planning, management and staffing, lifestyle, eating well, healthcare, medication, privacy, communication and expressing views.
• Adult Support and Protection (Scotland) Act 2007 and the revised Adult Support and Protection Code of Practice – supporting the identification, reporting and management of concerns about adults at risk of harm.
• Adults with Incapacity (Scotland) Act 2000 – supporting lawful decision-making where an adult lacks capacity, including the use of the principles of benefit, least restrictive intervention, taking account of the person’s wishes and consulting relevant others.
• Mental Health (Care and Treatment) (Scotland) Act 2003 – supporting the rights and safeguards of people with mental disorder.
• Human Rights Act 1998 – ensuring that care and support uphold people’s rights, including respect for private and family life, dignity, liberty, freedom of thought, conscience and religion, and protection from degrading treatment.
• Equality Act 2010 – protecting people from discrimination, harassment and victimisation and promoting equality of opportunity.
• Social Care (Self-directed Support) (Scotland) Act 2013 – promoting choice, control and involvement in how support is arranged and delivered.
• Carers (Scotland) Act 2016 – recognising the rights and role of unpaid carers, including involvement where appropriate and lawful.
• Data Protection Act 2018 and UK GDPR – governing the lawful, fair, secure and transparent processing of personal data and special category information.
• Health and Safety at Work etc. Act 1974 and associated regulations – supporting safe systems of work for people receiving support, staff and others.
• Management of Health and Safety at Work Regulations 1999 – requiring suitable and sufficient assessment and management of risks.
• Protection of Vulnerable Groups (Scotland) Act 2007, as amended, and Disclosure (Scotland) Act 2020 – supporting safe recruitment and PVG scheme requirements for regulated roles.
• Public Interest Disclosure Act 1998 – protecting workers who raise qualifying concerns about wrongdoing, unsafe practice or malpractice.
• Care Inspectorate notification and records guidance for adult services – setting out records that must be kept and notifications that must be submitted to the Care Inspectorate within required timescales.

4. Key Principles of the Health and Social Care Standards and Care at Home Practice

The National Care Standards for Care at Home are based on key principles:

4.1 Human Rights and Person-Led Support

• People receiving support must have their human rights respected, protected and promoted in all aspects of care delivery.
• Staff must recognise each person as an expert in their own experiences, needs, wishes and outcomes.
• Care and support must be planned and delivered with the person, not simply for the person.
• Any restriction on a person’s independence, choice, control, privacy or liberty must be lawful, necessary, proportionate, time-limited, recorded, reviewed and the least restrictive option available.
• Where a person has reduced capacity or requires support to make decisions, staff must follow the Adults with Incapacity (Scotland) Act 2000, involve relevant legal representatives where appropriate, and continue to seek and take account of the person’s views, wishes and feelings.

4.2 Dignity and Respect

• People receiving care must be treated with dignity, kindness, and compassion.
• Staff must respect privacy, cultural identity, and personal preferences.
• Communication must be clear, respectful, and inclusive.

4.3 Privacy

• Individuals must receive care in a way that respects their right to privacy.
• Personal information must be handled confidentially.
• Staff must knock and seek permission before entering a person’s home.

4.4 Choice, Control and Involvement

• People must be fully involved in decisions about their care and support, including assessment, planning, review and evaluation.
• People must be supported to make informed choices and to understand the options available to them, including options under self-directed support where applicable.
• Staff must support people to communicate in the way that is right for them, at their own pace, using interpreters, accessible formats, communication aids or advocacy where required.
• Where people have reduced capacity, their views must still be sought and taken into account, alongside the views of those legally authorised or appropriately involved in supporting decision-making.
• Personal plans must reflect the person’s needs, wishes, choices, strengths, routines, outcomes, risks and what matters most to them.

4.5 Safety and Protection

• Care must be delivered in a way that ensures physical and emotional safety.
• Adult support and protection procedures must be followed where there is a concern that an adult may be at risk of harm, including harm from abuse, neglect, exploitation, discrimination or self-neglect. Staff must report concerns promptly in line with organisational procedures, local Adult Support and Protection arrangements and Care Inspectorate notification requirements.
• Staff must be trained in risk assessment, infection control, and emergency responses.
• Staff must understand that protecting people from harm must be balanced with the person’s right to make choices and take positive risks. Risk assessments must support independence and wellbeing and must not be used to impose unnecessary restrictions.

4.6 Realising Potential

• Individuals must have opportunities to engage in meaningful activities.
• Care must promote independence and personal growth.
• Staff must support people to develop and maintain skills and relationships.

