Core Compliance

The organisation’s position on recognising, reporting and responding to abuse and neglect, including the referral route to the local authority and the threshold for a CQC notification.

• CQC Reg 13
• Care Act 2014 s.42
• CQC (Registration) Regs 2009 Reg 18

How the home responds where a child visits, is a young carer, or is otherwise at risk — including the local safeguarding partnership referral route.

• CQC Reg 13
• Children Acts 1989 & 2004

The internal record raised the moment a concern is identified: what was seen, who was told, what was done, and when the local authority was notified.

• CQC Reg 13
• CQC Reg 17
• Care Act 2014 s.42

The step-by-step route from concern to local authority submission, including who must not investigate and what evidence must be preserved.

• CQC Reg 13
• Care Act 2014 s.42

Local authority safeguarding number, CQC, police, and your own safeguarding lead — on the wall where staff can read them under pressure.

• CQC Reg 13

The managing-allegations process where the person of concern is a member of staff: escalation, suspension decisions, and the DBS referral duty.

• CQC Reg 13
• CQC Reg 19
• Safeguarding Vulnerable Groups Act 2006

Protected routes for staff to raise concerns internally and externally, and the guarantee of no detriment for using them.

• Public Interest Disclosure Act 1998
• CQC Reg 13
• CQC Reg 17

The record of a concern raised, how it was handled and what changed — the evidence that the policy is real rather than decorative.

• Public Interest Disclosure Act 1998
• CQC Reg 17

The whistleblowing routes, including the external ones, displayed where staff can read them without asking a manager first.

• Public Interest Disclosure Act 1998

When restriction is lawful, how least-restrictive alternatives are evidenced, and how every restrictive intervention is recorded and reviewed.

• CQC Reg 13
• MCA 2005 and DoLS
• Human Rights Act 1998 Arts. 5 & 8
• NICE NG10

The response when a resident cannot be located: search phases, the point police are called, and the Herbert Protocol record held in advance.

• CQC Reg 12
• CQC Reg 13
• CQC (Registration) Regs 2009 Reg 18

Recognising domestic abuse affecting residents, visitors or staff, and the referral and support routes available.

• Domestic Abuse Act 2021
• CQC Reg 13
• Care Act 2014 s.42

Indicators of labour exploitation and trafficking in the care workforce and supply chain, and the National Referral Mechanism route.

• Modern Slavery Act 2015
• CQC Reg 13
• CQC Reg 19

The home’s Prevent duty — recognising radicalisation risk and making a Channel referral.

• Counter-Terrorism and Security Act 2015 s.26
• CQC Reg 13

How a disclosed conviction is risk-assessed before and during employment, and what makes a person barred rather than assessable.

• CQC Reg 19 and Sch 3
• Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975

Handling, recording and reconciling money held on behalf of residents, and the segregation of duties that prevents financial abuse.

• CQC Reg 13
• CQC Reg 17
• MCA 2005

What staff may and may not accept, and the register that evidences where the boundary sits.

• CQC Reg 13
• CQC Reg 17

Securing, recording and releasing a deceased resident’s belongings to the correct legal representative.

• CQC Reg 13
• CQC Reg 17

The signed record of what a resident brought with them, updated over time — the document that settles a dispute about a missing ring.

• CQC Reg 13
• CQC Reg 17

How the home applies Convention rights in practice — liberty, private and family life, and freedom from degrading treatment.

• Human Rights Act 1998
• CQC Reg 10
• CQC Reg 13

When an IMCA, Care Act advocate or informal advocate must be involved, and how the home arranges it.

• MCA 2005 ss.35–41
• Care Act 2014 ss.67–68
• CQC Reg 9

The threshold for a notifiable safety incident, the apology and written notification duty, and the record proving both happened.

• CQC Reg 20
• CQC Reg 17

Which events must be notified to CQC, by whom, within what timeframe, and where the submission record is kept.

• CQC (Registration) Regs 2009 Regs 14–18

The five statutory principles applied to daily care: presumption of capacity, decision-specific assessment, and the right to make an unwise decision.

• MCA 2005
• MCA Code of Practice
• CQC Reg 11
• NICE NG108

The two-stage capacity assessment for one specific decision at one specific time, with the functional test recorded in the assessor’s own words.

