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SL01-Fit and Proper Persons: Directors Policy

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Fit and Proper Persons: Directors Policy

1.Purpose

This policy sets out how {{org_field_name}} will meet the Fit and Proper Persons Requirement (FPPR) for directors under Regulation 5 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 (as amended) and CQC guidance. It ensures that any person who is appointed as a director, or who performs director-level functions with responsibility for the quality and safety of any CQC regulated activity delivered by the organisation, is fit and proper to hold that role.

This includes ensuring we can demonstrate and evidence that directors are of good character, have the qualifications, competence, skills and experience required, are fit by reason of health (with reasonable adjustments where needed), have not been responsible for or involved in serious misconduct or mismanagement, and are not unfit under the legal “unfit person” grounds. We will keep robust records and make required information available to CQC on request.

2.Scope

This policy applies to individuals who are directors of the registered provider and to any person performing the functions of, or functions equivalent/similar to, a director who has director-level responsibility for the quality and safety of care, treatment or support and for meeting the Fundamental Standards.

This policy does not replace requirements for other roles (for example, nominated individual, registered manager, or other staff), which are managed under the relevant regulatory/HR policies and procedures.

Note: FPPR (Regulation 5) applies to corporate providers (and equivalent governance structures). Where the provider is an individual or partnership, the “fit person” requirements are addressed under Regulation 4 instead.

3. Definitions and roles in scope (FPPR – Regulation 5)

For the purpose of this policy:

4. Legal and Regulatory Framework

This policy is informed by and supports compliance with:

5. Appointment and Assessment Process

We will take all reasonable steps to ensure any director (or equivalent) meets FPPR before appointment. The assessment will be evidence-based, proportionate to risk, and recorded in a Fit and Proper Persons Assessment Record held by the organisation. As a minimum, we will evidence:

  1. Identity and right to work (where applicable) and confirmation of the person’s role and responsibilities.
  2. Full employment history with explanations for any gaps.
  3. References (including the most recent relevant employer/board chair where possible) addressing conduct, integrity and leadership.
  4. Qualifications, competence, skills and experience relevant to the director role and oversight of quality and safety.
  5. Health declaration confirming the individual is able, with reasonable adjustments where needed, to perform the duties intrinsic to the role.
  6. Good character checks including a signed self-declaration covering: criminal convictions/cautions (as lawfully disclosable), regulatory sanctions, safeguarding concerns, conflicts of interest, and any other matters relevant to integrity.
  7. Assessment of whether the individual has been responsible for, privy to, contributed to, or facilitated serious misconduct or mismanagement in any regulated activity (or an equivalent service).
  8. Checks for director ineligibility/unfitness grounds, including (as applicable) insolvency/bankruptcy restrictions and director disqualification restrictions.
  9. DBS checks will be obtained where the role is eligible and where it is proportionate to the individual’s duties (for example, where the director also undertakes regulated activity at service level). Where DBS is not eligible or proportionate, we will document alternative assurance measures.

Decision and sign-off: The chair/board (or authorised committee) will record the decision that the individual is fit and proper, including the evidence reviewed, any risks identified, and the rationale for proceeding (or not proceeding) with appointment.

6.Ongoing Compliance and Monitoring

We will maintain ongoing assurance that directors remain fit and proper through:

7.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 Human Resources team 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.

Compliance/Company Secretary function (or delegated Compliance Lead):

8.Training and Development

To support directors in maintaining their fitness for the role, our scheme provides ongoing professional development opportunities. Training includes governance best practices, Supported Living regulatory standards, 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.

Training will also include Fit and Proper Persons (Regulation 5) responsibilities, director accountability for quality and safety, and how to recognise and report trigger events that may affect fitness.

9.Record-Keeping and Confidentiality

We will maintain a secure FPPR file for each director (or equivalent), including appointment evidence, declarations, reviews, investigation records and board decisions. Records will be retained for the duration of the individual’s appointment plus a minimum of 6 years (or longer where required by law, contractual obligations, or in response to ongoing investigations/claims).

Information will be stored and shared in line with data protection law. Where CQC requests evidence, we will be able to produce the FPPR file promptly, subject to lawful redaction where appropriate.

10.Investigation and Remediation

Where concerns arise that a director may not meet FPPR requirements, we will:

  1. Assess immediate risk and put interim safeguards in place (for example, increased oversight, restricting responsibilities, or temporary suspension from specific duties) where necessary to protect people using the service.
  2. Conduct a documented FPPR investigation against the Regulation 5 criteria (good character, competence, health with reasonable adjustments, misconduct/mismanagement, unfit person grounds).
  3. Make a board-level decision (or authorised committee decision) with a recorded rationale and evidence.
  4. Take necessary and proportionate action to ensure the office is held only by a fit and proper individual (which may include retraining, formal warning, removal/dismissal, or other governance action).
  5. Where required, make relevant notifications/referrals (including to professional regulators where applicable) and retain evidence of actions taken.

11.Policy Review and Compliance Monitoring

This policy is reviewed annually or sooner if there are significant changes in legislation, regulatory requirements, or scheme structure. Compliance with this policy is regularly audited, and findings are reported to the board for continuous improvement.

Our scheme is dedicated to ensuring that all directors remain fit and proper to lead and oversee high-quality supported living services. By upholding the principles of this policy, we maintain the trust and confidence of tenants, support staff, and regulatory bodies, ensuring that our scheme operates with transparency, accountability, and excellence.

Appendix 1 – FPPR Evidence Checklist (Directors)

CQC notification submissions (where applicable) and confirmations

Identity verification and role description

Employment history + gap explanations

References

Qualifications/skills/experience evidence

Health declaration (reasonable adjustments considered)

Self-declaration (character, conflicts, convictions as lawfully disclosable, regulatory history)

Misconduct/mismanagement assessment notes

Director eligibility/unfitness checks (disqualification/insolvency as applicable)

DBS check decision (eligible/proportionate) and result where obtained

Board/committee decision record and sign-off date

Annual declaration dates + trigger event reviews + outcomes

Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
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