5. How {{org_field_name}} Ensures Compliance

5.1 Staff Recruitment, Registration, Training and Development

To ensure safe, lawful and high-quality care at home, {{org_field_name}} will ensure that:

• Staff are recruited using safe recruitment procedures, including identity checks, references, employment history checks, right to work checks where applicable, SSSC registration checks where required, and PVG scheme checks for regulated roles.
• Workers who are required to register with the SSSC are supported to apply for, obtain and maintain registration within the required timescales for their role.
• Staff receive induction before working unsupervised, covering the Health and Social Care Standards, SSSC Codes of Practice 2024, adult support and protection, medication, infection prevention and control, moving and assisting, health and safety, confidentiality, data protection, complaints, incident reporting, whistleblowing, equality and diversity, human rights, professional boundaries and person-centred care.
• Staff receive role-specific training and competency assessment before undertaking tasks such as medication support, moving and assisting, food preparation, personal care, delegated healthcare tasks or support for people with complex needs.
• Staff receive regular supervision, observation of practice, appraisal and continuous professional learning.
• Staff are supported to understand trauma-informed practice, communication needs, positive risk-taking, capacity, consent and the importance of working in partnership with families, carers, advocates and other professionals.
• Learning from complaints, incidents, audits, supervision, feedback, inspections and changes in legislation or guidance is used to improve practice.

5.2 Personal Planning

Each person receiving care and support from {{org_field_name}} must have a written personal plan. The personal plan must be developed with the person and, where appropriate and lawful, their family, unpaid carer, advocate, attorney, guardian, welfare proxy or representative.

A personal plan must be prepared within 28 days of the person starting to use the service. People receiving care and their families or representatives cannot opt out of having a personal plan. Each personal plan must be reviewed with the person and relevant others at least every six months, or sooner where the person’s needs, wishes, outcomes, risks, health, circumstances or support arrangements change.

The personal plan must include, where relevant:

• The person’s assessed needs, wishes, choices, strengths and personal outcomes.
• What matters most to the person and how they want to be supported.
• Preferred name, communication needs, language needs and accessible format requirements.
• Personal routines, cultural, religious, spiritual and lifestyle preferences.
• Family, carer, representative, advocacy and professional involvement.
• Health needs, medication support, nutritional needs, mobility needs and personal care needs.
• Risk assessments and positive risk-taking arrangements.
• Support required to maintain independence, relationships, wellbeing and community involvement.
• Any legal powers or arrangements, including guardianship, power of attorney, intervention orders, advance statements, anticipatory care plans or DNACPR information, where relevant.
• Emergency arrangements and actions to be taken if the person’s health or wellbeing changes.
• How the person’s care and support will be evaluated and reviewed.

Staff must ensure that personal plans are dynamic, meaningful, accessible and used in daily practice. They must not be treated as static paperwork. The person must have access to their personal plan in a format they can understand, unless there is a lawful and clearly recorded reason for managing sensitive information differently.

5.3 Written Agreement and Information Before the Service Starts

Before or at the start of the service, {{org_field_name}} will provide clear, accurate and accessible information to the person and, where appropriate, their representative. This will include:

• The aims and objectives of the service.
• Details of the provider and registered manager.
• The services provided and any limits to the service.
• Charges, where applicable, and what the charges cover.
• Contact details, including out-of-hours or emergency contact arrangements.
• How visits will be arranged, changed or cancelled.
• Cover arrangements if staff are absent.
• How risks, accidents, incidents, concerns and complaints are managed.
• How to contact the Care Inspectorate and how to access inspection reports.
• How the service will be changed, reviewed or ended.
• Any arrangements required if the service closes or there is a change of ownership

Where the person receives a written agreement, it must clearly set out the service to be provided, when and how it will be provided, any charges, arrangements for changing or ending the agreement, and must be signed and dated by relevant parties where applicable.

5.4 Quality Assurance, Self-Evaluation and Improvement

{{org_field_name}} will maintain a structured quality assurance and self-evaluation system to evidence compliance with legislation, the Health and Social Care Standards, the SSSC Codes of Practice and the Care Inspectorate Quality Framework.

This will include:

• Regular review of personal plans, risk assessments, medication records, daily notes, incident records, complaints, compliments, safeguarding records, staffing records and training records.
• Direct observation of practice, spot checks and competency assessments.
• Regular supervision, appraisal and team meetings, including discussion of the SSSC Codes of Practice.
• Feedback from people receiving support, families, carers, representatives, staff and professionals.
• Analysis of incidents, accidents, complaints, missed or late visits, medication errors, safeguarding concerns and Care Inspectorate notifications.
• Self-evaluation using the Care Inspectorate Quality Framework for Support Services, including the questions: “How are we doing?”, “How do we know?” and “What are we going to do now?”
• Improvement plans with clear actions, responsible persons, timescales and evidence of completion.
• Sharing of learning with staff and, where appropriate, people receiving support and their representatives.

