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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Fit and Proper Persons: Directors Policy

1. Introduction

This Fit and Proper Persons: Directors Policy outlines how {{org_field_name}} ensures that all individuals holding director-level responsibilities meet the requirements outlined in Regulation 5 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014. The intention of this regulation is to ensure that directors are suitable, competent, and accountable for the quality and safety of care provided within our service. This policy demonstrates how we uphold these standards efficiently and continuously.

2. Policy Statement

{{org_field_name}} is committed to ensuring that all individuals appointed to director-level roles, including those performing equivalent functions, are fit and proper to carry out their duties. We will not appoint or continue to employ any individual in such a role unless they meet the criteria outlined under Regulation 5 and Schedule 4 of the Health and Social Care Act 2008.

3. Purpose

The purpose of this policy is to:

• Ensure that the care home complies with CQC Regulation 5 concerning Fit and Proper Persons for director roles.
• Provide clear guidance to staff and stakeholders on how we manage the appointment, assessment, and monitoring of directors.
• Promote accountability, transparency, and high standards of leadership within {{org_field_name}}.

4. Regulatory Requirements

Under Regulation 5, a director or equivalent individual must:

• Be of good character.
• Have the necessary qualifications, competence, skills, and experience for the role.
• Be able to perform their tasks effectively, with reasonable adjustments if required.
• Not have been responsible for any serious misconduct or mismanagement.
• Meet the requirements specified in Schedule 4 of the Health and Social Care Act 2008.

5. Recruitment and Appointment Procedures

To ensure that all appointments meet the Fit and Proper Persons criteria, our recruitment process for director-level roles includes the following steps:

5.1 Pre-Recruitment Assessment

• Role Definition: Each director-level position is clearly defined, including key responsibilities and required qualifications, skills, and experience.
• Job Description: Detailed job descriptions and person specifications are developed, ensuring alignment with CQC requirements.

5.2 Robust Recruitment Process

• Application Review: All applications are screened to ensure candidates meet the required qualifications and experience.
• Interviews: Structured interviews assess the candidate’s competence, character, and suitability for the role.
• Competency Assessment: Candidates are evaluated against the core competencies required for leadership roles in health and social care settings.

5.3 Background Checks

• Disclosure and Barring Service (DBS) Checks: Enhanced DBS checks are conducted for all prospective directors.
• Identity Verification: Verification of identity and right to work in the UK.
• Professional Registration: Where applicable, checks are made to confirm registration with relevant professional bodies.
• Employment History: Comprehensive review of employment history, including references from previous employers.
• Financial Checks: Credit checks are conducted to identify any issues that may impact the individual’s ability to manage resources responsibly.

6. Ongoing Monitoring and Reassessment

{{org_field_name}} recognises that ensuring fitness and propriety is an ongoing obligation. Therefore, we implement the following measures:

6.1 Annual Declarations

• Directors are required to complete an annual Fit and Proper Person Declaration, confirming continued compliance with Regulation 5 requirements.
• This declaration includes disclosures related to criminal convictions, professional misconduct, and health issues affecting their ability to perform the role.

6.2 Performance Monitoring

• Regular performance appraisals assess the director’s effectiveness in their role.
• Any concerns identified during appraisals are addressed promptly, with appropriate support or remedial action.

6.3 Whistleblowing and Incident Reporting

• Staff and stakeholders are encouraged to report any concerns regarding the fitness of a director through our Whistleblowing Policy.
• Any reported concerns are investigated promptly and thoroughly.

6.4 Health and Wellbeing

• Reasonable adjustments are made for directors with health conditions to ensure they can perform their duties effectively.
• Occupational health assessments are conducted where necessary.

7. Managing Non-Compliance

If a director is found not to meet the Fit and Proper Persons requirements, the following actions will be taken:

1. Investigation: A thorough investigation will be conducted to assess the nature and extent of the non-compliance.
2. Support and Remediation: Where appropriate, support will be provided to address issues, such as training or health interventions.
3. Removal from Role: If the individual cannot meet the requirements, they will be removed from the role in accordance with employment law and CQC regulations.

8. Record-Keeping and Documentation

We maintain comprehensive records for all director-level appointments, including:

• Application forms and CVs.
• Interview notes and competency assessments.
• DBS certificates and professional registration details.
• Annual Fit and Proper Person Declarations.
• Training records and appraisal outcomes.

These records are securely stored and made available for CQC inspection upon request.

9. Training and Awareness

All staff involved in the recruitment and management of directors receive training on the Fit and Proper Persons requirements. This includes:

• Understanding the regulatory framework.
• Identifying and assessing candidate suitability.
• Managing ongoing compliance and reporting concerns.

10. Accountability and Governance

Our Registered Manager and Board of Directors hold overall responsibility for ensuring compliance with this policy. This includes:

• Ensuring robust recruitment and monitoring processes are in place.
• Reviewing compliance as part of our governance and quality assurance framework.
• Reporting any non-compliance to the CQC as required.

11. Equality and Diversity

Our recruitment and monitoring practices promote equality, diversity, and inclusion. No individual is disadvantaged based on age, disability, gender, race, religion, sexual orientation, or any other protected characteristic.

12. Audit and Review

This policy is reviewed annually or sooner if there are changes to CQC regulations or organisational practices. Regular audits assess the effectiveness of our processes, and findings inform continuous improvement.

13. Conclusion

{{org_field_name}} is committed to ensuring that all directors meet the highest standards of conduct, competence, and accountability. This policy reflects our dedication to safeguarding service users, promoting good governance, and maintaining compliance with CQC Regulation 5.

14. Approval and Review

This policy will be reviewed annually. Any updates will be communicated to all relevant staff and stakeholders.

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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.