• MCA 2005 ss.2–3
• CQC Reg 11

The best-interests decision record: who was consulted, the person’s past and present wishes, and why the least restrictive option was chosen.

• MCA 2005 s.4
• CQC Reg 11

The five principles on the wall in plain English, for the moment a carer has to decide whether to proceed.

• MCA 2005

When care amounts to a deprivation of liberty, how urgent and standard authorisations are applied for, and the conditions that follow one.

• MCA 2005 Sch A1
• Human Rights Act 1998 Art. 5
• CQC (Registration) Regs 2009 Reg 18

The resident’s recorded consent for sharing information with family, GP and other professionals — and the lawful basis where they lack capacity.

• UK GDPR Arts. 6 & 9
• Caldicott Principles
• CQC Reg 11

Specific, revocable consent for photographs and their use — care records, activities board, website, social media — each treated separately.

• UK GDPR Art. 6
• CQC Reg 11
• CQC Reg 10

How the home verifies an LPA or deputyship order, and which decisions the attorney can and cannot lawfully make.

• MCA 2005 ss.9–14
• Office of the Public Guardian guidance
• CQC Reg 11

The standard of everyday practice — knocking, closing doors, using the name a person chose — written as something auditable.

• CQC Reg 10
• Equality Act 2010

The dignity standard reduced to the handful of behaviours a carer can hold in mind on a busy morning.

• CQC Reg 10

Privacy in personal care, correspondence, telephone calls and visits, and the limits on staff entry to a resident’s room.

• CQC Reg 10
• Human Rights Act 1998 Art. 8

How choice is offered and recorded in daily life — getting up, meals, activities — including for residents who cannot express it verbally.

• CQC Reg 9
• CQC Reg 10
• MCA 2005

The mechanisms by which residents and families influence how the home runs, and how the home evidences that it acted on what it heard.

• CQC Reg 9
• CQC Reg 17

Supporting intimate relationships lawfully, including capacity to consent to sexual relations and the safeguarding boundary.

• MCA 2005
• CQC Reg 10
• CQC Reg 13
• Equality Act 2010

How faith, culture and end-of-life observance are identified at admission and honoured in daily care.

• Equality Act 2010
• CQC Reg 9
• CQC Reg 10

The nine protected characteristics applied to residents and staff, with reasonable adjustments treated as a duty rather than a courtesy.

• Equality Act 2010
• CQC Reg 9
• CQC Reg 10

Identifying, recording, flagging and meeting communication and information needs arising from disability or sensory loss.

• Accessible Information Standard DCB1605
• Equality Act 2010
• CQC Reg 9

Reasonable adjustments, communication passports, and the Oliver McGowan training expectation for staff supporting autistic people.

• Health and Care Act 2022 s.181
• Equality Act 2010
• CQC Reg 9

The full medicines lifecycle — ordering, receipt, storage, administration, disposal — and the competence required before a member of staff may administer.

• CQC Reg 12
• NICE SC1
• NICE NG5
• Human Medicines Regs 2012

The round itself, step by step: the six rights, the interruption rule, and what to do when a resident declines.

• CQC Reg 12
• NICE SC1

Storage, register keeping, witnessed administration, stock balance checks and destruction of Schedule 2 and 3 medicines.

• Misuse of Drugs Regs 2001
• Misuse of Drugs (Safe Custody) Regs 1973
• CQC Reg 12

The end-of-shift balance check and two-signature administration routine, written as a sequence a senior carer can follow.

• Misuse of Drugs Regs 2001
• CQC Reg 12

The lawful route to giving medicine disguised in food: capacity assessment, best-interests meeting, pharmacist advice, and review interval.

• MCA 2005 s.4
• CQC Reg 11
• CQC Reg 12
• NICE SC1

When as-required medicines may be given, the protocol each one needs, and the effectiveness review that must follow.

• CQC Reg 12
• NICE SC1

The agreed list of over-the-counter remedies, the GP authorisation behind it, and the maximum duration before escalation.

• CQC Reg 12
• NICE SC1

Assessing whether a resident can safely keep and take their own medicines, the storage required, and the review cycle.

• CQC Reg 12
• MCA 2005
• NICE SC1

What counts as an error or near miss, the immediate clinical response, and the no-blame reporting culture that surfaces them.

• CQC Reg 12
• CQC Reg 17
• CQC Reg 20

The structured error record — what was given, what should have been, the clinical advice sought, and the action taken.