5.5 Privacy, Confidentiality, Records and Data Protection

{{org_field_name}} will protect people’s privacy, confidentiality and personal information by ensuring that:

• Personal data is processed lawfully, fairly, transparently and securely in accordance with the Data Protection Act 2018 and UK GDPR.
• Information is collected only where necessary for care, support, employment, regulatory, contractual or legal purposes.
• Confidential information is shared only where there is a lawful basis to do so, including consent, vital interests, legal obligation, safeguarding, adult support and protection, public task or legitimate interests where applicable.
• Staff explain confidentiality and its limits to people receiving support and, where appropriate, their representatives.
• Records are accurate, factual, respectful, up to date and stored securely.
• People are supported to access information about their care and support in a format they can understand, subject to lawful restrictions.
• Records retention and disposal are managed in line with organisational retention schedules, regulatory expectations and legal requirements.
• Any data breach or confidentiality concern is reported and managed in line with organisational procedure and, where required, reported to the Information Commissioner’s Office.

5.6 Promoting Dignity and Respect in Practice

• Staff must always address individuals respectfully.
• People receiving care must be encouraged to express their needs and preferences.
• Diversity and cultural awareness training is provided to all employees.

5.7 Safe and Effective Staffing

{{org_field_name}} will ensure that staffing arrangements are safe, effective and sufficient to meet people’s assessed needs, wishes, choices and outcomes.

This will include:

• Safe recruitment procedures, including PVG scheme checks for regulated roles, references, identity checks, employment history checks and SSSC registration checks where applicable.
• Compliance with current Disclosure Scotland requirements, including regulated role requirements under the Disclosure (Scotland) Act 2020 and PVG scheme requirements.
• Ensuring staff have the skills, knowledge, competence, values and experience required for the support they provide.
• Matching staff appropriately to people’s needs, preferences, communication requirements, cultural needs and support arrangements.
• Maintaining continuity of care wherever possible.
• Monitoring missed visits, late visits, rota changes, staff absence and staffing pressures.
• Ensuring staff have enough time to provide safe, compassionate and person-centred care.
• Ensuring staff know how to report concerns where staffing, resources or operational pressures may affect the quality or safety of care.

5.8 Complaints, Concerns, Feedback and Duty of Candour

{{org_field_name}} will encourage people receiving support, families, carers, representatives, advocates, staff and professionals to raise comments, concerns, complaints and compliments.

The service will ensure that:

• People know how to raise a concern or complaint with {{org_field_name}}.
• People are informed of their right to complain directly to the Care Inspectorate at any time.
• Complaints are acknowledged, investigated and responded to in line with organisational procedures and required timescales.
• People are supported to use independent advocacy or representation where they wish.
• Staff respond to concerns openly, respectfully and without defensiveness.
• People are protected from victimisation or disadvantage because they have raised a concern or complaint.
• Learning from complaints, concerns, incidents, feedback and inspections is recorded and used to improve the service.
• Where care or support has caused, or may have caused, harm or loss, the service will act openly and honestly, take appropriate action, notify relevant bodies where required and follow duty of candour procedures where applicable.

5.9 Care Inspectorate Notifications and Required Records

{{org_field_name}} will keep the records required of adult care services and will notify the Care Inspectorate of notifiable events within required timescales using the Care Inspectorate eForms system or digital portal.

Notifications may include, but are not limited to:

• Death of a person using the service.
• Accidents, incidents or injuries.
• Outbreaks of infectious disease.
• Protection concerns or allegations of abuse.
• Allegations of misconduct by a provider or employee.
• Significant equipment breakdowns affecting care or safety.
• Criminal convictions or matters affecting the fitness of a manager, provider or staff member where notifiable.
• Absence of the manager or changes affecting registration.
• Other events required by current Care Inspectorate guidance.

All staff must report notifiable events promptly to the manager or designated senior person. The manager is responsible for ensuring that notifications are submitted accurately and within required timescales and that appropriate records are maintained.

