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Fit and Proper Persons: Directors Policy

1. Purpose

The purpose of this policy is to ensure that all individuals appointed to director-level positions within our domiciliary care organisation meet the required standards of fitness and propriety as set out in Regulation 5 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014. Our organisation is committed to ensuring that all directors are competent, skilled, and of good character, possessing the necessary experience and integrity to oversee the quality and safety of care provided. This policy ensures compliance with Care Quality Commission (CQC) regulations and promotes transparency, accountability, and good governance within our service.

2. Scope

This policy applies to all individuals appointed as directors, board members, or those performing equivalent roles in our domiciliary care organisation. It also applies to any senior leaders who have responsibility for the oversight of care and governance within the service. This includes those who influence decision-making, strategic planning, and regulatory compliance. The policy sets out the requirements for appointment, ongoing compliance, and monitoring of directors to ensure the highest standards of leadership and care quality.

3. Legal and Regulatory Framework

Our organisation adheres to the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, specifically Regulation 5, which outlines the requirements for fit and proper persons at a director level. This policy ensures compliance with the CQC’s guidance on the regulation, which mandates that directors must be of good character, have the necessary qualifications, skills, and experience, and must not have been responsible for any serious misconduct or mismanagement in previous roles. It also ensures compliance with the wider legal framework, including employment law, safeguarding regulations, and corporate governance standards.

4. Appointment and Assessment Process

The appointment of directors follows a rigorous and transparent process to ensure that only suitable candidates are selected. All prospective directors undergo thorough background checks, including employment history verification, qualification checks, financial probity assessments, and enhanced Disclosure and Barring Service (DBS) checks. Additionally, references from previous employers and professional bodies are obtained to assess their suitability for the role.

A formal interview process is conducted, where candidates are evaluated on their leadership capabilities, regulatory knowledge, commitment to high-quality care, and ethical decision-making. Any identified concerns regarding a candidate’s fitness for the role are escalated to the board for further review and risk assessment before any appointment is confirmed.

5. Ongoing Compliance and Monitoring

To maintain compliance with fit and proper persons requirements, all directors are subject to regular review and monitoring. Annual performance reviews assess their ongoing suitability based on their leadership effectiveness, adherence to regulatory requirements, and their contribution to organisational governance. Directors are required to complete periodic declarations confirming that they remain fit and proper to hold their position.

If concerns arise about a director’s fitness, an investigation is conducted to determine whether any actions or breaches have occurred that may compromise their role. If necessary, appropriate remedial measures are taken, which may include retraining, disciplinary action, or removal from the position.

6. Roles and Responsibilities

The board of directors holds collective responsibility for ensuring compliance with this policy. The chairperson oversees the fit and proper persons’ process and ensures that all directors meet the required standards. Where in place, the HR department is responsible for conducting background checks and maintaining records of compliance. Senior management must provide support and ensure that directors receive the necessary training and updates on regulatory requirements.

Directors themselves must uphold the highest standards of integrity and professionalism. They must disclose any conflicts of interest, criminal convictions, or financial concerns that may impact their ability to fulfil their duties. Any failure to meet the fit and proper persons criteria must be reported and addressed without delay.

7. Training and Development

To support directors in maintaining their fitness for the role, our organisation provides ongoing professional development opportunities. Training includes governance best practices, CQC regulatory requirements, safeguarding responsibilities, and ethical leadership. Regular updates on changes in legislation and industry standards are provided to ensure that directors remain informed and competent in their roles.

8. Record-Keeping and Confidentiality

Comprehensive records of all assessments, declarations, background checks, and training activities are securely maintained. These records are periodically reviewed to ensure compliance with regulatory requirements. All personal and professional information regarding directors is treated with strict confidentiality and stored in accordance with data protection regulations.

9. Investigation and Remediation

In cases where a director is suspected of failing to meet the fit and proper persons requirements, a formal investigation is initiated. The investigation follows a clear, fair, and objective process, ensuring that all concerns are thoroughly examined. If misconduct, mismanagement, or unfitness is confirmed, appropriate action is taken, which may include additional training, formal warnings, suspension, or dismissal.

Decisions regarding director suitability are made with due consideration to regulatory requirements and organisational values, ensuring that any action taken aligns with best practice governance and protects the interests of service users and staff.

10. Policy Review and Compliance Monitoring

This policy is reviewed annually or sooner if there are significant changes in legislation, regulatory requirements, or organisational structure. Compliance with this policy is regularly audited, and findings are reported to the board for continuous improvement. Our organisation is dedicated to ensuring that all directors remain fit and proper to lead and oversee high-quality domiciliary care services. By upholding the principles of this policy, we maintain the trust and confidence of service users, staff, and regulatory bodies, ensuring that our organisation operates with transparency, accountability, and excellence.


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