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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Fit and Proper Persons: Directors Policy

1. Purpose

The purpose of this policy is to ensure that all directors within {{org_field_name}} are fit and proper persons to manage and oversee the provision of domiciliary care services. The directors of a domiciliary care service hold significant responsibilities in ensuring safe, high-quality, and legally compliant care. It is essential that they meet the highest standards of integrity, competence, and accountability.

This policy sets out clear criteria for assessing whether a director is a fit and proper person, the processes for verifying suitability, and the steps taken if concerns arise. It aligns with The Regulation and Inspection of Social Care (Wales) Act 2016, The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, and the CIW Guide to Registration (2024).

By implementing this policy, {{org_field_name}} ensures that all individuals holding a directorial position act in the best interests of service users, staff, and stakeholders, and that any risks associated with poor governance or misconduct are minimised.

2. Scope

This policy applies to all directors, board members, owners, or individuals with significant control over {{org_field_name}}. It covers existing directors, newly appointed directors, and any individuals assuming governance roles within the organisation.

It is the responsibility of the Responsible Individual (RI) to ensure that all directors meet the fit and proper person requirements at the point of recruitment and on an ongoing basis throughout their tenure. The policy also applies to external stakeholders, such as CIW inspectors, funding bodies, and commissioning authorities, to whom the organisation must demonstrate its commitment to good governance and compliance.

3. Fit and Proper Persons Criteria

To be considered a fit and proper person, a director must meet the following mandatory requirements:

1. Be of good character
   • The individual must demonstrate honesty, integrity, reliability, and professionalism.
   • They must not have any criminal convictions that indicate dishonesty, fraud, violence, abuse, or regulatory breaches related to care services.
   • A Disclosure and Barring Service (DBS) enhanced check will be conducted before appointment.
2. Have the necessary qualifications, skills, and experience
   • The individual must have relevant qualifications in business management, social care, or related fields.
   • Experience in governance, leadership, financial oversight, and risk management is essential.
   • Ongoing professional development will be required.
3. Not be on a barred list
   • The director must not be listed on any barred workforce lists, including those under The Safeguarding Vulnerable Groups Act 2006.
4. Be financially sound
   • The director must not have a history of financial mismanagement, insolvency, or bankruptcy that could impact their ability to manage care services.
   • Checks will include a review of past business failures, insolvency records, and tax compliance.
5. Comply with legal and regulatory obligations
   • Directors must understand and comply with all relevant laws, regulations, and governance principles, including:
     • The Regulation and Inspection of Social Care (Wales) Act 2016
     • The Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017
     • The Health and Safety at Work Act 1974
     • Data Protection and GDPR Regulations
   • Failure to comply may result in regulatory action or removal.
6. Demonstrate integrity and leadership
   • Directors must promote a culture of transparency, openness, and accountability.
   • They must actively support safeguarding measures, protect service user rights, and ensure safe, effective care delivery.

4. Recruitment and Appointment of Directors

Before appointing a director, {{org_field_name}} will conduct a thorough vetting process to ensure they meet the required standards. This includes:

1. Enhanced Disclosure and Barring Service (DBS) Checks
   • All directors must undergo an enhanced DBS check to verify their criminal history and confirm they are not barred from working in care services.
2. Regulatory Compliance Checks
   • The organisation will review:
     • CIW registration records
     • Previous inspection findings
     • Any past enforcement actions taken against the individual.
3. Financial Background Checks
   • Credit history, bankruptcy records, and previous company directorships will be scrutinised to ensure financial reliability.
4. Competency Assessment
   • Directors must demonstrate their ability to govern a domiciliary care service by providing evidence of past achievements, leadership roles, and strategic decision-making skills.
5. Declaration of Conflicts of Interest
   • Directors must declare any business interests, relationships, or external commitments that could conflict with their role in managing care services.

If a director fails any of the above checks, they will not be appointed.

5. Ongoing Monitoring and Compliance

To maintain compliance, directors will undergo continuous monitoring and assessment, including:

• Annual DBS re-checks to ensure no new offences have been recorded.
• Regular training in governance, safeguarding, health and safety, and data protection.
• Performance appraisals to review leadership effectiveness and adherence to regulatory standards.
• Annual self-declaration forms requiring directors to confirm they remain fit and proper.
• Internal audits to assess compliance with CIW requirements and financial governance.

Any director found to no longer meet the fit and proper person criteria will be removed from their position immediately.

6. Dealing with Concerns About a Director

If concerns arise about a director’s suitability, immediate action will be taken, including:

1. Investigation Process
   • A formal internal investigation will be conducted by the Responsible Individual.
   • If necessary, the director will be suspended pending investigation.
2. Regulatory Notification
   • CIW and relevant authorities will be informed if a director’s fitness is in question.
3. Possible Outcomes
   • If found unfit, the director will be removed from the board.
   • If legal action is required, referrals will be made to the DBS, CIW, and law enforcement agencies.

7. Related Policies

This policy should be read in conjunction with:

• DCW02 – Fit and Proper Persons: Employed Staff Policy
• DCW04 – Good Governance Policy
• DCW13 – Safeguarding Adults from Abuse and Improper Treatment Policy
• DCW15 – Regulated Activities Compliance Policy
• DCW26 – Recruitment, Selection, and Retention Policy

8. Policy Review

This policy will be reviewed annually or sooner if there are any changes in legislation, regulatory requirements, or business needs.

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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.