4.1 Roles and responsibilities of key people

Course: NVQ Level 5 Diploma In Leadership & Management for Adult Care

Unit 2: Governance and regulatory processes

LO4: Understand roles and responsibilities in registered services

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4.1 Roles and responsibilities of key people

It is crucial for you to know who are the people with various roles and responsibilities involved in your organization, as well as that outside of it. ​If you can identify roles and responsibilities within your organization it will add to the understanding of the processes that should be undertaken by each member of staff. Some of these key roles are discussed below

The registered manager

The registered manager is the person who is ultimately responsible for the running of a care home and should have a thorough knowledge of all legislation affecting their responsibilities. They are also the first point of contact if other agencies such as social services or environmental health wish to visit your facility.

Responsibilities of the registered manager include:

  • Providing care and support to service users in line with their individual care plans;
  • Establishing new policies relating to staff recruitment, training, selection, and promotion;
  • Making sure that they have a clear understanding of the procedures needed for staff appraisal, staff training, and staff supervision, so that they maintain safe working practices within the care home;
  • Ensuring that they have an effective system in place to review the services offered by their employees who work for you, to ensure the quality of care is maintained.

The registered manager is also responsible for the health, safety, and welfare of service users. They must ensure that the service is run in accordance with the provider’s statement of purpose and that all staff is properly trained and supervised.

Regulation 7 of the Health and Social Care Act 2008 places a legal duty on the registered manager to ensure that:

  • The provider is suitable for managing, controlling, and directing the service
  • All staff employed in delivering services (including himself or herself) are suitable and properly trained
  • Appropriate management arrangements are in place for the service and staff
  • Any equipment used in the service complies with any legal requirements and is safe and in good working order

The registered manager should be aware that they are accountable to the Care Quality Commission (CQC) for the services that are being delivered. They will have to demonstrate compliance with standards set out by CQC, including demonstrating how they have an effective management system in place.

The Nominated Individual (and who may be appointed to this role)

The nominated individual is responsible for safeguarding children, young people, and vulnerable adults who use the service. They have a key role in ensuring that the service is safe so that everyone can live as independently as possible. The nominated individual will be involved in any situations where there is a concern about the safety or welfare of a person using the service.

According to the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, the nominated individual must:

  • be a suitably qualified and experienced individual who is aware of any risks to the health, safety, or welfare of people using the service
  • have an understanding of the need to protect individuals from abuse and neglect
  • Work with care staff in looking for signs that can indicate when a person is at risk. In particular, they must ensure that appropriate information sharing occurs with relevant agencies
  • be able to take decisions in relation to safeguarding children, young people, and vulnerable adults
  • ensure that arrangements are in place for reporting any concerns about the safety or welfare of a person using the service

The Registered Manager is often both a Nominated Individual and handles various responsibilities.

The Registered Provider

The registered provider is responsible for the overall quality of the service. They are usually responsible for employing staff, providing training, and managing resources. The role of the registered provider is to provide a good-quality service that meets the needs of people who use it.

You should be aware that they may also have to ensure that providers are fit to deliver the service and that they comply with the regulations set out by the CQC.

The Board of Directors

The board of directors is responsible for setting the strategic direction of the organization. They ensure that the registered provider is meeting the required standards and that they are complying with all relevant legislation. The board of directors should have a good knowledge of the service and your quality assurance systems.

The board of directors should also ensure that the registered provider has an effective management system in place. They should understand the risks involved with delivering the service and how these are being managed.

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Non-executive directors

Non-executive directors are board members that aren’t involved in the day-to-day running of the service. They provide critical oversight and challenge to ensure that the registered provider is meeting the required standards. They should have a good understanding of what is expected from the service and how it is being delivered.

Non-executive directors are often brought in to help with a company’s management and accountability. They can bring expertise, experience different perspectives, or insight that the board may not have access to themselves as well oversee certain tasks like overseeing budgets.


Inspectors from the Care Quality Commission (CQC) will visit the service to make sure that it is meeting the required standards. They will assess how well the service is run and whether it is safe, effective, caring, and responsive.

The inspectors will also look at the management system in place and whether it is robust enough to ensure the quality of the service. They will also assess how well the service is meeting the needs of people who use it.

If the service is not meeting the required standards, the inspectors will take action. This could include issuing a warning or taking enforcement action. They use Key Lines of Enquiry and assign ratings for each service based on what they find, so you always know if your loved one has been properly looked after or not.


Auditors assess providers to ensure that they are able to meet the required standards and that their systems and processes work as they should.

They will also assess how well a service is managing its risks and how effectively it can identify, monitor, and resolve any problems which may occur with people using the service. Auditors compare what actually happens against what should happen and check that any problems are dealt with promptly.

They may also ask for copies of your records to make sure that they are complete, accurate, up-to-date, and secure. They do not look at what you’ve written about individual people or how you’ve recorded the care you gave them.

Auditors use a variety of methods to assess the quality of services. For some, they will record their observations and what they find at first hand. For others, they will ask for documents that show how you are meeting the required standards.

For example, larger companies like local authorities have Quality Assurance Framework (QAF) policies set up by management team members overseeing multiple aspects related directly impacting customer satisfaction levels such as those involving health care delivery systems but also other business factors affecting profitability too. In order to properly assess an organization, auditors will use a combination of interviews, reviews, and inspections.

The ‘fit and proper person’

The criteria for ‘fit and proper person’ are set by regulation 19 under Health & Social Care Act 2008 (Regulated Activities).

The aim of these criteria is to protect people who use care services. It means people providing care services should be honest, trustworthy, and have the skills and experience needed to provide high-quality care. If you are considered not to meet this criterion for whatever reason, you will likely fail to pass or receive a conditional pass inspection which can lead to enforcement and potential closure down the line.

There are two reasons why registered providers need to ensure that their staff is fit and proper.

Firstly, people who are not fit and proper are unlikely to fulfill the requirements of the role they are doing. This means that your relatives or loved ones will receive substandard levels of care. It might also mean that you will not be eligible for compensation if something goes wrong.

Secondly, if someone is not fit and properly works for a registered provider, it could damage the reputation of the provider. This could lead to people being less likely to use the service. is meeting the required standards and has a robust management system in place.

Trustees of adult care businesses and charities

Trustees are the legal directors of a business or charity. They are responsible for making sure the service is running properly and meeting the required standards.

They will make sure that all managers and staff understand what they need to do in order to meet the required standards. Trustees may also ask for copies of records from inspectors, or from family members if they have concerns about how their relative is being cared for.

Trustees must monitor how a service is performing and make sure that the team is doing what they are supposed to do in order to meet the required standards. They may also be involved in training staff members who have not previously worked in care.

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