• CQC Reg 12
• CQC Reg 17

The just-in-case record for end-of-life symptom control: what is held, authorised by whom, and when it was used.

• NICE NG31
• CQC Reg 12
• Misuse of Drugs Regs 2001

How assessment becomes a care plan, how the resident and family contribute, and the review interval that keeps it current.

• CQC Reg 9
• CQC Reg 17
• Care Act 2014

The care plan template — need, goal, intervention, who does it and how often — written so a bank carer could follow it on their first shift.

• CQC Reg 9
• CQC Reg 17

The life-story and preferences record that travels with the resident, particularly valuable in dementia care and on hospital transfer.

• CQC Reg 9
• NICE NG97

The general risk assessment format: hazard, who is at risk, existing controls, residual risk, and review date.

• Management of H&S at Work Regs 1999
• CQC Reg 12

Multifactorial falls risk assessment, environmental controls, the post-fall protocol, and the pattern analysis that reduces repeat falls.

• NICE NG161
• CQC Reg 12

What to do in the first ten minutes of a fall — do not move, neurological observations, escalation triggers.

• NICE NG161
• CQC Reg 12

The individual falls risk assessment, scored, with the interventions each score band triggers.

• NICE NG161
• CQC Reg 12

The individual fall record — witnessed or not, injury, observations, GP contact, and family notification.

• CQC Reg 12
• RIDDOR 2013
• CQC (Registration) Regs 2009 Reg 18

The aggregated log that turns individual falls into a pattern a manager can act on — time of day, location, resident, footwear.

• CQC Reg 17
• NICE NG161

The environmental and observational basics, on the wall for staff and visiting families.

• NICE NG161

Risk assessment, repositioning, equipment provision, and the escalation route when pressure damage is identified.

• NICE CG179
• CQC Reg 12
• CQC Reg 13

The scored pressure ulcer risk assessment, with the equipment and repositioning plan it triggers.

• NICE CG179
• CQC Reg 12

The repositioning record — the evidence that the plan happened, not just that it was written.

• NICE CG179
• CQC Reg 12
• CQC Reg 17

Surface, Skin inspection, Keep moving, Incontinence, Nutrition — the five-step bundle on the wall.

• NICE CG179

Daily skin inspection, emollient use, and the difference between moisture-associated damage and pressure damage.

• NICE CG179
• CQC Reg 12

Wound assessment, dressing selection within competence, district nurse referral, and infection escalation.

• NICE CG179
• CQC Reg 12

Serial wound measurement, tissue type, exudate and pain — the record that shows a wound healing or deteriorating.

• NICE CG179
• CQC Reg 12
• CQC Reg 17

The anatomical map used to record bruising, skin damage or injury at the point it is found.

• CQC Reg 13
• CQC Reg 12

The skin-specific body map used on admission and at each formal skin inspection.

• NICE CG179
• CQC Reg 12

Screening, fortification, modified texture, and the escalation route when unplanned weight loss is identified.

• CQC Reg 14
• NICE CG32
• IDDSI framework

The Malnutrition Universal Screening Tool score and the care actions each risk band triggers.

• CQC Reg 14
• NICE CG32
• BAPEN MUST

What a resident actually ate, in portions rather than adjectives, for the days it matters.

• CQC Reg 14
• NICE CG32

Intake and output over 24 hours, with the target volume stated on the chart so it can be judged rather than just filed.

• CQC Reg 14
• CQC Reg 12

Continence assessment, promotion of continence over containment, product provision, and dignity in personal care.

• NICE CG171
• CQC Reg 9
• CQC Reg 10

The baseline continence record used to build a toileting pattern rather than a pad schedule.

• NICE CG171
• CQC Reg 9

Bowel record using the Bristol Stool Scale, with the constipation escalation trigger printed on the form.

• NICE CG99
• CQC Reg 12

Catheter and stoma management, infection prevention, and the catheter-associated UTI escalation route.

• CQC Reg 12
• NICE CG139
• Hygiene Code (HSCA 2008)

Mouth care assessment on admission, daily oral care, and access to NHS dental services.

• NICE NG48
• CQC Reg 9
• CQC Reg 12

The daily mouth care routine, including for residents who resist care, on the wall in the sluice.

• NICE NG48

Sensory assessment, hearing aid and spectacle care, and access to optometry and audiology.