5.10 Medication and Healthcare Support

Where {{org_field_name}} provides support with medication or healthcare-related tasks, the service will ensure that:

• Medication support is included in the person’s personal plan and risk assessment.
• Staff only support medication tasks they are trained and assessed as competent to undertake.
• Medication records are accurate, contemporaneous and audited regularly.
• Staff follow the organisation’s medication policy and relevant best practice guidance.
• Any medication error, refusal, omission, adverse reaction or concern is reported, recorded, reviewed and escalated appropriately.
• Staff seek advice from relevant health professionals where medication or health needs change.
• Delegated healthcare tasks are only undertaken where there is appropriate assessment, training, delegation, competency confirmation and ongoing review.

5.11 Communication and Accessible Information

{{org_field_name}} will support each person to communicate in the way that is right for them. Communication needs must be assessed, recorded in the personal plan and reviewed when needs change.

This may include:

• Use of plain English.
• Easy read information.
• Large print, audio, Braille or other accessible formats.
• Interpreters or translation.
• Communication aids, pictures, objects of reference, visual prompts or technology.
• Support from family, carers, advocates, speech and language therapists or other professionals where appropriate.

Staff must allow people time to communicate, must avoid jargon and must not make assumptions about a person’s views, wishes or capacity based on their communication needs.

6. Roles and Responsibilities

6.1 Responsibilities of All Staff

All staff must:

• Work in accordance with the Health and Social Care Standards, SSSC Codes of Practice 2024, this policy and all related organisational policies.
• Treat each person with kindness, compassion, dignity and respect.
• Promote people’s rights, choices, independence, privacy, wellbeing and personal outcomes.
• Communicate with people using their preferred method and language wherever possible.
• Maintain professional boundaries and avoid conflicts of interest.
• Keep accurate, respectful and up-to-date records.
• Report concerns about harm, abuse, neglect, exploitation, discrimination, unsafe practice, staffing pressures, poor care or professional misconduct.
• Be open and honest when practice has caused or may have caused harm or loss.
• Participate in induction, training, supervision, appraisal and continuous professional learning.
• Seek advice and support where they do not feel competent, confident or well enough prepared to carry out any aspect of their role.

6.2 Responsibilities of Managers and Supervisors

Managers and supervisors must:

• Ensure staff understand and implement this policy.
• Ensure staff are safely recruited, inducted, trained, supervised, supported and assessed as competent.
• Promote a culture of kindness, compassion, equality, inclusion, learning and openness.
• Ensure personal plans are completed within required timescales, reviewed at least six-monthly and updated whenever needs, wishes, risks or circumstances change.
• Ensure risks are assessed and managed in a way that promotes safety, rights, independence and positive risk-taking.
• Monitor care quality through audits, spot checks, supervision, feedback, complaints, incidents and self-evaluation.
• Submit required Care Inspectorate notifications within required timescales.
• Report concerns to external authorities where required, including adult support and protection, the Care Inspectorate, SSSC, police, health professionals or commissioners.
• Ensure learning from concerns, complaints, incidents and inspections is used to improve the service.
• Support workers to comply with the SSSC Codes of Practice and report fitness to practise concerns where required.

6.3 Responsibilities of the Organisation

{{org_field_name}} is responsible for:

• Providing leadership, governance, resources, staffing and systems that support safe, compassionate and high-quality care.
• Ensuring compliance with legislation, regulation, standards, codes and Care Inspectorate guidance.
• Ensuring the service is registered and operates within its conditions of registration.
• Ensuring people receiving support and their representatives know their rights, including how to complain, how to contact the Care Inspectorate and how to access advocacy.
• Publicising and promoting the SSSC Codes of Practice to staff, people receiving support and carers.
• Maintaining safe recruitment, PVG, SSSC registration, training, supervision and staffing systems.
• Maintaining accurate records and submitting required notifications.
• Carrying out regular self-evaluation and improvement planning.
• Cooperating with the Care Inspectorate, SSSC, commissioners, adult support and protection procedures and other lawful investigations or reviews.

7. Related Policies

This policy should be read alongside:

• Health and Social Care Standards Compliance Policy
• Person-Centred Care Planning Policy
• Safeguarding and Protection Policy
• Supervision and Appraisal Policy
• Incident Reporting and Complaints Policy

8. Policy Review

This policy will be reviewed at least annually, or sooner where there are changes to legislation, regulation, Care Inspectorate guidance, SSSC Codes of Practice, Health and Social Care Standards, organisational practice, inspection findings, complaints, incidents or identified improvement actions.

The responsible person will ensure that any changes are communicated to staff and, where relevant, people receiving support, families, carers, representatives and external partners. Staff will be required to read and understand the updated policy and additional training or supervision will be provided where required.

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Responsible Person: {{org_field_registered_manager_first_name}}{{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.