3 - Regulation and governance

This standard relates to the structure and governance of your organisation. It details the expectations of you as a new manager in your understanding of the regulation of the sector and how it impacts on you and your organisation.

The standard places an expectation on new managers that they need to understand their role and responsibilities within that structure. In smaller organisations this understanding may relate to the whole organisation’s structure. In large organisations, it may be more helpful to have an overview of the whole company and where your setting fits in, with a more detailed understanding of your particular unit/setting for which you have responsibilities. 

You need to be aware of the legislation that is applicable to your setting, governing how you should provide care to the people you support. You’ll also need to understand any existing internal policies relevant to your responsibilities. All managers need to understand the wide range of regulation processes to some degree or another and be aware that these processes can change and evolve. It’s important for any manager, new or experienced, to keep up to date with any changes in regulations. 

The health and safety of the people you support, your team and of yourself is of paramount importance. It’s your responsibility to ensure that your service is both a safe place to work for your staff and for those receiving support. You will have requirements and responsibilities to meet as described in relevant legislation and as applied in your employing organisation. As above, all managers need to be aware of and be up to date on the legislation that governs the health and safety requirements within their services. You will need to identify risks and ensure that those risks are managed to minimise any potential harm to anyone being supported by, or working in, your service.

This standard supports an understanding of governance requirements for different bodies including Care Quality Commission (CQC). It’s also important to recognise how the range of regulation processes can support quality assurance in organisations and be used as part of a continuous improvement cycle to ensure excellent service provision. 

3.1 Legislation and guidance

• 3.1.1 Identify the key drivers, legislation, policy and statutory guidance that underpin the delivery of adult social care and explain how they impact your service
• 3.1.2 Describe how your organisation embeds the key drivers, legislation, policy and statutory guidance within working practices and your role within this

3.2 Regulation of services

• 3.2.1 Identify the types of services subject to registration and inspection by CQC*
• 3.2.2 Identify legislation, regulations and statutory guidance that underpin and support the inspection system, and how these apply to your service
• 3.2.3 Describe the role of the nominated individual for CQC regulation and inspection and how this differs from that of the registered manager role
• 3.2.4 Explain how and when the ‘fit and proper person’ criteria apply

3.3 Inspection process

• 3.3.1 Describe:
  • how services are inspected
  • the different types of inspection
  • the key themes of inspection
• 3.3.2 Describe how to prepare for inspection, including the information and evidence required and who else needs to be aware of and involved in preparing for inspection
• 3.3.3 Explain the ratings system and how this could affect your organisation and service

3.4 Internal governance

• 3.4.1 Outline the governance mechanisms within your organisation
• 3.4.2 Identify your position of accountability and own responsibilities within the governance structure and your key areas of responsibility
• 3.4.3 Explain how agreed ways of working such as protocols, policies and procedures relate to governance and accountability

3.5 Health and safety

• 3.5.1 Identify legislation that underpins health and safety in adult social care settings
• 3.5.2 Describe your role relating to health and safety in your service, and identify key sources of information and guidance to support you
• 3.5.3 Explain how you might support others to comply with health and safety policies and procedures
• 3.5.4 Outline how your organisation monitors compliance with health and safety policies, procedures and practices
• 3.5.5 Identify the range of risks you are required to manage in your role
• 3.5.6 Explain your role in identifying, assessing and managing risk

* Organisations also have a responsibility to support and guide their registered managers to be aware of how CQC inspects their service.

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