• CQC Reg 9
• Accessible Information Standard DCB1605

Routine foot care, the boundary of staff competence, and podiatry referral — particularly for residents with diabetes.

• CQC Reg 9
• CQC Reg 12
• NICE NG19

Pain assessment including for residents who cannot self-report, analgesic review, and non-pharmacological measures.

• CQC Reg 9
• CQC Reg 12

Numeric and observational pain scoring, with the review interval after each intervention built into the chart.

• CQC Reg 12
• CQC Reg 9

Person-centred dementia practice, environmental design, distress-behaviour response, and the non-pharmacological-first rule.

• NICE NG97
• CQC Reg 9
• MCA 2005

The distinct needs of residents under 65 living with dementia — employment, dependent children, peer isolation.

• NICE NG97
• CQC Reg 9
• Equality Act 2010

Approach, pace and language for communicating with a distressed resident, on the wall where it is needed.

• NICE NG97

Antecedent, behaviour, consequence recording — used to find the trigger rather than merely describe the incident.

• NICE NG97
• NICE NG10
• CQC Reg 9

The positive behaviour support plan: known triggers, early signs, de-escalation that works for this person, and what never to do.

• NICE NG10
• CQC Reg 9
• CQC Reg 13

Supporting residents with mental health needs, including low-mood screening, community mental health team liaison, and self-harm risk.

• CQC Reg 9
• CQC Reg 12

Blood glucose monitoring, insulin administration competence, hypo and hyper response, and annual review.

• CQC Reg 12
• NICE NG28
• Diabetes UK care home guidance

Safe care for residents of higher weight — equipment safe working loads, moving and handling, skin care, and dignity.

• CQC Reg 12
• CQC Reg 15
• LOLER 1998
• Manual Handling Ops Regs 1992

Bedrail risk assessment, entrapment risk, alternatives considered, and the deprivation-of-liberty question a bedrail raises.

• MHRA bedrail guidance
• CQC Reg 12
• MCA 2005 and DoLS

Safe moving and handling of people and loads, the equipment inspection regime, and staff competence.

• Manual Handling Ops Regs 1992
• LOLER 1998
• CQC Reg 12

The individual moving and handling assessment — equipment, number of carers, and the technique for each transfer.

• Manual Handling Ops Regs 1992
• CQC Reg 12

Safe handling principles and the never-do list, displayed where equipment is stored.

• Manual Handling Ops Regs 1992

The standard for delivering personal care with dignity, including same-sex care preference and consent at each step.

• CQC Reg 9
• CQC Reg 10
• CQC Reg 11

Night-time observation record used to evidence rest, night checks and disturbance patterns.

• CQC Reg 9
• CQC Reg 17

Soft signs of deterioration, NEWS2 scoring, and the escalation ladder from senior carer to GP to 999 — with a relative saying "something is wrong" treated as a soft sign in its own right.

• CQC Reg 12
• NICE NG51
• RCP NEWS2
• RESTORE2

National Early Warning Score 2 observations, with the escalation threshold printed on the chart itself.

• RCP NEWS2
• NICE NG51
• CQC Reg 12

The NEWS2 scoring table and escalation triggers, on the wall in the treatment room.

• RCP NEWS2
• NICE NG51

Sepsis red flags in an older adult, and the immediate escalation route.

• NICE NG51
• UK Sepsis Trust

FAST recognition and the time-critical 999 message, displayed in communal areas.

• NICE NG128

Back blows and abdominal thrusts, in sequence, displayed in the dining room.

• Resuscitation Council UK

Recognition and adrenaline auto-injector use, displayed where allergen risk exists.

• Resuscitation Council UK

Hypoglycaemia and hyperglycaemia recognition, and the immediate treatment steps.

• Diabetes UK
• TREND-UK

First aid provision, trained first aiders, kit contents, and the boundary between first aid and clinical treatment.

• Health and Safety (First-Aid) Regs 1981
• CQC Reg 12

How DNACPR and ReSPECT decisions are recorded, communicated and reviewed — and what staff do when no form is present.

• MCA 2005
• CQC Reg 11
• Resuscitation Council UK ReSPECT

Advance care planning, recognising dying, symptom control, and family support in the last days of life.

• NICE NG31
• CQC Reg 9
• Gold Standards Framework

Palliative care alongside active treatment — symptom management, specialist referral, and how it differs from end-of-life care.

