2.1 Analyse the role, remit and responsibilities of the registered manager in relation to compliance with regulations

This guide will help you answer 2.1 Analyse the role, remit and responsibilities of the registered manager in relation to compliance with regulations.

The registered manager holds a legally recognised position under the Health and Social Care Act 2008. The Care Quality Commission (CQC) requires that every regulated adult care service has a registered manager who is fit, suitable, and able to take day-to-day responsibility for how care is provided.

The manager must show leadership, set standards, and act as a role model for professional practice. Their role includes overseeing quality, safety, and person-centred care.

Registered managers work closely with providers, staff, commissioners, and regulators to keep the service compliant and safe.

What is the Remit of the Registered Manager?

Remit means the registered manager’s area of responsibility and authority. They are accountable for:

• Making sure care meets the CQC’s five key questions: safe, effective, caring, responsive, and well-led.
• Overseeing the day-to-day running of the service.
• Leading compliance with all laws, regulations, and codes of practice.
• Embedding quality standards throughout the workforce.
• Ensuring effective policies, procedures, and audits are in place.
• Managing complaints, incidents, and safeguarding alerts rapidly and thoroughly.
• Reporting notifiable events to the CQC and other agencies.
• Promoting continuous improvement.
• Creating a safe and inclusive workplace for staff and people using the service.

The registered manager is both a leader and a legal representative for the service’s quality and safety.

Main Responsibilities in Relation to Compliance

Compliance means meeting all the legal, regulatory, and best practice standards set by the CQC or law. The registered manager’s responsibilities include a wide range of tasks, which fall under three main headings:

Legal and Regulatory Responsibilities

The registered manager must:

• Make sure the service is operating within its registration conditions.
• Understand and apply the Health and Social Care Act 2008 and the Regulated Activities Regulations 2014.
• Ensure staff undergo Disclosure and Barring Service (DBS) checks and are fit to work.
• Follow the Mental Capacity Act 2005 and Deprivation of Liberty Safeguards (DoLS).
• Submit statutory notifications to CQC, such as serious injuries, deaths, abuse incidents, or changes in management.
• Make sure that people’s rights are safeguarded (for example, consent, confidentiality, and dignity).
• Complete and submit national data returns, surveys, and performance reports.
• Support audits and inspections by the CQC.

Failure to comply may result in enforcement action, fines, or prosecution.

Quality and Safety Responsibilities

The registered manager leads on quality and safety by:

• Auditing care records, risk assessments, and support plans regularly.
• Monitoring incidents, trends, and accidents—then taking action.
• Implementing robust infection prevention and control.
• Ensuring safe medicines management.
• Keeping the environment clean, well maintained, and hazard-free.
• Responding quickly to any dangers or safeguarding issues.
• Supporting staff to follow safeguarding procedures if they suspect or witness abuse or neglect.
• Encouraging a “speak up” culture, where staff can raise concerns.

Quality assurance frameworks help identify gaps and drive improvement.

Leadership and Workforce Responsibilities

A registered manager’s success depends on their ability to lead people, not just systems. This includes:

• Making sure all staff have up-to-date training and supervision.
• Recruiting people who share organisational values and meet role standards.
• Giving induction and ongoing professional development.
• Managing rotas to maintain safe staffing levels.
• Holding regular meetings to discuss compliance and share learning.
• Reflecting on their own leadership and professional practice.

Staff must understand their legal obligations, not just organisational rules.

How the Registered Manager Demonstrates Compliance

To prove they are compliant, registered managers must maintain clear and accurate records. Evidence may include:

• Up-to-date training logs.
• Completed audits and action plans.
• Incident, accident, and safeguarding notifications.
• Supervision and appraisal records.
• Policies reviewed in line with current law.
• Evidence of person-centred planning and involvement.
• Feedback from people using the service, families, and staff.

This documentation helps the CQC see that compliance is not just theoretical, but embedded in day-to-day operations.

Examples of Compliance in Practice

Notifiable Incidents

If a serious incident occurs (such as injury, death, or abuse) the registered manager sends a written notification to the CQC and acts on learning outcomes.

Managing Medication

The manager ensures all medicines are managed properly. This includes training, regular audits, and timely reporting of errors, plus swift action if mistakes happen.

Infection Control

During an outbreak (such as influenza or COVID-19), the registered manager updates risk assessments, policies, and provides extra staff training.

Safeguarding

If a concern is raised, they follow safeguarding procedures, work with the local authority, and submit a notification to the CQC.

Supporting Continuous Improvement

The registered manager is responsible for driving improvement at all levels. This involves:

• Leading quality assurance cycles, including audits and reviews.
• Acting on feedback from people using services, families, and staff.
• Keeping up to date with changes in law and best practice.
• Reviewing and updating policies in line with new guidance.
• Celebrating successes and sharing learning from mistakes.

Improvement is a continuous process, not a one-off event.

Working with the Provider

The manager works closely with the care provider (who owns or runs the service). Both are legally accountable for compliance. The provider must give enough resources, training, supervision, and support.

Open communication with the provider allows the registered manager to:

• Highlight possible risks.
• Ask for extra resources if needed.
• Seek advice on complex cases.
• Escalate serious concerns.

It is the manager’s responsibility to challenge the provider if resources are not sufficient for compliance.

Communication with Inspectors and Stakeholders

The registered manager is the main point of contact for:

• The Care Quality Commission (CQC).
• Local authorities and safeguarding teams.
• Families, advocates, and people using services.

They must be able to explain what the service is doing to meet and exceed regulations and how problems are addressed.

Consequences of Failing in Compliance Duties

Failing to comply can have serious effects:

• Poor inspection ratings, damaging reputation and referrals.
• Enforcement action, including restrictions, suspensions, or prosecution.
• Withdrawal of funding or contracts.
• Complaints, investigations, and loss of trust.
• Staff anxiety or whistleblowing.

A diligent registered manager takes compliance seriously and acts at the first sign of a problem.

Attributes of an Effective Registered Manager

An effective manager:

• Understands relevant legislation and best practice.
• Is highly organised and detail-focused.
• Demonstrates clear professional values.
• Is accountable and open about mistakes.
• Keeps learning and seeks feedback.
• Communicates well at every level.

These attributes help maintain compliance and support a healthy, safe workplace culture.

Final Thoughts

The registered manager’s role is central in achieving and maintaining regulatory compliance. Their remit covers leadership, quality, safety, and legal requirements.

Their responsibilities include:

• Meeting all CQC standards.
• Ensuring safety and quality for people using services.
• Leading and supporting staff.
• Keeping up with legal requirements.
• Proving compliance through clear evidence.

Strong, effective registered managers act as the “linchpin” of a compliant and high-quality adult care service. Their actions protect people’s rights, safety, and dignity every day.