1.2 Describe the range of legislation and statutory guidance that supports and relates to the inspection process

This. guide will help you answer 1.2 Describe the range of legislation and statutory guidance that supports and relates to the inspection process.

The legislative framework for adult care inspections is broad. Law and statutory guidance are closely connected and provide rules and advice for inspection and service delivery. Both are important for leaders and managers in adult care.

This guide covers the range of legislation and statutory guidance that shapes inspection.

Difference Between Legislation and Statutory Guidance

Before looking at specific laws and guidance, it helps to know the difference:

• Legislation: These are laws passed by Parliament, such as Acts or statutory instruments (regulations). Everyone must follow them.
• Statutory Guidance: This is official advice produced under laws. While it is not law itself, services must take it into account and explain if they decide not to follow it. Inspectors check if guidance is being followed.

Legislation Supporting the Inspection Process

Several laws work together to form the backbone of the inspection system. They create rules for standards, powers for regulators, and protection for service users.

Health and Social Care Act 2008

Most important for adult care, this Act:

• Created the CQC (Care Quality Commission)
• Gave CQC powers to register, monitor, and inspect care providers
• Outlined offences and enforcement actions (such as warning notices, fines, or cancelling registrations)
• Set expectations for quality, safety, and leadership

This Act is the basis for much of the statutory guidance described below.

Health and Social Care Act 2008 (Regulated Activities) Regulations 2014

This set of regulations spells out:

• The Fundamental Standards of care
• What counts as a ‘regulated activity’
• Providers’ responsibilities to deliver person-centred, safe, and dignified care
• What is expected of managers and staff

CQC inspections check if providers meet these requirements.

Care Act 2014

This Act changed how adult social care works in England. It sets out duties for local authorities, especially relating to adult safeguarding and prevention.

Care Act requirements considered in inspections include:

• Protecting people at risk of abuse or neglect
• Promoting individual wellbeing and choice
• Conducting safeguarding enquiries

It also supports integration with health services—something CQC often inspects.

Safeguarding Vulnerable Groups Act 2006

To protect adults at risk, this Act:

• Established the Disclosure and Barring Service (DBS)
• Requires staff who have unsupervised access to adults to have DBS checks

Inspections look at how services follow safer recruitment practices under this law.

Mental Capacity Act 2005

This Act protects adults who cannot make decisions for themselves:

• Requires staff to assess capacity and support people to make their own choices
• Sets out ‘best interest’ decisions for those who lack capacity
• Introduces Deprivation of Liberty Safeguards (DoLS)

Inspectors check how these legal duties are put into practice.

Equality Act 2010

The Equality Act requires care providers to treat people fairly and avoid unlawful discrimination on grounds of age, disability, race, gender, sexuality, and religion.

Inspections focus on whether services:

• Promote equality, diversity, and inclusion
• Make reasonable adjustments for people with disabilities
• Prevent discrimination and harassment

Data Protection Act 2018

Handling people’s information is a key part of inspection. This law requires providers to:

• Keep personal and sensitive information secure
• Only share information with those who need it
• Have clear data policies and staff training

Inspectors assess how these standards are applied.

The Human Rights Act 1998

This Act makes the rights in the European Convention on Human Rights enforceable in the UK. Important rights for people in care include:

• Article 2 (Right to life)
• Article 3 (Freedom from torture or inhuman treatment)
• Article 8 (Right to private and family life)
• Article 14 (Protection from discrimination)

Inspectors look for evidence these rights are respected and promoted.

Supporting Statutory Guidance

Statutory guidance explains how to apply the law in practice. Inspection teams expect you to know and follow relevant guidance.

CQC’s Enforcement Policy

Published by the CQC under its legal powers, this document explains:

• How CQC decides when to take action against providers
• Types of enforcement available (written warnings, fines, registration action)
• The steps in the enforcement process

Managers should understand this policy and be ready to respond if the service receives enforcement action.

CQC’s Provider Handbooks

Provider handbooks are statutory guidance. They:

• Explain CQC’s Key Lines of Enquiry (KLOEs)—the questions inspectors ask
• Describe what good and outstanding care look like
• Give examples of evidence that supports compliance

There are different handbooks for different types of service (residential, community, hospices, etc.).

CQC’s Guidance for Providers on Meeting the Regulations

This guidance gives practical advice on:

• Meeting Fundamental Standards
• Continuous monitoring of quality and safety
• Learning from incidents and complaints

The guidance is available on the CQC website. Inspectors use it to judge if a service is complaint-ready.

Care and Support Statutory Guidance (Department of Health and Social Care)

This guidance supports the Care Act 2014. It explains, for instance:

• How to carry out safeguarding enquiries
• Working with other professionals
• Person-centred care planning
• Supporting carers

All local authorities and social care providers must have regard for this guidance.

Safeguarding Statutory Guidance

There are several statutory guidance documents relating to safeguarding:

• ADASS (Association of Directors of Adult Social Services) Guidance: For safeguarding adults boards and adult services teams
• Making Safeguarding Personal: Focuses on putting people’s views at the centre of safeguarding work
• Disclosure and Barring Service (DBS) Guidance: Explains roles and checks for care workers

Inspectors expect to see these principles in recruitment, incident reporting, and staff training.

Mental Capacity Act Code of Practice

The code accompanies the Mental Capacity Act 2005 and gives clear direction on:

• Assessing a person’s capacity
• Supporting people with decision-making
• Acting on ‘best interests’
• Using restraint or restrictions lawfully

It is a key reference for inspections where services support people living with dementia or learning disabilities.

NICE Guidelines

NICE (National Institute for Health and Care Excellence) guidance, while advisory rather than statutory, is widely promoted in statutory guidance. For example, NICE guidance is referenced in CQC’s inspection handbooks and sector guidance.

It covers:

• Managing medication
• Infection prevention and control
• Falls prevention
• Personalised care

Adhering to NICE guidelines can help show that a service is following best practice.

Information Commissioner’s Office (ICO) Guidance

The ICO issues statutory codes for data protection, including:

• Guidance on sharing information lawfully
• Deleting or retaining records
• Responding to subject access requests

Inspections draw on this guidance when reviewing data handling and privacy practices.

How Legislation and Guidance Support Inspection

The combined effect of legislation and statutory guidance is to:

• Set clear standards for safe, person-led, and lawful care
• Give the CQC and other bodies the powers needed to inspect and act if things go wrong
• Highlight people’s rights, choice, and dignity
• Protect from abuse, neglect, discrimination, and unsafe practices
• Guide providers with up-to-date advice and practical directions

During inspections, CQC emphasises:

• How you implement legal requirements
• Your awareness and application of statutory guidance
• Ongoing learning and improvement

Evidence of following the right law and guidance supports positive ratings.

Manager and Leader Responsibilities

As a leader or manager, you need to:

• Understand all core laws and related guidance
• Make sure policies and procedures reflect these requirements
• Train and support staff to follow guidance in daily practice
• Keep accurate, accessible records to demonstrate compliance
• Monitor changes and adapt to updated law and guidance

Ignoring statutory guidance or misunderstanding legislation risks poor inspection outcomes.

Final Thoughts

The inspection process is based on a range of laws (legislation) and official advice (statutory guidance). Inspections look for evidence you apply both legal standards and good practice guidance. Following the full range of relevant legislation and statutory guidance supports excellent inspection outcomes, protects those who use services, and fosters confidence in care provision.