• NICE NG142
• CQC Reg 9

The sequence following an expected or unexpected death: verification, notification, care of the body, family, and CQC.

• CQC (Registration) Regs 2009 Reg 16
• CQC Reg 10

The administrative checklist after a death — medical examiner, registration, belongings, funeral director, room, and records.

• CQC (Registration) Regs 2009 Reg 16
• CQC Reg 17

Supporting residents who have lost a fellow resident or a family member, including how the death is communicated to the home.

• CQC Reg 9
• CQC Reg 10

The full IPC framework — standard precautions, the IPC lead role, the audit programme, and the outbreak trigger.

• Hygiene Code (HSCA 2008)
• CQC Reg 12
• UKHSA adult social care IPC guidance

The five moments, technique, bare-below-the-elbows expectation, and the audit that proves compliance.

• Hygiene Code (HSCA 2008)
• WHO five moments
• CQC Reg 12

Handwash technique and the five moments, over every clinical hand basin.

• Hygiene Code (HSCA 2008)

Selection, donning and doffing sequence, disposal, and the risk assessment behind each PPE decision.

• PPE at Work Regs 1992 (as amended 2022)
• COSHH 2002
• Hygiene Code (HSCA 2008)

Cleaning frequencies by area, colour coding, terminal cleans, and equipment decontamination between residents.

• Hygiene Code (HSCA 2008)
• CQC Reg 15
• COSHH 2002

Segregation of infected linen, wash temperatures, and the clean-to-dirty flow through the laundry.

• Hygiene Code (HSCA 2008)
• CQC Reg 15

Segregation, storage and disposal of clinical, offensive and domestic waste, with the duty-of-care documentation.

• Environmental Protection Act 1990
• Hazardous Waste Regs 2005
• HTM 07-01

Safe sharps handling, container management, and the safer-sharps requirement.

• Health and Safety (Sharp Instruments in Healthcare) Regs 2013
• COSHH 2002

Immediate first aid, occupational health referral, and reporting after a needlestick or splash exposure.

• Sharp Instruments Regs 2013
• RIDDOR 2013

The spill kit sequence for blood, vomit and faeces, including the correct disinfectant concentration.

• Hygiene Code (HSCA 2008)
• COSHH 2002

Case definition, cohorting, admission suspension, UKHSA notification, and the criteria for standing down.

• Health Protection (Notification) Regs 2010
• Hygiene Code (HSCA 2008)
• CQC (Registration) Regs 2009 Reg 18

The first two hours of a suspected outbreak — who is told, what stops, and what starts.

• Hygiene Code (HSCA 2008)
• UKHSA outbreak guidance

The escalation plan for a sustained infectious-disease event: staffing, supplies, visiting, and communication.

• CQC Reg 12
• CQC Reg 17

Water safety management — temperature monitoring, flushing of infrequently used outlets, and the written scheme of control.

• ACOP L8 / HSG274
• HSWA 1974
• CQC Reg 15

HACCP-based food safety management, temperature control, personal hygiene, and the Safer Food Better Business record set.

• Food Safety Act 1990
• Food Hygiene (England) Regs 2013
• Retained Reg (EC) 852/2004

The 14 declarable allergens, communication between kitchen and care staff, and labelling of pre-packed food.

• Food Information Regs 2014
• Natasha’s Law (FIC Amendment Regs 2019)
• CQC Reg 14

The rotating menu record, with nutritional and texture-modified variants set out alongside each choice.

• CQC Reg 14
• IDDSI framework

The organisation’s health and safety policy statement, responsibilities and arrangements — the document HSE asks for first.

• HSWA 1974 s.2(3)
• Management of H&S at Work Regs 1999
• CQC Reg 15

Hazardous substance inventory, assessments, safe storage, and the spill response for cleaning chemicals and clinical agents.

• COSHH 2002
• HSWA 1974

The fire safety management system: risk assessment, the responsible person, testing regime, drills, and staff training.

• Regulatory Reform (Fire Safety) Order 2005
• Fire Safety Act 2021
• CQC Reg 15

The fire action notice at each call point — what to do on discovering a fire, and on hearing the alarm.

• RRO 2005

The staff response to an activation, including progressive horizontal evacuation as used in a care home.

• RRO 2005
• CQC Reg 12

Evacuation strategy, refuge areas, equipment (evacuation chairs, ski sheets), and the roll-call process.

• RRO 2005
• CQC Reg 15

How personal emergency evacuation plans are produced for every resident and reviewed whenever mobility changes.

• RRO 2005
• Equality Act 2010
• CQC Reg 15

The individual evacuation plan — mobility, equipment, staff required, and where the resident sits in the evacuation order.

• RRO 2005

The asbestos register, management plan, and the contractor permit rule for any work on the fabric of the building.

• Control of Asbestos Regs 2012
• CQC Reg 15

Fixed wiring inspection, portable appliance testing, and the reporting route for damaged equipment.

• Electricity at Work Regs 1989
• CQC Reg 15

Annual gas safety inspection, Gas Safe records, and the response to a suspected leak.

• Gas Safety (Installation and Use) Regs 1998
• CQC Reg 15

Servicing, inspection and defect reporting for hoists, beds, mattresses and mobility equipment.

• LOLER 1998
• PUWER 1998
• CQC Reg 15

Protection from hot water and hot surfaces — thermostatic mixing valves, radiator guards, and the burn risk assessment.

• HSE HSIS5
• CQC Reg 12
• CQC Reg 15

Restrictor specification, inspection frequency, and the falls-from-height risk assessment.

• HSE falls from windows guidance
• CQC Reg 12
• CQC Reg 15

Heatwave, cold weather, snow and flood planning — resident welfare, staffing, and supply continuity.

• UKHSA Adverse Weather and Health Plan
• CQC Reg 12

The response to loss of power: priority equipment, call bells, lighting, heating, and escalation.

• CQC Reg 12
• CQC Reg 15

The continuity framework — scenario planning, recovery priorities, and the local authority contact route.

• CQC Reg 17
• CQC Reg 12

Risk assessment and safety arrangements for staff working alone, including night staff.

• HSWA 1974
• Management of H&S at Work Regs 1999

The contractor permit for hot works, roof work, isolation of services, or work in occupied areas.

• HSWA 1974
• CDM 2015
• CQC Reg 15

Which injuries, diseases and dangerous occurrences are reportable to HSE, by when, and who submits them.

• RIDDOR 2013

The general incident record — what happened, immediate action, notifications made, and the review decision.

• CQC Reg 12
• CQC Reg 17
• RIDDOR 2013

The defect report and its close-out, giving an auditable trail from fault to fix.

• CQC Reg 15
• CQC Reg 17

Ordering and receipt record for consumables, PPE and continence products.

• CQC Reg 17

Visiting arrangements, professional visitor identity checks, and the balance between openness and safety.

• CQC Reg 9A
• CQC Reg 15
• CQC Reg 13

The sign-in and sign-out routine, including fire roll-call implications and badge issue.

• RRO 2005
• CQC Reg 13

The statutory no-smoking notice and the home’s designated arrangements.

• Health Act 2006
• Smoke-free (Premises) Regs 2006

The safer recruitment process end to end, with the Schedule 3 information set treated as a pre-start requirement rather than a formality.

• CQC Reg 19 and Sch 3
• Equality Act 2010

How many references, from whom, verified how — and what a gap in employment history obliges the home to do.

• CQC Reg 19 and Sch 3

Enhanced DBS with barred list checks, update service use, renewal cycle, and right-to-work verification.

• CQC Reg 19 and Sch 3
• Immigration, Asylum and Nationality Act 2006
• Safeguarding Vulnerable Groups Act 2006

The Regulation 5 test for directors and equivalent office holders, and the evidence file that sits behind it.

• CQC Reg 5

The application form built to collect a full employment history and the Schedule 3 declarations in a single pass.

• CQC Reg 19 and Sch 3

The structured induction every new starter completes, aligned to the Care Certificate, with supervised practice before lone working.

• CQC Reg 18
• Care Certificate (Skills for Care)

The mandatory training matrix, refresh intervals, and the consequence of an expired competency.

• CQC Reg 18
• HSWA 1974
• Care Certificate

Supervision frequency, appraisal cycle, and the link between supervision records and demonstrated competence.

• CQC Reg 18
• CQC Reg 17

The supervision record itself — practice discussion, actions agreed, and both signatures.

• CQC Reg 18
• CQC Reg 17

The probationary period, its review points, and the decision to confirm, extend or end employment.

• Employment Rights Act 1996
• CQC Reg 18

The disciplinary procedure, written to the ACAS Code, with the safeguarding overlay where the allegation involves a resident.

• ACAS Code of Practice
• Employment Rights Act 1996
• CQC Reg 13

The performance and ill-health capability route, kept deliberately distinct from conduct.

• ACAS Code of Practice
• Equality Act 2010

How a member of staff raises a grievance, the hearing process, and the right of appeal.

• ACAS Code of Practice
• Employment Rights Act 1996

The standard of behaviour, the reporting routes, and the employer’s positive duty to prevent sexual harassment.

• Equality Act 2010
• Worker Protection Act 2023

Reporting, certification, trigger points, and the return-to-work discussion.

• Employment Rights Act 1996
• Equality Act 2010

The return-to-work interview record, including fitness to return and any adjustment agreed.

• Equality Act 2010
• CQC Reg 18

Leave request and authorisation record, with the staffing-level check built into the approval.

• Working Time Regs 1998
• CQC Reg 18

Hours, rest breaks, night work limits and the opt-out — with the safe-staffing consequence made explicit.

• Working Time Regs 1998
• CQC Reg 18

Maternity, paternity, adoption, shared parental leave, carer’s leave and flexible working.

• Employment Rights Act 1996
• Carer’s Leave Act 2023
• Employment Relations (Flexible Working) Act 2023

The evidence a home must hold before an agency worker starts a shift, and the induction they get on arrival.

• CQC Reg 19
• CQC Reg 18

The Code of Conduct for Healthcare Support Workers and Adult Social Care Workers, adopted as a term of employment.

• Skills for Care Code of Conduct
• CQC Reg 18

The signed acknowledgement that makes the code enforceable rather than aspirational.

• CQC Reg 18
• CQC Reg 17

The signed confidentiality undertaking covering resident information, held on the personnel file.

• UK GDPR
• Common law duty of confidence
• CQC Reg 17

What may be shared, with whom, and the lawful bases for disclosure without consent.

• UK GDPR
• Data Protection Act 2018
• Caldicott Principles

Declaration and management of personal, financial and family interests, including staff related to residents.

• CQC Reg 17
• CQC Reg 13

Staff use of social media, the absolute bar on resident images, and the disciplinary consequence of breach.

• UK GDPR
• CQC Reg 10
• CQC Reg 13

Acceptable use of the home’s systems, the monitoring notice, and how resident data may be handled by email.

• UK GDPR
• Data Protection Act 2018

Drugs and alcohol at work — the safety rule, the support route, and the testing position.

• HSWA 1974
• Misuse of Drugs Act 1971
• Equality Act 2010

The registered manager role, written against the Regulation 7 requirements and the accountability that registration carries.

• CQC Reg 7
• CQC Reg 17

The deputy role, including delegated authority and the cover arrangement during registered manager absence.

• CQC Reg 7
• CQC (Registration) Regs 2009 Reg 14

The nursing role, including NMC registration, revalidation, and clinical accountability.

• NMC Code
• CQC Reg 18
• CQC Reg 12

The senior carer role, including medication administration competence and shift leadership.

• CQC Reg 18
• CQC Reg 12

The care assistant role, written around the Care Certificate standards and the conduct code.

• CQC Reg 18
• Care Certificate

The activities role, framed around meaningful occupation rather than entertainment.

• CQC Reg 9
• CQC Reg 18

The catering role, including food safety qualification, allergen management and texture-modified diets.

• Food Hygiene (England) Regs 2013
• CQC Reg 14

The domestic role, including colour-coded cleaning, COSHH competence and IPC responsibilities.

• Hygiene Code (HSCA 2008)
• COSHH 2002
• CQC Reg 15

The maintenance role, including statutory testing schedules and contractor supervision.

• CQC Reg 15
• HSWA 1974

Lawful bases, the special category condition for health data, retention, and the responsibilities of the DPO.

• UK GDPR
• Data Protection Act 2018
• CQC Reg 17

Breach identification, the 72-hour ICO reporting decision, notification to data subjects, and the breach log.

• UK GDPR Arts. 33–34
• Data Protection Act 2018

How a SAR is recognised, the one-month clock, third-party redaction, and the response format.

• UK GDPR Art. 15
• Data Protection Act 2018

Care record standards, retention periods and secure destruction, aligned to the NHS records code.

• Records Management Code of Practice 2021
• CQC Reg 17
• UK GDPR

Justification, signage, retention, access requests, and the specific rules on covert or in-room surveillance.

• UK GDPR
• ICO video surveillance guidance
• CQC Reg 10

When photographs may be taken, by whom, for what purpose, and where they may be stored or published.

• UK GDPR
• CQC Reg 10
• CQC Reg 11

Access control, passwords, device security, backup, and the assurance expected of suppliers.

• UK GDPR Art. 32
• DSPT
• Cyber Essentials

The response to ransomware or system loss — containment, the paper fallback that keeps care running, and reporting.

• UK GDPR Arts. 33–34
• DSPT
• CQC Reg 17

The admission sequence from referral to first-day settling, with the assessments that must be complete before arrival.

• CQC Reg 9
• CQC Reg 12
• Care Act 2014

The full needs assessment used to decide whether the home can meet the person’s needs — the Regulation 12 gate.

• CQC Reg 9
• CQC Reg 12

The condensed pre-admission record shared with the staff team before a new resident arrives.

• CQC Reg 9
• CQC Reg 17

The first-day checklist — medicines reconciled, allergies recorded, next of kin confirmed, room and belongings.

• CQC Reg 9
• CQC Reg 12

The first-week review that catches what the pre-admission assessment did not.

• CQC Reg 9
• CQC Reg 17

The formal six-week review confirming the care plan reflects the person now that they are settled.

• CQC Reg 9
• CQC Reg 17

The information that travels with a resident to hospital, so the ward is not starting blind at two in the morning.

• CQC Reg 12
• NICE NG27

The return-from-hospital checklist — medicines reconciliation, skin check, mobility change, and care plan update.

• CQC Reg 12
• NICE NG27

Planned discharge or transfer to another service, including the information handed on and the notice arrangements.

• CQC Reg 9
• CQC Reg 12

The leaving record — belongings, medicines, records transferred, and fees settled.

• CQC Reg 17
• Consumer Rights Act 2015

The planned activity record showing meaningful occupation offered, taken up, and adapted.

• CQC Reg 9

The complaints procedure — acknowledgement and response timescales, stages, and the route to the Local Government and Social Care Ombudsman.

• CQC Reg 16
• Local Authority Social Services and NHS Complaints Regs 2009

How a complaint is handled from first contact to outcome letter, including when duty of candour is engaged.

• CQC Reg 16
• CQC Reg 20

The record of a concern or compliment raised, how it was handled, and the learning identified.

• CQC Reg 16
• CQC Reg 17

How to complain, to whom, and the external routes — displayed publicly, as Regulation 16 expects.

• CQC Reg 16

The audit calendar, governance meeting structure, and the loop from finding to action to re-audit.

• CQC Reg 17

What happens when an inspector arrives — who is informed, what is produced, and who speaks for the service.

• CQC Reg 17
• Health and Social Care Act 2008

How the PIR is compiled, evidenced and signed off before submission to CQC.

• CQC Reg 17
• Health and Social Care Act 2008

The policy governing how the statement of purpose is maintained, and when CQC must be told it has changed.

• CQC (Registration) Regs 2009 Reg 12 and Sch 3

The statutory statement of purpose itself — aims, objectives, services, and the people the service is for.

• CQC (Registration) Regs 2009 Reg 12 and Sch 3

The policy setting out what the service user guide must contain and when it is reissued.

• CQC (Registration) Regs 2009 Reg 12

The guide given to every resident and family — services, fees, staffing, complaints, and what to expect.

• CQC (Registration) Regs 2009 Reg 12
• Consumer Rights Act 2015
• CMA care homes consumer law advice

The business plan CQC expects at registration — service model, staffing model, and financial viability.

• CQC (Registration) Regs 2009 Reg 13
• CQC Reg 17

The respective roles of the registered manager and nominated individual, and the notification duties when either changes or is absent.

• CQC Reg 6
• CQC Reg 7
• CQC (Registration) Regs 2009 Regs 14–15

The core administrative letter set used across the resident journey, personalised with your home’s details on download.

• CQC Reg 17

How to adapt the library to your service — which fields personalise automatically, and what a manager should review before adoption.

• CQC Reg 17